text
stringlengths 1.36k
1.27M
|
|---|
National Institute of Military Justice Analysis of the Model State Code of Military Justice and Model State Manual for Courts-Martial for National Guard units.
Pro—Bridget Wilson
The Model State Code of Military Justice and Model State Manual for Courts-Martial propose a common structure and language for state and federal military justice. These documents are a step forward in abandoning the longstanding (and incorrect) view of the National Guard as the poor stepchild of the Army and Air Force. The extensive use of the National Guard in federally funded Title 32 missions and mobilizations only highlights the desirability of reform of state military justice law. Since the events of September 11, 2001, National Guard troops have frequently "crossed over" from state active duty or Title 32 to Title 10 status in the course of the mobilization to or de-mobilization from purely federal duties. A state military justice system that more closely resembles the federal system will assist National Guard judge advocates in their transitions to and from state and federal missions.
This version of the Model State Code and Model State Manual may need ongoing revision to address any concerns raised by the states. That does not mean it cannot be recommended as an important tool to assist the states in reform of their military justice law and procedure. At least six states have already adopted the Model State Code with modifications.
The most important consideration in reviewing the Model State Code is that it is not compulsory; there is no mandate from the federal government for the states to adopt all or any of the Model State Code and Manual. This is no more and no less a mechanism to update the states' administration of military justice. In many states the military justice law has not been reviewed and revised in decades. This also is an opportunity for the National Guard Bureau and the states, with the contributions of interested members of the public, to augment the efforts to modernize state military justice. The Model State Code and Manual are, by definition, works in progress. The Model State Code is a roadmap for that reform.
The operations tempo for the National Guard has only increased since the beginning of the Global War on Terrorism. But operations tempo is not the only reason to create state military justice law that is more consistent from state to state. There is a mutual practical benefit in having a similar legal structure for Guard judge advocates and other legal personnel who will practice in the federal system during Title 10 mobilization. The Guard is, like every part of the military, more and more a part of joint operations. When Guard troops are not serving in active duty (full time) missions whether under Title 32 or Title 10, they train. And, they must meet federal standards of competency in all areas of operations, including military justice.
Prior to the restructuring of the U.S. Armed Forces after the end of conscription and the creation of the All Volunteer Force, the National Guard of the States functioned primarily as a state entity. But, by the time of the U.S. intervention in Iraq, and the ongoing operations of OIF and OEF, more than 40% of the Army's combat arms units were in the National Guard, only one example of the increased dependency on this reserve component. Until the current Global War on Terrorism, the National Guard had not been called up in such large numbers since the Korean conflict. The combination of those two factors and the extensive use of the National Guard in Title 32 status for federally-funded state missions make the adoption of a more consistent Military Code and Manual for Courts-Martial for the states a rational option.
Over the past three decades, Guard has become a more national, not regional, entity. It is not at all uncommon for Guard soldiers to transfer their duties from one state to another. The Guard is no longer full of hometown soldiers who stay in one state. National Guard members from one state may drill in locations outside their own state with some frequency. Some Guard structures are made up of units in different states.
Some states have included military justice provisions that provide little or no punishment for crimes where another state might provide for imprisonment. There remain several states or territories that have no military justice law or no active military justice system. This does nothing to create confidence in a military justice system that promptly, accurately and fairly administers justice. When one state can court-martial and incarcerate soldiers but another state has no system of military justice, it creates a negative perception of how discipline is carried out among the states. It leaves the appearance that military justice in the states is completely arbitrary.
Although National Guard units are state assets, most National Guard funding comes from the federal government. In addition, National Guard judge advocates (as do all Guard members) receive their training in the U.S. Army or Air Force. Their instruction in virtually all areas of military law, including military justice, is the same as any other judge advocate. Although Guard members are, in part, a state asset, all Guard members have a dual status. In general, National Guard "drills" (the monthly duty) are paid for with federal funds. The Annual Training that Guardsmen receive, as with their counterparts in the Reserve, is paid for with federal funds. Although Title 32 duties are "state" duties, these are missions paid for with federal funds. In some circumstances, Title 32 soldiers who are a part of the Active Guard and Reserve (AGR) can be and are assigned to duties in Title 10 units.
The "portability" of knowledge enhanced by more similar state military law would reflect how judge advocates are used in the National Guard and in joint operations. Although it would benefit active duty judge advocates who deal with Guard courts-martial and also active duty judges who might be assigned to Guard courts-martial, the incorporation of a Model State Code and Manual will assist National Guard judge advocates in their federal duties. First, these National Guard judge advocates have been called up in great numbers for the Global War on Terrorism and other missions. Those judge advocates, having received training in the federal system, often spend their reserve duty in state systems that may little resemble the federal system of military justice. Applying similar law and procedure will only make Guard judge advocates better, more efficient practitioners in both the state and federal systems.
Adopting a similar Manual for Courts-Martial, Model Code and the Military Rules of Evidence gives the states the opportunity to use federal military jurisprudence as a guide for interpretation. Again, the states could interpret the law in a state context, but will have a welldeveloped body of law to assist in the administration of military justice. Well-tested military rules already exist and can be easily modified and applied to address the needs of the states. In addition, the Military Rules of Evidence (MRE) mirror the Federal Rules of Evidence (FRE).
The Model State Code and Manual provide an outline and format for bringing the state military justice codes into closer alignment. Because the Model State Code cannot be required of the states, it is simply presented as a benefit to them. It can provide the states with proceedings that are relatively consistent from state to state, which is important with an increasingly mobile population of soldiers and airmen. It gives judge advocates in the National
Guard a system of military justice that parallels more closely the federal system and makes their transition from federal to state status simpler. Because there is no requirement that the states adopt the Model State Code or Manual in their entirety, each of the states can tailor these models to the needs of the state. Finally, the full or partial adoption of the Model State Code and Manual that parallel the federal UCMJ and MCM may allow state military judge advocates to reference the highly developed jurisprudence in federal military justice as they confront the increasingly more complex legal issues of our time.
Con John Carr
1. Are these measures necessary? Has any state TAG, commander, or JAG requested greater authority or structure in order to maintain good order and discipline within the unit? The draft ABA proposal is short on specifics as to the precise mischief sought to be remedied. For example, it is difficult to see how the course of justice could be frustrated in the case of criminal conduct by a person in Title 32 status since general state criminal law (and procedure) would be available in any event.
2. The structure and content of the Model Code fails to appreciate that Guard units are fundamentally state assets – comprised of members from that state, who work for that state, and who are familiar the laws, procedures and personnel of that state. That familiarity and allegiance is present from the commander, to the local JAG, to the lowest enlisted member (who may be a prominent businessperson or lawyer).
3. Supporters of this Model Code have cited to disparities in the way various states treat a given case as a justification to adopt a uniform Code. However, it is less than clear that the reason for any inequality in the treatment of a given case is based upon differences among the states' military codes. Instead, under any system, commanders ultimately have discretion to charge or not to charge, and to administer justice at a level of their choosing. In the absence of further evidence, one may argue that any inequalities lie in the commander's decision not to use certain authority, as opposed to not having the authority to begin with.
4. It has been suggested that adoption of the Model Code would alleviate confusion for Guard troops who are ordered to Title 10 status and thus made subject to the UCMJ. In the absence of any evidence that such confusion exists (since the UCMJ requires all US military personnel to be briefed on the punitive articles, one questions the significance of this rationale.
5. Similarly, supporters of the proposal cite the benefit of uniformity among the state codes. This rationale would seem to benefit not the individual state units, but instead, active duty JAGs who are unfamiliar with the various states' codes. Since most Guard JAGs practice law in the state civil and criminal systems, and are also familiar with the state's military code, one may question how the adoption of the Model Code helps the individual state Guards.
******************************************************************************
3
subject of discussion and disagreement. Among these are the following:
Jurisdiction
Article 2 of the Model State Code that would allow prosecution of "non-military" crimes which have a military "nexus" in state courts. The "nexus" test was abandoned in federal military law as a result of Solorio. It is questionable whether the states will want to adopt the complex analysis of a nexus test.
Views on Rules of Evidence
Adoption of the MRE could conflict with some state rules of evidence or substantive law.
A number of states have adopted a form of the FRE in their civilian courts, and many Guard judge advocates are familiar with the FRE in their civilian practices. The use of state rules of evidence would likely require a state to create a separate body of state military evidence rules unnecessarily. The states need not reinvent the wheel.
The applicable rules of evidence for a state proceeding of a NG troops in Title 32 status should be the state's rules of evidence, not the Federal Rules of Evidence, as those are the rules with which state practitioners will be familiar.
Adoption of U.S. Code
The Model Code permits states to prosecute violations not only of state civil law and the Model Code, but also violations of the laws of the United States. This provision seems to be a significant, and improper, expansion of the applicable laws which a state could enforce, with perhaps equally significant constitutional and policy implications. State legislators and executive officials will carefully consider whether to yield to federal norms where Congress has not so required.
Personal Jurisdiction
Given the complexity of the pre-Solorio service-connection jurisprudence, one wonders whether it is wise to return to the O'Callahan/Relford standards. One of the benefits of the Model Code is to bring simplicity to the proceedings. Some states may wish to be more aggressive than others in protecting grand and petit jury rights; uniformity may be impossible to achieve as a result, but at least state authorities should focus carefully on the policy implications in light of, among other things, the demands of their state constitution.
Offenses
Should the Model Code refer to non-military-specific offenses? While the member is in Title 32 status, and therefore still in CONUS, the member will be subject to the state criminal laws of the jurisdiction in which the conduct occurs. (Of course, active duty members on Title 10 status may be overseas, which makes the inclusion of non-military specific crimes in the UCMJ necessary and warranted.) One may also question if a state commander should be given such broad and potentially vague authority to prosecute offenses such as Articles 133 (conduct unbecoming an officer) and 134 (general article).
Appellate Procedure
In states with few judge advocates, it may not be practical to set up an expansive appellate structure. Cost is a factor in this analysis, as are the difficulty of providing conflict-free
counsel and advice to reviewing authorities. One may also question the necessity or wisdom of each state supreme court hearing appeals from courts-martial, given the unique nature of the legal substance and procedure. This may be a long-term project, addressed in part by a joint initiative of the National Guard Bureau and the states to link Guard and reserve judge advocates with Regular Component defense services and expand the base of available counsel.
|
Social Investment Jargon Buster
A
Asset – something valuable that an organisation owns, benefits from, or has use of that is recorded on its balance sheet. Tangible assets could include property, vehicles, equipment etc.
B
Bond / Charity Bond – a specific type of loan, usually an alternative to borrowing from a bank. The borrower is the 'issuer' or 'seller' of the bond and the lender is the holder. Interest on the bond is known as the coupon. Interest is usually paid at fixed intervals and the issuer of the bond agrees to repay the original loan amount at a specified time, this is known as maturity. Bonds tend to be more appropriate if an organisation is looking to raise a large amount of money.
Bridging loan – a loan to assist with daily running costs as an organisation waits for other funds to arrive (e.g. a grant payment).
C
Capital – wealth in the form of money or other assets (e.g. property) that are owned by an organisation and can be made available for a specific purpose.
Capital cost – fixed, one-time expenses for the purchase of land, buildings, construction or equipment used in the production of goods, delivery of services or development of a project.
Capital gain – a profit from an investment or the sale of assets like a property. The capital gain is the increase in value or wealth to the organisation or individual
Capitalisation of interest / interest roll-up – interest on a loan is charged but not paid out in cash. Instead it is added to the balance of the outstanding loan that needs to be repaid in time.
Cashflow – a cash flow forecast shows the total expected expenditure (costs) and income (revenue) over the year, usually on a monthly or quarterly basis. It is an essential tool for understanding what funds will be available during the year and if there is sufficient money available each month / quarter to cover the expenditure.
Collateral – the borrower pledges a specific asset or assets (e.g. property) as security against a loan. The collateral provides additional protection to the lender if the borrower is unable to repay the debt. See also 'Secured loan'.
Community Development Finance Institution (CDFI) – social enterprises that lend money to businesses and people who are unable to borrow money from high street banks.
Community shares – the sale of shares in social enterprises serving a community purpose. This type of investment has been used to raise money to finance shops, pubs, community buildings, renewable energy projects, local food schemes. Shares are usually priced at a relatively low amount (e.g. £10) to enable all sections of the community to participate. Shareholders have a stake in the enterprise and decisions are usually based on a 'one member one vote' system. See also 'crowdfunding'.
Cornerstone Investment – the first (or principal) investor in a fund or project whose commitment to invest gives confidence to other investors.
Coupon – the amount of fixed interest payable on a debt. This usually describes the level of return the lender can expect to receive over the life of the investment.
Crowdfunding – raising money to support a project or organisation from a large number of people, often through websites called 'crowdfunding platforms'. Crowdfunding can raise money in the form of debt, equity (shares - see also 'community shares') or donations. Individuals often donate or invest small sums of money but collectively the 'crowd' raise larger sums.
D
Debt – a sum of money that is owed or due. Usually in the form of a loan but it could also be an overdraft or other financial facility.
Development capital – investment that enables an organisation to build capacity, for example by purchasing property or other assets, or developing new products and services that in turn will generate income in the future.
Dividend – a sum of money repaid regularly (usually annually) by a company to its shareholders from its profits. It is a form of distributing profits.
Draw down – request for the release / payment of the funds. The funds are 'drawn down' through instalments or a single payment in full.
Due diligence – an investigation or assessment of a potential investment. Due diligence serves to confirm and understand all aspects of a potential investment or contract prior to entering into an agreement.
E
Equity – a type of investment in which an investor owns shares in a company with a financial return to the investor paid regularly on a discretionary basis through a dividend.
Exit – how an investor 'cashes out' or withdraws from an investment.
F
Facility – different types of financial support (e.g. loans, overdrafts etc.) to support the operations of an organisation.
Fees – Charges and expenses incurred as part of the investment agreement. Examples include arrangement fees (payable at the beginning), facility fee (e.g. the cost of having an overdraft facility for example) and early repayment fees (a penalty fee usually to compensate the investor for potential loss of interest payments).
Financial returns – the anticipated 'profit' expected from an investment. Usually calculated as low, base and high case scenarios. See also 'base case'.
First loss – investors who agree to bear the 'first loss' on an investment to provide protection to other investors. First loss investors are at a greater risk of losing their money and are usually offered a higher rate of return if the investment is successful.
Floating charge – a type of security arrangement over a range of assets held by a company rather than being fixed to one specific asset.
Fund – a collective investment scheme that provides a way of investing money alongside others who have similar objectives. Investors' monies are pooled and invested in line with the fund's investment criteria. The investments are made and monitored by a fund manager who charges a fee to the investors for this service. Fund management is generally a regulated function.
I
Interest – the fee paid by a borrower to a lender as the cost of borrowing money. Interest is typically calculated as a percentage of the amount borrowed.
Investment readiness – investment readiness programmes help social enterprises and charities acquire the skills and knowledge they need to raise and manage external investment. Usually supported through grant funding.
J
Junior debt / subordinated debt – an unsecured debt or a debt with a lower priority over an asset than other 'senior' debts. If a borrower is unable to repay its debts or goes out of business the 'senior' debts are repaid first from available funds or from the sale of assets. If there is sufficient cash left over, then the junior debt is repaid. Junior debt is therefore considered more risky and hence demands a higher financial return as compensation. See also 'senior debt'
L
Liability – legal debts or obligations arising during the course of its operations. Liabilities are settled over time through the transfer of money, goods or services.
Limited Liability Partnership (LLP) – a partnership in which some or all partners have limited liabilities. It therefore exhibits elements of partnerships and corporations but in an LLP, one partner is not responsible or liable for another partner's misconduct or negligence. Fund investments can be legally structured as a LLP.
Liquidity – the ability to buy and sell investments e.g. bonds or shares, usually via an exchange.
Loan – a sum of money that is borrowed and has to be paid back over an agreed term, usually with interest.
Loan forgiveness – writing-off a portion of one or more loans to a financially troubled organisation by its lender(s).
P
Payment by results – providers of services receive payment in arrears based on the achievement of agreed results and outcomes. Payments under Government contracts are often structured this way. See also 'Social Impact Bond'.
Patient capital – loans offered on a long-term basis (typically 5 years or longer) and on 'soft' terms (e.g. capital/interest repayment holidays and at zero or below-market interest rates).
Principal – the amount of money borrowed via a loan before any interest is calculated.
Profit and loss account / statement – financial statement summarising the income (revenues) and costs incurred during a specific period of time, usually quarterly or annually.
Provision – the value of the investment is reduced in an investor's accounts if it is not performing well or the borrower is unlikely to be able to repay the full value of the loan. A provision needs to be prompted by an event that causes the investor to believe it is not going to recover the full value of the investment.
Q
Quasi-Equity – an equity-style investment for organisations, such as charities, that do not have shares. Investors' repayments are directly linked to the performance of the organisation. See also 'Revenue Participation Agreement'.
R
Refinancing – to finance something again using a new loan or other form of investment. Refinancing is often used to replace an existing loan with a cheaper form of finance or consolidate existing borrowing.
Revenue Participation Agreement – this is a form of quasi-equity investment that allows both the investor and organisation to share the risk and reward of an enterprise or product. The repayment of investors' capital is a % of the organisation's revenues. More flexible than debt and used for organisations who are unable to offer shares (e.g. charities). If the enterprise does well the investor receives a return on the investment but if it does not there is no financial return. See also 'Quasi-equity'.
S
Secured loan / security – a loan that is backed by property or other assets belonging the borrower. The value of the assets is usually equal to or higher than the value of the loan. If the borrower is unable to repay the loan the lender can take possession of and sell the asset(s) the loan is secured against to recover the cost of the loan.
Senior debt / loan – a debt that takes priority over any unsecured debt or 'junior debt'. If the borrower is unable to repay its debts or the 'senior' debts have priority over any available funds or are repaid first from the sale of assets. See also 'junior debt'.
Social impact – there is no standard definition of social impact, but it can be defined as the effect on people, community or society that happens as a result of an action or inaction, activity, project, programme or policy. In social investment the social impact is the social outcomes, return or benefit expected from the investment alongside the financial return.
Social Impact Bond (SIB) – a contract between a service provider (usually a charity or social enterprise) and a public sector body or Government department in which a commitment is made to pay for the delivery of a service on the basis of the results and social outcomes achieved. The service provider raises social investment to fund the delivery of services. The social investors are repaid if and when prescribed social outcomes are achieved. A Social Impact Bond is a type of 'payment by results' model.
Social Investment – the use of money to achieve a social impact and financial return.
Social Investment Financial Intermediary (SIFI) - an organisation that channels investment from investors to social sector organisations through social investments e.g. loans. SIFIs usually manage social investment funds. SIFIs also play a wider role in the sector e.g. by providing advisory services.
Special Purpose Vehicle (SPV) – a subsidiary company created for a specific purpose or activity. An SPV is legally separate to its parent organisation so can still fulfil its obligations if the parent company is dissolved or goes bankrupt.
U
Unsecured loan – a loan that does not take security over the borrower's assets. The risk for the lender is greater and therefore interest rates are usually higher than for secured loans.
Underwriting – a commitment to provide financial support if other sources are not secured.
W
Working capital – the funding required to cover operational costs and manage the timing differences of income and expenditure. Working capital can be used to support an organisation while it raises money or generates income to cover its costs in the longer term or can be a short term arrangement like a bridging loan or overdraft facility.
Write-off – the value of the investment is permanently reduced in an investor's accounts if the borrower is not able to repay the full value of the loan.
Y
Yield – The income return on an investment. This refers to the interest or dividends paid and is usually calculated annually.
|
Jon Nakamatsu
Sunday, July 13, 2008 4:00 pm
Portland International Piano Festival Miller Hall, World Forestry Center
Program
Haydn
Sonata in C minor, Hob. XVI:20
Moderato
Andante con moto
Finale: Allegro
Beethoven Sonata in C-sharp minor, Op. 27, No. 2 ("Moonlight")
Adagio sostenuto
Allegretto; Trio
Presto agitato
Chopin
Andante spianato et Grande polonaise brillante in E-flat Major, Op. 22
Intermission
Tjeknavorian Five Dances from Danses fantastiques, Op. 2
Danse rhythmique
Danse gracieuse
Danse lyrique
Danse elègiaque
Danse d'extase
Liszt
Impromptu (Nocturne) for Princess Gortschakoff, LW256
Valse Impromptu in A-flat Major
Après une lecture de Dante("Fantasia quasi sonata"), fromAnnées de Pèlerinage
Mr. Nakamatsu appears by arrangement with Parker Artists, 382 Central Park West #9G, NY 10025 212.864.7928 www.parkerartistis.com Steinway Piano • Harmonia Mundi USA
Generously sponsored by Rebecca & John Green
Program subject to change
Program Notes
Joseph Haydn
(Born March 31, 1732, in Rohrau; died May 31, 1809, in Vienna)
Sonata in C minor, Hob. XVI:20
Although Haydn was not really a pianist, in the course of his long life as a musician he wrote more than fifty works that explore and display the greatly varied forms that can be called piano sonatas. There are some with two movements and some with four, and among the usual three movements, there is an enormous choice of structures for each. In general, Haydn composed his piano sonatas for the pleasure of the performer, and they were to be played at home in private music rooms, rather than in public concerts. Especially in his later years, Haydn wrote many sonatas with specific performers in mind, often highly gifted women whose influence on the art of music is a part of history that has not yet been written.
He composed the C minor Sonata in 1771, but it is in a style so new and difficult (for its time), that Haydn withheld it from publication for nine years. This is the music of his "romantic crisis," when he wrote symphonies and other major works that are full of urgent passion and dramatic tension — original and adventurous compositions that were the product of ten years of experimentation in form and expression in a search for a personal emotive style. The masterpieces that emerged became models for young Mozart, who in 1771, at age fifteen, was already an important composer. His study of Haydn's new way to use the language of music was very important to Mozart's growth as a composer.
Haydn collected this sonata and five later sonatas into a set, and published them with a dedication "to the very illustrious ladies, Catherine and Marianne von Auenbrugger, by their most humble and obsequious servant." The Auenbruggers were gifted sisters about whom Haydn wrote (to the publisher) that their opinion of his work "is most important, for their manner of playing and their genuine insight into music are the equal of those of the greatest masters. They deserve to be famous throughout Europe."
This sonata is a formidable piece in a style so advanced that early scholars found great difficulty in attempting to deduce to what period of Haydn's work it belonged. The long themes that are its subject matter, and their extended developmental treatment, make this a huge work that looks as far ahead as Beethoven. In the first movement, the writing for the instrument is extremely complex. The Moderato tempo that sets its serious mood also stretches the music over great time spaces. The Andante con moto movement is a little slower than the first movement, yet contrastingly spare in texture, and simple in construction. It explores the extreme ranges of the keyboard of that time. The Finale: Allegro is a powerful movement in a sonata-form structure like that of the first movement.
Ludwig van Beethoven
(Born December 16, 1770, in Bonn; died March 26, 1827, in Vienna)
Sonata in C-sharp minor, Op. 27, No. 2 ("Moonlight")
In 1800 and 1801 Beethoven wrote two unconventional piano sonatas that were published in 1802 as his Op. 27, each bearing the subtitle Sonata quasi una fantasia (a sonata like a fantasy). The second of the pair is now popularly known as the Moonlight Sonata. Fantasia (fantasy) was a term then loosely used for several different kinds of freely formed pieces. These were often improvisational in character and highly personal in expression, and they were usually based on musical ideas that did not lend themselves to the organized, structural discipline of the sonata, or to the analytical process of development.
In Op. 27, No. 1, Beethoven used the basic ideas of the fantasy sonata that later composers would adopt with varying degrees of emphasis. He incorporated several movements, played without pause between them, but subject to occasional interruption by themes that are carried forward from one movement to another. Important later works of similar kind include Schubert's
26
27
"Wanderer" Fantasy of 1822, Schumann's C Major Fantasy of the late 1830s, and Liszt's "Dante" Sonata of the 1840s which, in a reversal of Beethoven's formulation, Liszt subtitled Fantasia quasi sonata (a fantasy like a sonata).
The Moonlight Sonata is one of the masterpieces of early Romanticism. Beethoven tried to deny its greatness, saying (about ten years after it was written) with his habitual gruffness, "Everyone is always talking about the C-sharp minor Sonata, but I have written really better things." A critic reviewing the first edition wrote, "It is hardly possible that anyone whom Nature has not denied any feeling for music will not be profoundly moved by the opening Adagio of this Sonata." The Viennese found it pastoral (or sylvan) and, at first, nicknamed it the "Leafy Arbor" Sonata, after the kind of place where they thought it might have been composed. Berlioz said that it was like a sunset on the Roman campagna. An early Beethoven biographer claimed that its subject was death — the death of a friend or the death of the Commendatore in Mozart's Don Giovanni. About five years after Beethoven died, Ludwig Rellstab, an influential figure of the Romantic era — a soldier, philosopher, historian, mathematician, novelist, poet, dramatist, composer, and critic — wrote that the music made him think of "a boat passing the wild country around Lake Lucerne by moonlight." It was this description that gave the sonata the name "that has stuck with it": Moonlight Sonata.
The sonata is dedicated to Countess Giulietta Guicciardi (1784–1856), who in 1852 told a historian that Beethoven had her in mind when he composed it, more than fifty years earlier. They had met when he was thirty, and she was about sixteen. She was a pretty and talented girl who took piano lessons from him, and acquired enough skill to play his chamber music. Beethoven once said that she was "a sweet, fascinating girl whom I love and who loves me," but in 1803 she entered into what proved to be an unsuccessful marriage with an altogether unmemorable composer named Gallenberg, whose only advantage over Beethoven was that he was a
Count. For twenty years they lived in Italy, where she developed a reputation as an adventuress. When she returned to Vienna and sought out Beethoven again, he preferred not to see her.
The beautiful opening, Adagio sostenuto, is an extended prelude to the second movement. Berlioz said it was "one of those poems that human language does not know how to qualify." The accompaniment figure of triplets continues (almost hypnotically) throughout the movement, sometimes even seeming more important than the melody, until the second-to-last bar. As Charles Rosen notes in his book on Beethoven's piano sonatas, it is one of the first works to "take account of the fact that the sympathetic vibration of the strings of the piano when the pedal is held down, the dampers raised, is not instantaneous, but grows with time, demanding a few fractions of a second to become more audible and make its full effect." The character of the movement is actually based on this little delay in the vibration of the open strings. The resulting blurring of the previously played harmony with the new harmony creates a novel effect.
Beethoven said that an abbreviated, gentle scherzo, Allegretto, the second movement, must follow it immediately, without pause; and Liszt once described the Allegretto (somewhat cryptically) as "a flower between two chasms." The dynamic level never rises above a soft piano, until the middle section of this graceful and melancholy movement. After a brief pause comes the climactic finale, Presto agitato — a suddenly contrasting, ferociously tumultuous movement. This is the longest movement of the sonata, and the most conventional one (the music is organized structurally in the sonata-allegro form). Rosen comments, "It must have been with music like this finale that Beethoven smashed the hammers and strings of his instruments, as he was reputed to do. The contrast between the opening and closing movements of this sonata exceeds anything else conceived for the keyboard until then."
Frédéric Chopin
(Born ca. March 1, 1810 in Zelazowa Wola, Poland; died October 17, 1840 in Paris)
Andante spianato et Grande polonaise brillante in E-flat Major, Op. 22
In 1831, when he arrived in Paris, Chopin completed the composition of a Grande polonaise brillante for piano and orchestra. Not even his greatest admirers claimed that Chopin wrote particularly well for orchestra, but at that time, the quality of the orchestral accompaniment was not critically important. A light background appropriate to Chopin's own style of piano performance was what was needed, and what he wrote. He placed the emphasis on his piano technique, and it varied greatly within a small range: it was fleet, fluid, light in touch, yet small in tone. The polonaise began as a peasant dance and evolved into a sophisticated salon dance. In this Polonaise, Chopin gave new character to the style of the dance, expanding the form from the small pieces he had previously written by that name — here he highlighted the virtuoso elements, and increased the dimensions of the work. The piece has a three-part scheme with binary form in the Polonaise proper. The orchestral part had such little importance for the effect that Chopin intended to create, that he often played the Polonaise, as you hear it today, as an unaccompanied piano solo.
In 1834 Chopin wrote an Andante for piano, an idyllic, rippling, nocturne-like piece that he named Andante spianato. He took the modifying word spianato from Italian to indicate a smooth and even level. Whether Chopin intended the term to be interpreted as applying to the characteristic qualities of performance, or to signify that the Andante was to be played without the subtle rhythmic irregularities of a rubato (ordinarily an essential element of his performance style), cannot be determined. Chopin originally wrote and played the Andante and the Polonaise as two separate and discrete pieces, but after a while he began to play them together and, in 1836, he even published them as a pair connected by a bridge passage.
Loris Tjeknavorian
(Born on October 13, 1937 in Broudjerd, Iran)
Five Dances fromDanses fantastiques, Op. 2
Tjeknavorian studied violin and piano at the Tehran Conservatory of Music, and composition at the Vienna Music Academy. Shortly after his graduation, four of his piano compositions were published in Vienna. From 1961 to 1963, Tjeknavorian taught music theory at the Tehran Conservatory of Music, and was appointed director of the National Music Archives in Tehran, where he collected and researched traditional Iranian folk music and national instruments. In 1963, in Austria, Carl Orff granted him a scholarship which allowed him to live in Salzburg, where he completed his opera, Rostam and Sohrab and wrote about 150 piano pieces (all based on traditional Armenian folk music) for the Orff Schulwerk.
In 1965 Tjeknavorian began studying conducting at the University of Michigan. In 1966–67 he was composer in residence at Concordia College in Moorhead, Minnesota, and following that, head of the instrumental and opera departments at Moorhead University. In 1970, the Iranian Cultural Minister offered Tjeknavorian a position as composer in residence as well as principal conductor to the Rudaki Opera House Orchestra in Tehran. Since then, Tjeknavorian has conducted orchestras internationally, and his compositions have been performed by many orchestras, including the London Symphony Orchestra, the London Philharmonic Orchestra, the Halle Orchestra, the Philharmonic Orchestra Helsinki, the American Symphony Orchestra in New York; the Tehran, Johannesburg, Haifa, and Mexico Symphony Orchestras; the London Percussion Virtuosi, the Strasbourg Percussion Ensemble, and the English Chamber Orchestra. From 1989 to 2000 he was Principal Conductor and Artistic Director of the Armenian Philharmonic Orchestra, but he resigned to devote more time to composing and conducting other orchestras.
Tjeknavorian has a personal connection to the pianist Jon Nakamatsu and to his teacher, Marina Derryberry, who attended the Tehran Conservatory
28
29
— but they lost contact until seven years ago when Tjeknavorian came to San Francisco to conduct an opera. Nakamatsu explains, "He eventually sent me scores. The pieces of his I will be performing were originally a ballet score for which he made this alternate setting. It's what you might imagine if you melded Western tradition with a composer whose identity is totally Eastern. It's very accessible. Audiences really take to it."
Franz Liszt
(Born October 22, 1811, in Raiding, Hungary; died July 31, 1886, in Bayreuth, Germany) Impromptu (Nocturne) for Princess Gortschakoff, LW256
Liszt dedicated this Impromptu (Nocturne) to Princess Olga Gortschakoff, the wife of the Russian ambassador Baron Felix von Meyendorff, who served at the court of Weimar; Princess Gortschakoff was twenty-seven years Liszt's junior. Liszt had met the Meyendorffs in Rome in 1863, and noticed that Olga Meyendorff Gortschakoff, an aspiring pianist, "joins to many other attractions a most original pianistic talent." Her feelings toward the composer, over the years, ripened into a deep and lasting devotion. After three years in Weimar, her husband was transferred, and she might never have seen the composer again, but for the baron's unexpected death. After it, she returned to Weimar to be near Liszt, who was then sixty years old, but nevertheless enthused by her presence. Soon gossip flew that the two were romantically involved.
Olga Gortschakoff Meyendorff held many soirées at her home, at which her attraction to Liszt was evident. A contemporary acquaintance of both commented: "She is enthusiastic, and even more than enthusiastic (it is said!) about Liszt. The fact is that the Great Master is full of attentions to her so that he spends long hours at her place and she at his. This alone tells you that she is a very distinguished woman and as Liszt was telling me this morning (he came to spend an hour with me at my hotel), a richly gifted woman, highly educated, and remarkable in character and mind.”
The Impromptu was composed in 1872, but not published until 1877, as the fourteenth part of a series that Breitkopf & Hartel called Der Improvisator: Phantasien und Variationen. The Impromptu is an expressive composition in the nocturne style of the late nineteenth century. A very brief late work of only about three minutes' duration, it reflects Liszt's meditative ruminations. It begins Animato, con passione, with the left hand playing a rolling arpeggio while the melody soars and then descends to the low register of the keyboard, before it ascends again. There is colorful harmonic character, and a three-against-two rhythmic pattern in the center yields to a harplike sound that produces an ethereal texture distinctive to the nocturne. This theme gives way to a melody of descending thirds that continues until the end of this charming work. Overall, the composition has a sweetness in its declamatory style.
Valse Impromptu in A-flat Major
The light and delicate Valse Impromptu, Sempre scherzando, is not a waltz of the Viennese type; instead it takes on the character of a brilliant etude full of translucent shimmering. In this work, the keyboard does all the dancing, with the melodic figures in the right hand and the flow of its piquant harmony in the left. The composition contains many appoggiaturas. Although published in 1850, it is said to have had an earlier version.
Après une lecture de Dante ("Fantasia quasi sonata"), from Années de Pèlerinage
As a young man, Liszt was known to have admired the works of Dante, and late in life he wrote a huge symphony based on Dante's Divine Comedy; but the title by which we know this piece, Après une lecture de Dante, has its source in a poem by Victor Hugo, a meditation on Dante's life and work. The poem begins, "When the poet paints hell, he paints his own life; his life, a fleeing shadow pursued by spectres; a mysterious forest where his terrified feet wander, stumbling from well-worn paths; a dark journey, obstructed by strange encounters; a spiral with vague boundaries and enormous depths, whose hideous circles go forever onward into a gloom where moves the vague and living hell!"
Liszt's subject here is perhaps as much Hugo as Dante, or Hugo's vision of Dante. The work is a large virtuoso piece — a free, but powerful, rhapsodic development of several themes in sections that follow each other in an uninterrupted sequence. The sections are all related by the consistent use of four themes and their variants. In the slow introduction, Andante maestoso, the first theme is made up of full octaves descending by tritones. Early theorists called this group of descending intervals diabolus in musica (the devil in music), and it is here used to depict Dante's Inferno. The other themes consist of a chromatically curling melody, a hymn, and one that sometimes is taken to represent the ill-fated Francesca da Rimini and her lover Paolo, whose story Dante tells in the fifth canto of The Inferno.
fantasia, and Schubert's Wanderer Fantasy of 1822. Liszt's work is a large, sectional work in cyclic form, that in size and scope can be understood either as a sonata or a multimovement fantasia. It is a precursor of the orchestral symphonic poem, a form that Liszt invented and named.
— Program notes by Susan Halpern, © 2008
Lizst created the original version of this work in 1839, and played it in public that year; but he withheld it from publication until 1858, when he felt at last that he had sufficiently refined and tested it. The work finally became part of the second year of his great collection, Années de Pèlerinage (years of pilgrimage), which consists of pieces on Italian subjects.
Liszt derived his idea of a Fantasia quasi sonata from the important works in which the late Viennese classicists had begun to break down the traditional sonata and to organize it in different ways. The greatest examples are the Moonlight Sonata of 1802, which Beethoven called Sonata quasi una
30
|
ICASA Attention: Mr Lordwill Zwane Pinmill Farm 164 Katherine Street Sandton
E-mail: firstname.lastname@example.org, email@example.com
29 January 2018
Dear Mr Zwane
SUBMISSION IN RESPECT OF THE DRAFT NUMBER PORTABILITY
REGULATIONS (GG41275)
Switch Telecom thanks the Authority for the opportunity to make submissions in respect of the draft Number Portability Regulations. Since we have already provided background to Switch Telecom's involvement in GNP as part of the "QUESTIONNAIRE: INQUIRY INTO NUMBER PORTABILITY REGULATIONS" process and as we have previously presented to the Authority, we will not re-iterate points previously raised.
Switch Telecom congratulates the Authority for addressing the long-overdue demand for Non-Geographic Number Portability. We welcome the opportunity to offer this to subscribers.
SPECIFIC CLAUSES – MAIN REGULATION
1 Clause 5(1), in its current form, restricts Geographic Number Portability to subscribers "who have been assigned a block of ten or more numbers within the same allocated block(s)".
1.1 It cannot possibly be the intent of the Authority to deny all individual subscribers the right to GNP!
1.2 This clause should be reworded to state "Licensees that have been allocated geographic numbers must work together to offer number portability to their subscribers."
1.3 The process of porting one geographic number is identical to the process of porting multiple geographic numbers. Any reference to porting of "blocks" is unnecessary as this was a historic provision that related to Telkom and Neotel manually porting large number blocks prior to the full implementation of GNP in 2010 via the CRDB.
2 Clauses 5(3), 5(4), 6(1)(c), 6(1)(d) 6(2)(c) and 6(2)(d) are grossly inadequate to meet any constructive purpose. The public and interested parties cannot practically make use of hundreds of lists, published in different formats and in different places, listing numbers ported-out. To be useful, a single, authoritative list of ported numbers needs to be made available by the entity maintaining the "Central System" listing not just all the ported numbers but, more importantly, which licensees they have been ported to. It is suggested that these clauses be re-worded to state that "Licensees shall, by means of the Central System, makes available, free of charge, via the Internet, a list of ported numbers setting out, in respect of each number, the Licensee currently serving that number. The list shall be updated at least once a day."
3 Clause 8(2) seems unnecessary given that various licensees offer transit services to smaller ones. The effect of this clause may be harmful to smaller licensees that should not need to synchronise their routing against the database, provided that their transit provider(s) do so.
4 Clause 8(5) has been split; clause 8(6) should be merged back into 8(5).
5 The apportioning of per-customer costs between licensees is cumbersome and adds unnecessary overhead to the cost of porting. All licensees benefit from being recipients in the Number Portability process and the quid-pro-quo is the responsibility of being a Donor too. These administrative costs are largely fixed and largely reciprocal. Switch Telecom strongly encourages the Authority to eliminate per-customer charges between Licensees and contends that this is essential to keeping charges levied to subscribers to a bare minimum. We encourage the rewording to clause 9(3) to state "No per-customer charges shall be levied by Licensees to against other Licensees."
6 Clause 9(6) makes an incorrect cross-reference to clause number 8(5). It is not clear which clause the Authority intended to cross-reference.
7 The duration of the warning message in clause 10(2) is absurdly long and conflicts with section 7 of schedule A ("Functional Specification"). A warning message of 5 seconds is excessively long and will only serve to annoy and confuse subscribers into believing that their call is failing to connect. A warning tone should never take longer than a single second.
8 It is further noted that a warning tone is entirely unnecessary in instances where the called number is being billed according to the same tariff as a number that has not been ported and, increasingly, in the interests of transparency, licensees are offering tariff plans with identical onnetwork and off-network tariffs. Switch Telecom strongly urges the Authority to amend clause 10(2) to state a warning tone is only required where the subscriber is being charged a different rate to the rate that would have applied had the number not been ported or where bundled minutes do not apply in the same manner to the number as they would have had it not been ported.
8.1 The Authority should be working towards a regime of transparency of tariffs and one where competition is encourages. Switch Telecom contends that warning tones are of little benefit to help the subscriber understand their tariffs and are, by nature of the fact that they add additional call-connection delay, anti-competitive.
8.2 Switch Telecom recommends that, if the Authority is serious about tariff transparency, that it mandates that Licensees may not charge more for a call to a ported number than for a call to the same number had it not been ported; AND, that bundled minutes should apply in respect of numbers that have been ported exactly as they would had the number not been ported.
9 Clause 12 is extraordinarily vague and oppressive towards licensees.
9.1 It is unjust that the Authority should allow the imposition of such a large fine without setting out the nature of the infringements contemplated and ensuring that the quantum of the fine is proportionate to the harm associated with the infringement.
9.2 To allow such a range of discretion to the officer responsible for sentencing without any guidance creates a recipe for inconsistent and unjust enforcement as well as a shroud of distrust by licensees.
9.3 The systems involved with Number Portability are NOT conducive to prompt responses. Where, for example, the Authority expects a turnaround time of less than 60 minutes, the CRDB does NOT issue alerts to WebGUI participants. To subject a small licensee to a R300,000 fine over a shortcoming in a system that, by nature of the shareholding and management of the NPC, they have no say in the running of, is of questionable legality.
9.4 The Authority must differentiate between deliberate acts of infringement and minor transgressions and must ensure that fines are proportionate. For example, response to a message in 61 minutes instead of the mandated 60 minutes should not possibly carry the same consequence as declining authorisation for a subscriber to port where they are lawfully entitled to port.
SPECIFIC CLAUSES – SCHEDULE A
10 Clause 2(2) includes Saturdays, however, in practice, not a single one of the licensees involved in Geographic Number Portability comply with this at present nor operate their Porting Teams on Saturdays. Switch Telecom suggests amending this such that Saturdays only apply in respect of Mobile Number Portability.
11 Clause 3(2)(b) states that the request to port should include "an account number from the donor operator." In practice, this is often captured incorrectly and the recipient operator does not always authenticate that the person requesting the port is the genuine account holder. In the interests of protecting subscribers against unauthorised ports and ensuring that porting is authorised on the first request, Switch Telecom strongly recommends that this be reworded to "copy of an invoice, statement of other document issued by the donor operator clearly setting out the subscriber's name and account number as per the donor operator's records." This will also help speed up the porting process as, if the recipient inputs the account name and number exactly as it appears in the donor's records, the port can be authenticated in seconds by computer. It will also help the recipient operator authenticate the account holder and will help eliminate issues where, for example, the subscriber has multiple numbers spanning multiple accounts.
12 With respect to clause 4(2), it appears that the Authority has proposed this mechanism without giving any thought as to the practicalities of how this would work. While an IVR may, potentially, work for home subscribers who are natural persons, it is entirely inappropriate for business subscribers where the person answering the call is not the contractual account holder. Even within a home environment, a geographic service is often shared by a family. It is extremely problematic that whomever answers the call can authorise porting of numbers, irrespective of whether or not that person is the contracted party. What is the legal standing if, for example, a minor inadvertently authorises the porting of a home number or the receptionist inadvertently authorises the porting of an entire company's numbers.
12.1 Switch Telecom strongly recommends the replacement of this clause with wording along the lines of "Donor operators shall provide an automated mechanism for subscribers to validate geographic number and non-geographic number (with the exception of mobile numbers) ports in a quick and secure manner."
13 Switch Telecom questions the intent of clause 4(3) in the light of clause 4(4). If, per clause 4(3), the subscriber confirms that they did NOT request porting but, per clause 4(4), the donor cannot reject the port request, then the donor is placed in the untenable position of authorising a port that they know to be unauthorised. It seems that either clause 4(4) should be revised to allow rejection of ports where the subscriber confirms, in writing, that they are unauthorised, or, alternatively, clauses 4(3) and 4(4) should both be removed so that donors do not seek confirmation that they are, in any case, not empowered to act on.
14 Clause 5(1)(g) refers to a period of "one (1) calendar month" however, the CRDB, in its current form, does not support this unit. To ensure the regulation is harmonised with the technical capabilities of the CRDB, Switch Telecom suggests that this be revised to "30 calendar days."
15 Clause 5(1)(i) should be removed as it makes the assumption that the donor operator knows the address that the subscriber has contracted with the recipient operator. The inclusion of this provision creates both an obligation on the donor to verify something that it cannot verify as well as a loophole in terms of which porting can be repeatedly delayed and rejected by a donor while it insists of documentary evidence of the relationship between the recipient operator and the subscriber. This could severely obstruct porting.
15.1 Enforcement of compliance with the regulations is the role of the Authority and not donor operators. To the extent that licensees are expected to police one another, donor operators will act in a manner to prevent and obstruct subscribers from porting out.
16 The wording of clause 5(2) does not make sense. Any response detailing a rejection should be "within [..] of rejecting the request" and not "within [..] of receiving the request." The time period should be "immediately", as the very nature of rejecting a port is such that one should have a valid reason and therefore there should be an obligation to immediately communicate such reason.
17 Clauses 5(3) and 5(4) imply that short coded numbers are portable, however, the main regulation does not provide for the porting of such numbers. It is recommended that these clauses be removed as they just create confusion. Alternatively, the main regulation should be amended to specifically address short coded numbers and clarify which such numbers are eligible to be ported.
18 Clause 6(2) is overly vague and impractical, particularly in light of the heavy fines associated with non-compliance. The wording should be more specific, e.g. "The donor operator must de-activate numbers that have ported away from its network as soon as possible and within a period of one (1) hour of receiving notice from the Central System that the recipient operator has activated the number on its network."
19 Clause 6(3) does not take into consideration the reality that the NPC currently makes available to most participants daily updates at a time of their own convenience (and not at Network Synchronisation Time). In effect, this clause leaves all but a few of the largest participants noncompliant and it would be extremely difficult for them to comply given that only the largest participants have any say in the running of the NPC and its service offering. Switch Telecom proposes either the deletion of this clause or rewording such that synchronisation shall be completed within one (1) hour of the Central System making such updates available to the network operator.
20 Clause 8 does nothing to address the situation of subscribers losing services (particularly ADSL) that they were not aware that they were going to lose. Recipient operators are doing their utmost to ensure that subscribers are aware that they will lose ancillary services, however, this is not always visible to the recipient operator (e.g. we've had subscribers port within 60 days of Telkom activating ADSL on their line so the ADSL didn't appear on their tax invoice yet and we therefore didn't warn them that they would lose the ADSL as we weren't aware that they had ADSL).
GENERAL REMARKS
Switch Telecom notes that the Authority avoided dealing with the role of the Number Portability Company within the porting process. The draft regulation places obligations on licensees that, from a practical
perspective, can only be effectively complied with by the NPC itself. While the Authority seems to take the position that it can place the obligations on licensees and, in turn, licensees must compel the NPC to act
as required to facilitate such compliance, the reality is that only some licensees are shareholders in the
NPC and have influence on its activities, reporting, fees and fee structure. While the term "Central
System" is defined, we were unable to find references to it. We do query scenarios where obligations have to, from a practical perspective, be connected back to the “Central System.” It is particularly
problematic that licensees that have no control of the NPC are, for example, measured in terms of turnaround times of response to the “recipient operator” rather than response to the “Central System.”
The undertone to many clauses of the draft regulation is that the Authority doesn't recognise the NPC and its role in the porting process. The Authority should either recognise it and make the appropriate
references to the "Central System" or take actions to overhaul the porting system to one that doesn't make use of a “Central System.” But to hold licensees accountable for the actions of an entity that they
have no management control over and that the Authority itself is declining to regulate, is unfair.
It is disappointing that, despite extensive input given during both the questionnaire process and the hearings, that the Authority has done so little to effect small practical changes to optimise the porting
process. Basic suggestions that we proposed such as imposing automation requirements on licensees processing higher volumes of ports seem to have been overlooked as have common-sense suggestions
such as requiring the specification of subscribers within the port request by ID number or registration number where possible (and only by name where they don’t have an ID or registration) to facilitate
automatic computer-based port approval/rejection.
Switch Telecom believes that there is an opportunity to vastly improve the porting process and turnaround times. The approach of threatening arbitrary fines for unspecified infringements is unlikely to result in
greater compliance, faster processing of ports or a better subscriber experience. Rather, obligations to automate various parts of the porting process – particularly on those licensees processing large volumes
– would radically reduce the turnaround time, decrease the volume of human error and/or inaction, and make it significantly more difficult to engage in discretionary acts of obstruction to the porting process.
In closure, Switch Telecom thanks the Authority for the opportunity to provide input and requests that the
Authority invite us to participate in any further processes relating to Number Portability. We also looks forward to implementing the new Number Portability Regulations and, in particular, offering Non-
Geographic Number Portability as soon as possible.
Yours faithfully
|
GetImageCount() or GetImageCountEx(). The usage of the function is described in detail at InsertImageEx().
Return values:
If the function succeeds the return value is the image handle, a value greater or equal zero. If the function fails the return value is a negative error code.
InsertMetafile
Syntax:
```
LBOOL pdfInsertMetafile( const void* IPDF, // Instance pointer const char* FileName, // File path to EMF or WMF file double PosX, // X-Coordinate of output rectangle double PosY, // Y-Coordinate of output rectangle double Width, // Width of output rectangle double Height) // Height of output rectangle
```
The function converts an Enhanced Meta File (EMF) or Windows Meta File (WMF) to native PDF vector graphics. The function requires an open page or template into which the metafile can be drawn (see Append() or EditPage()). If a metafile should be used as fixed background on multiple pages, then insert it into a template and place this template on the pages where it should be used (see BeginTemplate() for further information). It is of course also possible to insert such a metafile on each page separately, but this would waste processing time and disk space.
The point PosX, PosY defines the lower left corner of the output rectangle if the coordinate system is bottom-up and the upper left corner otherwise.
Bounding box check
The function checks whether the resolution of the EMF file seems to be larger as 1800 DPI. If this is the case then the rclBounds rectangle is used to calculate the picture size since this is mostly an indication that the rclFrame rectangle was incorrectly calculated. If you need to process EMF files in a higher resoultion as 1800 DPI then disable the bounding box check with the flag mfNoBBoxCheck. See SetMetaConfFlags() for further information.
How to calculate the image size?
The calculation of the image size should be easy as possible. In most cases, metafiles must be inserted with exact proportions. Therefore, all metafile functions support two special values to make the calculation easier. The width and height can be calculated as follows:
If Width or Height is -1 the function uses the original width or height from the image. If both parameters are -1 the metafile will be inserted with a resolution 72 DPI. However, this is not meaningful for metafiles because the logical size of a metafile is usually too large as if it could be used. You should not produce EMF files in a resolution of 72 DPI.
If Width or Height is 0, the missing value is calculated in relation to the given value of Height or Width to preserve the metafile's aspect ratio. The resulting output is a vector graphic with exact proportions relative to its original size.
If Width and Height is 0, the original size is used (same effect as -1, should not be used).
Negative values of Width or Height are ignored; the function uses always the absolute values.
Font selection in EMF files
When selecting a font with the GDI function CreateFont(), the GDI selects a font that is a good match in comparison to the used parameters. The highest search priority has the Charset, followed by PitchAndFamily. If one of these parameters are not supported by the requested font, then the GDI selects an arbitrary other font that represents a better match.
To get a close match to what the GDI would select, the flag mfGDIFontSelection can be set (see SetMetaConvFlags() for further information). DynaPDF uses then a device context to select fonts. This produces often better results since many EMF files use invalid font names or other invalid parameters.
In general, DynaPDF checks whether the requested glyphs are available in the font. If one or more glyphs are missing then the selected font will be loaded in Unicode mode if it was loaded with a code page. If still glyphs are missing then the font will be changed to Arial Unicode MS. This fallback was mainly added for Asian EMF files which use often wrong charsets or fonts which do not support Asian characters.
Character sets
The charset parameter of a CreateFont() function should be set correctly so that DynaPDF can directly load a font with the required code page or Unicode:
ANSI_CHARSET: The font will be loaded with the code page 1252. This saves disk space because ANSI strings require only one byte per character. However, if the same font must also be used with other encodings then use DEFAULT_CHARSET instead.
DEFAULT_CHARSET: The font is directly loaded in Unicode mode. This charset must be used for any non-Latin charset.
SYMBOL_CHARSET: This charset must be used for symbol fonts. Symbol codes start at 0xF000. The mapping in EMF file is often wrong. DynaPDF corrects this automatically.
All other character sets are treated in Unicode mode. EMF files do not contain strings in other encodings.
For Asian EMF files it is recommended but not required to set the flag mfUseUnicode. This flag makes sure that a font will not be loaded with the code page 1252 which is mostly not meaningful in Asian EMF files. It slightly improves the processing speed if a file contains many create font records with invalid charset information.
Non-portable WMF files
Two WMF file formats are available, the old non-portable WMF format and the newer portable WMF format. Both formats are converted to EMF before they can be converted to PDF. DynaPDF uses the Windows API function SetWinMetaFileBits() to convert WMF files. Because of this, WMF files are not supported on Mac OS X, Linux or UNIX.
However, the old non-portable WMF format is device depended; it contains no size information in the file's header so that this file type must be handled separately. The conversion function SetWinMetaFileBits() requires a parameter of the type METAFILEPICT, this structure is only initialized to default values by DynaPDF for non-portable WMF files:
```
METAFILEPICT pict; pict.hMF = NULL; pict.mm = MM_ANISOTROPIC; pict.xExt = 0; pict.yExt = 0;
```
The picture size is set to zero so that the GDI must calculate the size. WMF files converted in this way are often stretched. To get correct output results you must set the width and height of the WMF file manually with the function SetWMFDefExtent(). The size must be calculated in 0.01 millimetre units. A widely used size is 210000 x 280000 units for high resolution metafiles.
Notice: Missing lines or other objects indicates that the output size is too small. The GDI function SetWinMetaFileBits() removes records which would be invisible or too small to appear in the requested size. Set the output size to a larger value in this case.
Portable WMF files
The usage of portable WMF files is the same as of normal EMF files. However, many people want or must to personalize WMF files with additional contents and many of them have problems to calculate the correct WMF picture size which is required to get a correct EMF file. Let's see how DynaPDF calculates the size of a WMF file:
First, we need the header of the WMF file because the structure contains the size of the WMF file. The WMF header is defined as follows:
```
struct TRectS { SI16 Left; SI16 Top; SI16 Right; SI16 Bottom; }; #include <pshpack2.h> // packed structure struct TPORT_METAHEADER // 16 bit portable WMF file { UI32 Key; // WMF identifier (must be 0x9AC6CDD7) SI16 Handle; // Number of handles in file TRectS BBox; // Bounding rectangle
```
```
UI16 Inch; // Pixels per inch UI32 Reserved; UI16 CheckSum; // Aldus checksum }; #include <poppack.h>
```
The header files pshpack2.h and poppack.h are available in Visual Studio and Embarcadeo's C++ Builder; they are used to declare a packed structure. Fill the structure TPORT_METAHEADER now with values:
```
TPORT_METAHEADER wmf; fread(&wmf, 1, sizeof(wmf), f); if (wmf.Key != 0x9AC6CDD7) // Is this a portable WMF file? { fclose(f); return -2; }
```
Now we can calculate the size of the metafile picture:
```
METAFILEPICT pict; if (!wmf.Inch) wmf.Inch = 96; pict.hMF = NULL; pict.mm = MM_ANISOTROPIC; pict.xExt = (wmf.BBox.Right - wmf.BBox.Left) * 2540 / wmf.Inch; pict.yExt = (wmf.BBox.Bottom - wmf.BBox.Top) * 2400 / wmf.Inch;
```
As you can see above, the y-axis is not calculated with 2540 pixels per inch. DynaPDF uses 2400 pixels instead. I don't know why it must be 2400 pixels in most cases, but the y-axis is often stretched otherwise. This value can be adjusted in the range 2000 to 3000 with the property WMFPixelPerInch. This property changes the value of the y-axis only; the value of the x-axis is always 2540.
Notice: The adjustment above is maybe not required. The value 2400 pixels per inch was determined via trial and error.
ROP Codes (Raster Operation Codes)
EMF files are mostly created for a raster device like a monitor or printer. Because of this, metafiles use often ROP codes which combine fore- and background colors to achieve transparency or other color effects. Such ROP codes are meaningful on a raster devices but not on a vector device like PDF. Because no raster image is created during conversion, it is not possible to use ROP codes which combine fore- and background colors.
The function checks for unsupported ROP codes during conversion. If an unsupported ROP will be used then the EMF file will be rendered to an image by default. The problem with ROP codes is that the result depends on the background. So, the result will be often correct also if the file uses unsupported ROP codes. In most cases it is better to disable the rasterizer with the flag mfDisableRasterEMF and to enable it only if the output is wrong. See SetMetaConvFlags() for further information.
Notice:
When an EMF file is rendered to an image then it will be rendered in the resolution that was set with SetResolution(). The default resolution is 150 DPI which is usually too low to achieve good results. For good results the resolution should be set to 300 or 600 DPI.
How to convert spool EMF files?
EMF spool files contain EMF files for every page of a GDI print job. The spool file can also contain embedded fonts which are required by the EMF files. These fonts must be loaded in a pre-conversion step before the first EMF file can be converted. Embedded font subsets and corresponding delta font records must also be converted to regular TrueType fonts.
The function ConvertEMFSpool() can be used to convert a complete spool file to PDF, or if you want to use your own spool file parser, it can be used to load the embedded fonts from the spool file. Note that you must set the flags mfUseUnicode and mfIgnoreEmbFonts with SetMetaConvFlags() if only the spool fonts should be loaded. These flags are required in this case!
If you want to do anything manually with your own code then make sure that embedded font subsets and corresponding delta fonts will be converted back to regular TrueType fonts with Microsoft's function MergeFontPackage() of the fontsub.dll.
The resulting fonts as well as all other embedded fonts must be loaded with LoadFont() with the code page cpGlyphIndexes or cpUnicode (cpGlyphIndexes is preferred). In addition, the flags mfUseUnicode and mfIgnoreEmbFonts must be set with SetMetaConvFlags().
The code page cpGlyphIndexes or cpUnicode as well as the flag mfUseUnicode must be set to avoid collusions with the internal font selection during EMF conversion. The flag mfIgnoreEmbFonts makes sure that DynaPDF does not load the same embedded fonts again which are available in GDIComment records.
Compatibility Note:
DynaPDF versions prior 126.96.36.1996 were not able to load spool fonts automatically. It was required to load the fonts in the user's temp directory manually with AddFontSearchPath() and the font cache had to be cleared before the next spool file could be converted. This technique was rather inefficient and is no longer supported. Existing applications should be changed to avoid the unnecessary calls of AddFontSearchPath() and ClearHostFonts(). AddFontSearchPath() does no longer load fonts with the extension tmp.
Remarks:
DynaPDF supports several flags to convert metafiles files to PDF, see SetMetaConvFlags() for further information. Because the GDI function SetWinMeatFileBits() is used to convert WMF files to EMF, WMF files are not supported on Mac OS X, Linux or UNIX.
Return values:
If the function succeeds the return value is 1. If the function fails the return value is 0.
|
Collaborating to Reduce Serious Harm: A Privacy Protective Roadmap for Situation Tables
Stephen McCammon Legal Counsel Office of the Information and Privacy Commissioner of Ontario
Addressing Risk Through System Collaboration Northumberland Community Mobilization Coalition Meeting September 14, 2016
Presentation Overview
* Background regarding the Information and Privacy Commissioner's (IPC) mandate, role, and recent activity
* The Privacy Protective Roadmap - issues and solutions in the context of a collaborative service delivery development: the Situation Table
Key Message: Respect for Privacy
*
Increased focus on collaboration and information sharing to improve service delivery and reduce significant risks of serious harms
* A roadmap for innovation and success accounts for privacy requirements and best practices (e.g. data minimization)
* Respecting personal privacy of clients is essential to ensuring trust and providing effective service delivery
IPC Mandate and Role
* Office established by statute in 1988
*
IPC appointed by and reports to the Legislative Assembly of Ontario
* Provides independent and impartial review of access and privacy decisions and practices
* Provides guidance; conducts inquiries, investigations and reviews; issues orders and makes recommendations
IPC Oversight
* The IPC ensures compliance with three privacy statutes FIPPA and MFIPPA which provide:
─ Right of access to information in the custody or control of institutions and appeal of access decisions to the IPC
─ Privacy rules for government institutions' collection, retention, use and disclosure of personal information (PI)
* PHIPA which provides:
─ Comprehensive privacy protections for personal health information (PHI) in the custody or control of "health information custodians" (HICs) (including rights of access, correction, and complaint)
Situation Table Work
* Participated in Law Reform Commission of Ontario workshop on integrated approaches to community safety (2013), Waterloo Region Crime Prevention Council dialogue on privacy and information sharing (2014) and Economics of Policing Workshop (Ottawa, 2015)
* Observed and commented on three Situation Tables: Cambridge, North Bay, & Rexdale FOCUS (2015)
* Continuing to respond to queries about Situation Table-related privacy issues and solutions, as well as to speak at forums and Situation Tables
* Worked closely with the Ministry of Community Safety and Correctional Services (Ministry) and the OPP on the development of new provincial guidance documents (2015-2016)
New Privacy Guidance
* The IPC provided detailed comments on:
─The Ministry's August 2016 Guidance on Information Sharing in Multi-Sectoral Risk Intervention Models:
o Provides a roadmap for information sharing at Situation Tables using a privacy protective version of the four-filter approach that has the support of the IPC
* Chapters VI & VII of a Situation Table Guidance Manual
─An April 2016 manual produced by Dr. Hugh Russell with a grant from the Ministry and guidance from the OPP's Community Safety Services
A Roadmap for Success
The IPC's key contribution to this Guidance:
* A roadmap for compliance with privacy requirements
─The roadmap is designed to allow agencies to collaborate to reduce significant risks of serious bodily harm
─The IPC recommends the use of the roadmap as outlined in the August 2016 Guidance
─If another route is chosen, you must still ensure that shared and services are delivered in a privacy compliant manner
Taking Another Route: Proceed with CAUTION
* Consider conducting a privacy impact assessment
* Each agency must have and is advised to map out the legal authorities for its own information handling activities (e.g. collection, retention, use, disclosure)
* RISK: Disclosure of name/address/DOB (e.g. to the entire table at Filter 3) links the individual to the information disclosed at Filter 2
*
RISK: A disciplined discussion is necessary, but is likely to be insufficient if disclosure is made to those who have no reasonably foreseeable role to play in planning or carrying out the required intervention
* RISK : The wider the disclosure of PI/PHI (e.g. at Filter 3 or during the Report back), the greater the risk of a privacy breach
The Roadmap for Success ... Starts with Planning and Governance ...
* Strong governance is necessary to ensure that all participants understand their responsibilities and are able to participate in the Situation Table in a privacy protective manner
* Each participating agency is responsible for complying with privacy legislation and being accountable for its actions and decisions
*
Data-minimization is essential to compliance (i.e. refrain from handling PI /PHI when other information will serve the purpose, do not collect, retain, use or disclose more PI/PHI than is necessary and do not disclose PI/PHI to more agencies than is necessary)
* To be accountable, institutions and HICs need to be transparent about their participation in a Situation Table, including by providing contact information of an individual who can provide further information or receive a complaint
... is Guided by Need-to-Know Rules ...
* At every stage, limit the handling of PI / PHI to those who have the legal authority to collect, use and disclose that information, and who have a legitimate need to know the information
*
To ensure appropriate handling of PI/PHI, participating agencies should sign an information sharing agreement (especially when agencies not covered by privacy legislation are involved)
:
* Among other things, an information sharing agreement
─confirms who may handle specific PI / PHI, under what circumstances and for what purpose(s)
─outlines measures that must be implemented for the protection of PI / PHI
* Situation Table chairs should facilitate a privacy compliant discussion while helping to identify risk factors, Filter 4 agencies, etc.
... and Provides for Oversight
* Situation tables require policies, procedures and practices to ensure continued adherence to privacy legislation
* These mechanisms will help agencies ensure that all information is collected, retained, used and disclosed in a compliant and appropriate manner. They should address:
─methods to ensure that information is accurate and up-to-date
─the right to access and correct one's own record of PI / PHI
─ record keeping requirements, including those relating to the secure retention and disposal of PI/PHI
─periodic auditing of information handling practices
─regular review of which agencies should participate
─ training requirements
─ transparency requirements
Share with Consent, Provide Notice
* Whenever possible, PI /PHI should be collected, used and disclosed with the individual's express consent [but remember, institutions must also comply with s. 28(2) of MFIPPA]
* Consent must be: from the individual to whom the information relates, knowledgeable, related to the particular information, and never obtained through deception or coercion
*
A disclosing agency should document the consent (e.g. the date of the consent, the information to be disclosed, the organizations to whom the information will be disclosed, for what specific purpose(s), and subject to what restrictions or exceptions)
*
As a general rule, individuals should receive written notice shortly after their PI/PHI is disclosed and contact information for each agency to whom their PI/PHI was disclosed or a contact number or website that allows the individual to readily access such contact information
* Written notice may be provided, for example, during the first in-person intervention using a card, letter or pamphlet
... Moving from Filter 1 to Filter 2
* While agencies must use PI/PHI in selecting cases at Filter 1, it is essential that only de-identified information be shared at Filter 2 (i.e. during the group's assessment of risk and the need for a multi-agency intervention)
*
Information is de-identified if it does not identify an individual, and it is not reasonably foreseeable in the circumstances that the information could be used, either alone or with other information, to identify an individual
* The removal of direct identifiers may not be sufficient to prevent reidentification. "Quasi-identifiers" can be used for re-identification (e.g. gender, marital status, location, date, diagnosis, profession, ethnic origin, visible minority status, and/or income)
* Quasi-identifiers can be used either by themselves or in combination with other available information to uniquely identify individuals
... Tips for Keeping It De-identified
* Determine what classes of de-identified information are required to effectively assess risk and focus the discussion on those factors
* Avoid the discussion of any quasi-identifiers that are not relevant
*
Even when it comes to relevant factors, avoid discussing an individual's circumstances in precise terms (e.g. if age or location are relevant, refer to age in broad ranges like "minor", "adult" or "senior", and a neighborhood or street rather than a person's address)
*
If an intervening agency needs to record information about an individual case (e.g. in a de-identified report), use a unique pseudo-anonymous number, rather than the individual's initials or contact information
Filter 3: Identify the Scope
* If Filter 2 thresholds are met and consent is unavailable or insufficient, identify the agencies reasonably believed to be necessary to the planning and implementation of the intervention
* Ensure those agencies have the authority to collect the PI/PHI
*
Only these agencies and those agencies the individual has expressly consented to may move forward to the Filter 4 part of the meeting
*
Securely destroy any notes captured by any other agencies at Filters 2 and 3 (possible exception: the nominating/disclosing agency)
NOTE: The threshold for moving to Filter 4 and disclosing PI/PHI is based on:
─ Provisions in FIPPA/MFIPPA which permit an institution to disclose PI "in compelling circumstances affecting the health or safety of an individual" (note duty to provide subsequent notice)
─ A provision in PHIPA which permits a HIC to disclose PHI "if the custodian believes on reasonable grounds that the disclosure is necessary for the purpose of eliminating or reducing a significant risk of serious bodily harm to a person or group of persons"
Filter 4: A Separate Meeting
* Limit the Filter 4 part of the meeting to:
─those agencies reasonably believed to be necessary to the planning and implementation of the intervention
* Limit the Filter 4 discussion to:
─the information reasonably believed to be necessary to plan and implement the intervention
*
A further agency may be added to the Filter 4 part of the meeting if it becomes clear that its involvement is necessary
NOTE: If at any stage, it becomes evident that the risks are already being mitigated (e.g. the individual is already connected to sufficient services), no further information sharing should occur at the Situation Table. However, the individual should still receive notice of the disclosure of his or her information (e.g. from the disclosing agency). Such notice should focus on the fact that disclosure was made to specified members of the Situation Table, the context and where to obtain further information
Consent Should Drive Information Sharing
* At the first reasonable opportunity (e.g. during the intervention):
─Seek (or confirm) the individual's consent for any further servicerelated information sharing (including for the purpose of the report back stage)
─Provide written notice of the names and contact information of the agencies to whom the individual's PI/PHI has been disclosed
* If the individual declines the offer of service, any further information sharing should cease
* During the report back stage, limit the sharing of information to deidentified information and an indication that the file can be closed or that the intervening agencies need to discuss further action, unless the individual has provided express consent to a specific form of report back involving his or her PI/PHI
Concluding Observations
* Important work is being done to create new service delivery models designed to respond to significant risks of serious harms faced by vulnerable individuals
* Situation Tables and other innovative models can operate in a privacy protective manner with sufficient planning and governance
* Use of the privacy protective roadmap will help foster a strong sense of responsibility amongst all participants to maintain confidentiality and comply with privacy legislation
* The IPC is available to provide general guidance to communities with respect to operating innovative service delivery models in a privacy compliant manner
Privacy Impact Assessment Guide
* PIAs are tools to identify privacy impacts and risk mitigation strategies
* Widely recognized as a privacy best practice
* IPC developed a simplified 4 step methodology and tools for M/FIPPA institutions
* Participating institutions should conduct a PIA on their own or in collaboration with other participants
PIA Guidelines (PHIPA)
* Participating health information custodians should conduct a PIA to facilitate compliance with PHIPA
* These Privacy Impact Assessment Guidelines also include a self assessment tool
How to Contact Us
Information and Privacy Commissioner of Ontario
Toronto, Ontario, Canada
2 Bloor Street East, Suite 1400
M4W 1A8
Phone: (416) 326-3333 / 1-800-387-0073
TDD/TTY: 416-325-7539
Web: www.ipc.on.ca
E-mail: email@example.com
|
Phase I – Planning Grant for Collaborative and Multidisciplinary Pilot Research (CaMPR). Irving Institute for Clinical and Translational Research of Columbia University.
Title: Identifying the physiological and pharmacological basis of venous thrombo-embolism in women who use estrogen-containing medications - focus on combination hormonal contraceptives
Co-Principal Investigators:
Andrew Eisenberger, MD, Assistant Professor of Clinical Medicine, Division of Hematology and Oncology
Carolyn Westhoff, MD, MSc, Professor of Epidemiology and Population and Family Health, MSPH, and Professor of Obstetrics and Gynecology; Director, Division of Family Planning and Preventive Services.
Co-investigators:
Joseph Bertino, PhD Adjunct Associate Professor of Pharmacology
Serge Cremers, PhD, PharmD, Assistant Professor of Medical Sciences; Director, Biomarkers Core Laboratory
David Diuguid, MD, Hope Sheridan Associate Professor of Clinical Hematology; Chief, Section of Hematology, Department of Medicine
Alex Rai, PhD, Assistant Clinical Professor of Pathology and of Cell Biology; Director, Clinical Chemistry; Scientific Director, Center for Advanced Laboratory Medicine.
Consultants:
Henny Billet, MD, Professor of Clinical Medicine, Department of Medicine (Hematology) and Professor of Clinical Pathology, Department of Pathology; Director, Thrombosis Prevention Program, Albert Einstein College of Medicine
Malcolm C. Pike, PhD, Attending Epidemiologist, Memorial Sloan-Kettering Cancer Center; University Professor, University of Southern California
Corresponding investigator: C. Westhoff, 305-7070, email@example.com, PH 16-69
Specific Aims
The overarching aim of the project is to elucidate the pharmacological and physiological basis of venous thrombo-embolism (VTE) among women using oral contraceptives (OCs), and other estrogen-containing contraceptives and related drugs, in order to develop a valid approach to assess whether particular OCs are associated with greater risks of VTE. Similarly, the project results will help develop a more nuanced clinical approach to discriminate women at high versus low risk of contraceptive-associated VTE.
"Phase I" (Planning Grant) will critically review and synthesize the extensive relevant literature to identify the important knowledge gaps, as indicated in the figure below. We will define the key coagulation system perturbations and candidate assays, and the measurable metabolic pathways that are key to OC pharmacokinetics. We will carry out relevant analysis of existing datasets available to the investigators. We will develop and assess feasibility of recruiting "cases", that is, women who have experienced an OC related VTE. "Controls" will be readily available from local sources.
"Phase II" will include laboratory-intensive study of normal women before and during OC use to perfect specific assays identified as most likely relevant to the proposed causal pathway; and assess between-women variability and performance characteristics of these candidate assays in order to prepare and justify a definitive case/control study.
"Phase III" will be to obtain external funding for a large case/control study comparing affected and unaffected women with regard to contraceptive pharmacokinetics/genomics, and perturbations of the coagulation system, as well as comparisons of the known genetic and acquired VTE risk factors in order to evaluate possible interactions between these factors and risk from OCs.
Background and Public Health Significance.
Case series of young women experiencing venous thrombo-embolism (VTE), as well as myocardial infarction and stroke, began to identify oral contraceptive (OC) use as a risk immediately following OC introduction in the 1960's. Many epidemiological studies over four decades were designed to characterize and quantify the risks of these adverse events (Royal College of General Practitioners 1974, Vessey 1976 & 1989, World Health Organization 1996). The first results implicated high ethinyl estradiol dose as the main cause for VTE in OC users the estrogen in OCs is almost exclusively ethinyl estradiol. This led to substantial decreases in the estrogen doses in OCs (Gerstman 1991, Piper 1987, Zacur 1992). Results from the 1990's led to new concerns about the role of the progestin component of the OC in VTE risk – an issue that is not yet resolved (Farmer 1997, Heinemann 2010, Jick 1995 & 2006, Reid 2010). Risk may vary by a factor of 2 depending on which progestin is included in the OC. The timing of VTE risk is now clearly seen to be greatest during the first months of OC use; the overall relative risk (RR) of VTE in OC users is 2-4, with an RR possibly as high as 12 during the first months of use (Bloemenkamp 2000, Gomes 2004 Heinemann 2007). The introduction of a contraceptive patch was heralded as a possibly safer contraceptive, due to thoughts that avoidance of the hepatic first pass metabolism would mitigate the effects of the exogenous hormones on the coagulation system. Unfortunately, VTE risk in contraceptive patch users proved to be at least as high as the risk in OC users (Jick 2006 & 2010). We do not yet have epidemiological data regarding the safety of the ultra-low estrogen dose contraceptive ring, but clinical experience indicates that VTE may also be increased in users of that contraceptive. The newest OC formulations contain estradiol, rather than ethinyl estradiol, and there is interest in whether these preparations will be safer; however, usage is new and data are lacking. Consistent with the estrogen dose-response seen in OC users, clinicians expected that the much lower estrogen dose used in hormone replacement therapy (HRT) would not increase the VTE risk. Numerous well done studies, however, now clearly show that most HRT preparations are associated with a VTE RR of 2-3 (reviewed in Westhoff, 2007). VTE risk is highest early in the use of HRT, and there is emerging epidemiological evidence that an estradiol patch HRT may be safer than other formulations (Canonico 2010, Olie 2010, Scarabin 2003). VTE risk is also elevated during the use of selective estrogen receptor modulators (SERMs) for breast cancer prevention (Fisher 1989 1996 & 1999, Vogel 1993). Pregnancy is associated with a greater VTE risk than any of the hormonal medications with an RR of ~7 (Dinger 2007, Heit 2005). Non-hormonal risk factors for VTE include increasing age, obesity, surgery, immobilization, family history of VTE, and specific genetic abnormalities in clotting factors including protein C, protein S, and antithrombin III deficiencies, the factor V Leiden mutation, and the prothrombin G20120A mutation. Recognition of these risk factors has led to evolving guidance regarding which women can safely use an OC (CDC 2010, van Vlijmen 2011, WHO 2004). Despite dose reductions and exclusion of certain high risk women from using an OC (e.g., obese women and those with a family history of VTE), VTE remains a significant risk. At least 10 million U.S. women and 100 million women worldwide use the OC. Recent estimates of VTE incidence among OC users are about 10/10,000 woman-years (Heineman 2007, Dinger 2007). In the U.S. we thus expect about 10,000 VTE cases annually in OC users (10 million women with an annual risk of 10/10,000) with substantial morbidity and mortality. An enormous secondary risk is the avoidance of these effective contraceptives due to fear of VTE. A documented
consequence of each media "pill scare" is a dramatic surge in unintended pregnancy and abortion (Mills 1997, Reid 2010, Skjeldestad 1997). Thus better understanding of the OC/VTE relationship will not only prevent VTE itself, but can also help to prevent unintended pregnancy, an epidemic problem in the U.S. Breast cancer prevention is an analogous issue, where physicians and women avoid using SERMs for prevention due to concern about the VTE risk (Kinsinger 2002).
Overview of Multidisciplinary Approach
This project brings together new colleagues from the Departments of Medicine, Pathology, Pharmacology and Obstetrics and Gynecology in the College of Physicians and Surgeons, and from the Departments of Epidemiology and Population & Family Health in the Mailman School of Public Health. In addition the team will include an epidemiologist from Memorial SloanKettering Cancer Center, and a hematologist who focuses on thrombosis from the Albert Einstein College of Medicine; these latter individuals have critical expertise that is not further available within Columbia University. Each of the eight individuals will contribute their expertise in three or more of the salient areas listed below:
Clinical Hematology: Billet, Diuguid, Eisenberger
Clotting: Billet
Laboratory science: Bertino, Billet, Cremers, Rai
Pharmacology (including PK, metabolism, genomics, proteomics): Bertino, Cremers, Rai
Contraception: Pike, Westhoff
Epidemiology: Pike, Westhoff
Design and execution of clinical studies: Bertino, Billet, Cremers, Rai, Westhoff
Recruiting cases (i.e., women with OC-associated VTE): Billet, Diuguid, Eisenberger, Westhoff
Statistical analysis and inference: Bertino, Cremers, Pike
The major task for the collaborative group members during Phase I will be to review and synthesize the relevant literature, as directed by the priority question areas in a sequence listed below, and according to their areas of expertise. The goal is to further develop a compelling, testable, and fundable approach to the questions of how OC use leads to VTE. In particular, this must include the issues of individual risk and formulation risk.
First Priority question: Which clotting factors (CFs) are most strongly linked to VTE? The coinvestigators will identify and prioritize candidate CFs, combinations of CFs, or other coagulation system perturbations ("CF" as used throughout this document refers to all of these). Only those CFs that are suggested by case/control studies as associated with the risk of VTE, or those that are suggested by studies of VTE recurrence, or those that are suggested by knowledge of the biology of clotting as related to VTE are pertinent here. The group will also assess possible surrogate markers for the candidate CFs. Subsidiary questions include what is our state of knowledge regarding within and between person variability of these factors? What cofactors influence the values and the variability (e.g., age, race, weight, menstrual cycle day, smoking)? In a recent review Kluft (2011) asserts that between-person variability is substantial, and that within-person variability is modest. The planning group will assess details about such variability in order to plan new studies. What are the measurement issues for the candidate CFs? How
many approaches to measuring a candidate factor are in use, and do they give consistent results? Which assays are in use at CUMC/NYPH? Which assays are available elsewhere? At what cost (internal and external)? The study hematologists and laboratory experts will need to census which tests are available at CUMC versus elsewhere. The thrombin generation assay (see below), for example, is not available at CUMC; however, frozen plasma is adequate for that test, and there are other centers that have this equipment, such as Beth Israel in Newark, N.J. where Dr. Eisenberger worked previously. Of particular interest are those assays that aim to quantify a more integrated view of coagulation system activation or of pro-coagulant activity, rather than the more reductionist quantification of individual clotting factors. The thrombin generation assay (TGA), which is one approach to assessing coagulation system activation and "activated protein C resistance" (APC), is an example. This assay merits special attention here: in a cohort study of 188 patients with idiopathic VTE, having a TGA result above the median was strongly associated with the risk of a recurrent VTE in the next 3 years (27% versus 11%) (Besser 2008). A similar cohort of 914 patients found 6.5% recurrence in those with lower TGA results and 20% recurrence when the TGA was higher (Hron 2006). Thus, this assay has potential to be a clinically meaningful marker of VTE risk although its predictive power has not been evaluated prior to a first TVE. Of note, there are several approaches to the TGA, including more than one commercially available analyzer, and some evidence that results are not consistent across assays; thus, study of the fine details of TGA and other assays is necessary and will depend on consideration by those with expertise in laboratory medicine.
Second Priority question: Which CF changes occur with OC use? Due to the known risk of VTE, the regulatory agencies (FDA, EMEA) require a large and increasing number of clotting factor measurements regarding any new hormonal contraceptive agent. Pre-approval studies are never large enough to quantify the risk of VTE in new products; thus, these coagulation factor tests serve only as surrogate risk markers, and we have an enormous literature, sampled in the Table below, that describes several of the clotting factor changes that occur with use of hormonal contraception. In the most extensive such study, the OC Hemostasis Study Group (2002) compared CF changes among 7 different OCs and clearly showed that both EE dose and progestin type relate to magnitude of CF changes. The studies in the Table compare baseline and mainly 6 month levels of each factor. Given that the greatest risk of VTE during OC use is during the first few months, the lack of data regarding short term changes in the CF is a critical knowledge gap. Many other studies of the OC/CF associations are published, but are cross-sectional, are thus more difficult to interpret, and are not cited here. Since we already know that EE dose matters on a population level, we would expect to find that it will matter on an individual level. The PK of OC hormones is well established to be highly variable between individuals (Abrams 2002, Hammerstein 1993, Jung-Hoffman 1989, Kuhnz 1992 & 1993, Orme 1991, Siekmann 1998, Westhoff, 2010). With many other drugs toxicity is related to individual serum levels, thus we monitor those levels and adjust doses (e.g., amikacin, carbamazepine, digoxin, tacrolimus). In contrast, there is no information about individual OC PK and adverse events, or regarding individual OC PK and CF changes, another critical knowledge gap.
Third Priority question: Which OC mediated CF changes coincide with the clinically predictive CF measures? Are there additional relevant markers? The evidence synthesis for the first two questions may largely clarify this issue. In addition, a number of ideas and papers require
critical review by interdisciplinary experts, for instance, the discussion by Odlind and colleagues (2002) of whether changes in sex hormone binding globulin (SHBG), touted as a surrogate marker, are predictive of OC-associated VTE. Bloemenkamp and colleagues (1998) evaluated CF in post-VTE women and controls, many in both groups using OC, and suggested that women who experienced OC-associated VTE were "hyper-responders"; that paper shows clear differences between the groups, but no quantitative support for a hyper-response. In contrast, Kluft (2011) suggests that CF levels are variable in a population, but individually stable and intrinsic, such that any changes would be across the board without a differential response.
Fourth Priority question: How can we study OC-mediated CF changes in women who have experienced a VTE (i.e., the cases in the future case/control study)? The outcome is rare enough (about 10/10,000 OC users per year) that we cannot practically study this association prospectively; in addition, the disturbances of the clotting system at the time of a VTE and during treatment will prevent evaluation of incident cases. Among women who have experienced and recovered from an OC-associated VTE, the possibility of challenging them with an exposure to an exogenous hormone will require extensive planning and ethical evaluation. It is possible that even a single dose exposure to OC will be sufficient for evaluating the response, which is a key practical issue and thus a question for study in Phase II.
Fifth Priority question: How to find women who have experienced an OC-associated VTE? The hematology and contraceptive clinicians must find the means to identify a large number of past OC/VTE women, and will then assess feasibility of accruing these cases. Based on population, 10% of the expected 10,000 OC-associated VTE cases per year in the US will occur in the NY metropolitan region. This would be an ample population from which to recruit women for the planned studies. Most studies of VTE have been done in European populations; carrying out such a study in the NYC region would give an opportunity to study this problem in members of racial and ethnic minority groups. Approaches to recruitment via colleagues in the hematology and contraception clinical communities, as well as direct advertisement, must be developed and tested. We need to evaluate recruitment near the time of an event as well as after VTE treatment is complete. This subgroup will also begin to prepare IRB applications for Phase II and Phase III studies.
Additional Phase I questions and issues. A) Phase II will be a study of OC PK, metabolism, and timing of CF changes among normal women , thus we need to choose the most useful one or perhaps two OC formulations for that study, to be based on discussions with additional steroid experts, and also based on assay costs and sample size considerations. B) The question of how quickly estrogen-containing products cause changes in the coagulation system (and how quickly such changes reverse after withdrawal of the drug) is critical for practical and ethical planning of the next studies. Provocative studies regarding the problem of bleeding in males and females with renal failure show that estrogen can be a successful pro-coagulant in this setting with onset of action as soon as 6 hours after IV and 3 days after oral administration (Livio 1986, Bronner 1986, Heistinger 1990). Whether this action is mediated through CF, platelet function, or endothelial function seems to be unknown, but is key for consideration during the planning phase. C) We will need to evaluate all of the above questions for SERMs and HRT, as VTE related to these exposures is also of enormous public health significance.
We must consider whether the present knowledge base and resources indicate that we can evaluate SERM and HRT in the same manner as the OC.
Phase I timeline: The investigators as a large group, and in interdisciplinary subgroups, will address the key questions posed above with regular in-person meetings as well as virtual meetings. Each question, as refined through initial discussion, will have 2-3 lead investigators, who will move through literature review and synthesis using a process borrowed from the ARHQ-contracted evidence-based practice centers that provide reports to the U.S. Preventive Services Task Force. For each question the investigators will first develop more detailed causal diagrams (following on the more general diagram provided on page 1 of this proposal) as a starting point to guide the reviews and to ensure identification of all variables that must be measured and controlled in future studies (Greenland 1999). The study research assistant, who will be a Mailman School of Public Health graduate student, will have organizational responsibility for the process. Depending on the complexity of the questions, the magnitude of the relevant literature, and the resources available, this review and synthesis process generally takes one to three months to fully address the questions in each causal diagram. Much of the relevant literature is already identified and collated (although not yet following the formal evidence review process), and substantial "parallel processing" of the questions will be possible. The group will, however, generally approach the first four questions in sequence, as each informs the direction of the next. The clinicians and epidemiologists in the group can begin to the address the fifth question, regarding patient recruitment, immediately as this does not depend on the analysis of the first four questions. The additional Phase I questions A and B refer to a smaller literature and can be resolved quickly. Additional questions regarding SERMs and HRT will be handled alongside each of the priority questions. This work can begin immediately (in advance of funding). Addressing the first four questions will require 3-5 months at which point it will be possible to write a proposal for a Phase II study. Addressing question 5 may require several months (which can overlap with the other tasks), and this is necessary to write a proposal for a Phase III study.
Long term Plans, Phase II. Based on results of the planning activities and the key knowledge gaps identified, the investigators will propose a physiological study of normal women. The investigators will seek funding for this through the Irving Institute CTSA Phase II pilot award program and through NICHD or NHLBI RO3 or R21 programs insofar as this project meets their criteria. The aim of the study will be to assess the magnitude, variability, and timing of individual-level CF changes during OC initiation, and to determine how those changes relate to individual-level OC PK. The study will recruit women without OC contraindications to have baseline CF assessment, and then to begin OC use, followed by serial CF (and all other markers of interest) measurements over the first several days and up to 3 months. The participants will also undergo day 1 and steady state 24 hour OC PK. Data from such a study would be the first to evaluate whether individual-level OC serum concentrations are associated with adverse pharmacodynamic outcomes (i.e. adverse CF changes), and thus would be of direct interest. Secondly, these data would be necessary to propose a larger study that would include women who have experienced an OC-associated VTE. The details of which CF to measure (and when) will result from the planning phase. The collaborative group has all necessary expertise to design and execute such a study at CUMC.
Long-term Plans, Phase III. RO-1 application supported by the evidence synthesis and decisions from phase I and the results from phase II as a proposal to NIH, aiming for joint NICHD and NHLBI review/funding. The primary proposal will be for a case-control (C/C) study of women with recent OC-associated VTE (cases) and age- and race- matched women eligible for OC use without VTE history (controls). The specific aims for this proposal will derive from the initial questions posed throughout this proposal, as refined by the interdisciplinary planning process. Similarly, the specific CF and PK measurements to be included in the C/C comparisons will derive from results of phase I and phase II activities. Phase II results will be critical in order to define the appropriate sample size. The proposed study will include a biorepository of DNA and plasma, so that it will be possible to carry out appropriate analyses in the future as new risks (& associated tests) are identified. The proposal will benefit from incorporating the best operational features of past C/C and cohort studies, such as detailed case definition and verification, and will include superior study design and superior laboratory measurement thanks to the expertise of the members of the collaborative group. Most past epidemiological studies were limited to using questionnaires, which cannot address the questions we pose, and most did not assess critical, now-recognized confounding factors. Most previous studies that included laboratory measurements (such as genetic abnormalities of the coagulation system) had inconsistent selection of cases and controls, as well as inadequate statistical power and incomplete analyses (Reid, 2010). The proposal will benefit from a formal definition of study questions via causal pathways, the assessment of relevant literature, and the extraordinary multidisciplinary expertise of the planning group.
Budget
Research assistant (50% time for 35 weeks) (enrolled MSPH graduate student @ $20/hour x 20 hours/week = $14,000, no FB charged for FT students during term) to organize and staff the regular meetings of investigators and to produce minutes of these; to collate reference materials needed to produce and update the literature synthesis, to develop IRB applications, to assist in grant preparation.
Office expenses. $1000.
References
1. Abrams LS, Skee D, Natarajan J, et al. Pharmacokinetic overview of Ortho Evra/Evra. Fertility and Sterility Vol 77 No 2 Suppl 2 February 2002 S3-S12.
2. Ball MJ, Ashwell E, Jackson M, Gillmer MD. Comparison of two triphasic contraceptives with different progestogens: effects on metabolism and coagulation proteins. Contraception. 1990 Apr;41(4):363-76.
3. Basdevant A, Conard J, Pelissier C, Guyene TT, Lapousterle C, Mayer M, Guy-Grand B, Degrelle H. Hemostatic and metabolic effects of lowering the ethinyl-estradiol dose from 30 mcg to 20 mcg in oral contraceptives containing desogestrel. Contraception. 1993 Sep;48(3):193-204.
4. Besser M, Baglin C, Luddington R, van Hylckama Vlieg A, Baglin T. High rate of unprovoked recurrent venous thrombosis is associated with high thrombin-generating potential in a prospective cohort study. J Thromb Haemost. 2008 Oct;6(10):1720-5.
5. Bloemenkamp KW, Rosendaal FR, Helmerhorst FM, Koster T, Bertina RM, Vandenbroucke JP. Hemostatic effects of oral contraceptives in women who developed deep-vein thrombosis while using oral contraceptives. Thromb Haemost. 1998 Sep;80(3):382-7.
6. Bloemenkamp KW, Rosendaal FR, Helmerhorst FM, Vandenbroucke JP. Higher risk of venous thrombosis during early use of oral contraceptives in women with inherited clotting defects. Arch Intern Med. 2000 Jan: 160(1):49-52.
7. Bronner MH, Pate MB, Cunningham JT, Marsh WH. Ann Intern Med. 1986 Sep;105(3):371-4.
8. Canonico M, Fournier A, Carcaillon L, Olié V, Plu-Bureau G, Oger E, Mesrine S, Boutron-Ruault MC, Clavel-Chapelon F, Scarabin PY. Postmenopausal hormone therapy and risk of idiopathic venous thromboembolism: results from the E3N cohort study. Arterioscler Thromb Vasc Biol. 2010 Feb;30(2):340-5.
9. Center for Disease Control (CDC). U.S. Medical Eligibility Criteria for Contraceptive Use, 2010. Morbidity and Mortality Weekly Report (MMWR). 2010 May: 59;1-6.
10. Cohen H, Mackie IJ, Walshe K, Gillmer MD, Machin SJ. A comparison of the effects of two triphasic oral contraceptives on haemostasis. Br J Haematol. 1988 Jun;69(2):25963.
11. Dinger JC, Heinemann LA, Kühl-Habich D. The safety of a drospirenone-containing oral contraceptive: final results from the European Active Surveillance Study on oral contraceptives based on 142,475 women-years of observation. Contraception. 2007 May;75(5):344-54.
12. Farmer RD, Lawrenson RA, Thompson CR, Kennedy JG, Hambleton IR. Populationbased study of risk of venous thromboembolism associated with various oral contraceptives. Lancet. 1997 Jan 11;349(9045):83-8.
13. Fisher B, Constantino JP, Wickerham DL, et al. Tamoxifen for prevention of breast cancer: report of the National Surgical Adjuvant Breast and Bowel Project P-1 Study. J Natl Cancer Ist 1999; 90:1371-88.
14. Gerstman BB, Gross TP, Kennedy DL, Bennett RC, Tomita DK, Stadel BV. Trends in the content and use of oral contraceptives in the United States, 1964-88. Am J Public Health. 1991 Jan;81(1):90-6.
15. Gomes M, Deitcher S. Risk of venous thromboembolic disease associated with hormonal contraceptives and hormone replacement therapy. Arch Intern Med. 2004: 164: 1965-1976.
16. Greenland S, Pearl J, Robins JM. Causal diagrams for epidemiologic research. Epidemiology. 1999 Jan;10(1):37-48.
17. Hammerstein J, Daume E, Simon A, et al. Influence of gestodene and desogestrel as components of low-dose oral contraceptives on the pharmacokinetics of ethinyl estradiol (EE2), on serum CBG and on urinary cortisol and 6b-hydroxycortisol. Contraception 47: 263-281, 1993
18. Heinemann LA, Dinger JC. Range of published estimates of venous thromboembolism incidence in young women. Contraception. 2007 May;75(5):328-36.
19. Heinemann LA, Dinger JC, Assmann A, Minh TD. Use of oral contraceptives containing gestodene and risk of venous thromboembolism: outlook 10 years after the thirdgeneration "pill scare".Contraception. 2010 May;81(5):401-7.
20. Heistinger M, Stockenhuber F, Schneider B, Pabinger I, Brenner B, Wagner B, Balcke P, Lechner K, Kyrle PA. Effect of conjugated estrogens on platelet function and prostacyclin generation in CRF. Kidney Int. 1990 Dec;38(6):1181-6.
21. Heit JA, Kobbervig CE, James AH, Petterson TM, Bailey KR, Melton LJ 3rd. Trends in the incidence of venous thromboembolism during pregnancy or postpartum: a 30-year population-based study. Ann Intern Med. 2005 Nov 15;143(10):697-706.
22. Hron G, Kollars M, Binder BR, Eichinger S, Kyrle PA. Identification of patients at low risk for recurrent venous thromboembolism by measuring thrombin generation. JAMA. 2006 Jul 26;296(4):397-402.
23. Jick H, Jick SS, Gurewich V, Myers MW, Vasilakis C. Risk of idiopathic cardiovascular death and nonfatal venous thromboembolism in women using oral contraceptives with differing progestagen components. Lancet. 1995 Dec 16;346(8990):1589-93.
24. Jick SS, Kaye JA, Russmann S, Jick H. Risk of nonfatal venous thromboembolism with oral contraceptives containing norgestimate or desogestrel compared with oral contraceptives containing levonorgestrel. Contraception. 2006 Jun;73(6):566-70.
25. Jick SS, Hagberg KW, Hernandez RK, Kaye JA. Postmarketing study of ORTHO EVRA and levonorgestrel oral contraceptives containing hormonal contraceptives with 30 mcg of ethinyl estradiol in relation to nonfatal venous thromboembolism. Contraception. 2010 Jan;81(1):16-21.
26. Johnson JV, Lowell J, Badger GJ, Rosing J, Tchaikovski S, Cushman M. Effects of oral and transdermal hormonal contraception on vascular risk markers: a randomized controlled trial. Obstet Gynecol. 2008 Feb;111(2 Pt 1):278-84.
27. Jung-Hoffman C, Kuhl H. Interaction with the pharmacokinetics of ethinylestradiol and progestogens contained in oral contraceptives. Contraception 40 No 3: 299-312, 1989
28. Kinsinger LS, Harris R, Woolf SH, Sox HC, Lohr KN. Chemoprevention of breast cancer: a summary of the evidence for the U.S. P.S.T.F. Ann Intern Med. 2002 Jul 2;137(1):5969.
29. Kluft C, Meijer P, LaGuardia KD, Fisher AC. Comparison of a transdermal contraceptive patch vs. oral contraceptives on hemostasis variables. Contraception. 2008 Feb;77(2):77-83.
30. Kluft C, Burggraaf J. Introduction to haemostasis from a pharmacodynamic perspective. BJCP. 2011:72:538-546.
31. Kuhnz W, Baumann A, Staks T, et al. Pharmacokinetics of gestodene and ethinlyestradiol in 14 women during three months of treatment with a new tri-step combination oral contraceptive: Serum protein binding of gestodene and influence of treatment on free and total testosterone levels in the serum. Contraception: 1993 48 303-322
32. Kuhnz W, Al-Yacoub G, Fuhrmeister A. Pharmacokinetics of levonorgestrel and ethinylestradiol in 9 women who received a low-dose oral contraceptive over a treatment period of 3 months and, after a wash-out phase, a single oral administration of the same contraceptive formulation. Contraception. 1992 Nov;46(5):455-69.
33. Livio M, Mannucci PM, Viganò G, Mingardi G, Lombardi R, Mecca G, Remuzzi G. N Engl J Med. 1986 Sep 18;315(12):731-5.
34. Melis GB, Fruzzetti F, Nicoletti I, Ricci C, Lammers P, Atsma WJ, Fioretti P. A comparative study on the effects of a monophasic pill containing desogestrel plus 20 micrograms ethinylestradiol, a triphasic
35. Middeldorp S, Meijers JC, van den Ende AE, van Enk A, Bouma BN, Tans G, Rosing J, Prins MH, Büller HR. Effects on coagulation of levonorgestrel- and desogestrelcontaining low dose oral contraceptives: a cross-over study. Thromb Haemost. 2000 Jul;84(1):4-8.
36. Mills A. Combined oral contraception and the risk of venous thromboembolism. Hum Reprod. 1997 Dec;12(12):2595-8.
37. Odlind V, Milsom I, Persson I, Victor A. Can changes in sex hormone binding globulin predict the risk of venous thromboembolism with combined oral contraceptive pills? Acta Obstet Gynecol Scand. 2002 Jun;81(6):482-90.
38. Olié V, Canonico M, Scarabin PY. Risk of venous thrombosis with oral versus transdermal estrogen therapy among postmenopausal women. Curr Opin Hematol. 2010 Sep;17(5):457-63.
39. Oral Contraceptive and Hemostasis Study Group. The effects of seven monophasic oral contraceptive regimens on hemostatic variables: conclusions from a large randomized multicenter study. Contraception. 2003 Mar;67(3):173-85.
40. Orme M, Back DJ, Ward S, et al. The pharmacokinetics of ethinylestradiol in the presence and absence of gestodene and desogestrel. Contraception: 1991 43 No 4, 305-316.
41. Piper JM, Kennedy DL. Oral contraceptives in the United States: trends in content and potency. Int J Epidemiol. 1987 Jun;16(2):215-21.
42. Prasad RN, Koh S, Ratnam SS. Effects of three types of combined O.C. pills on blood coagulation, fibrinolysis and platelet function. Contraception. 1989 Apr;39(4):369-83.
43. Reid RL, Westhoff C, Mansour D, et al. Oral contraceptives and venous thromboembolism consensus opinion from an international workshop held in Berlin, Germany in December 2009. J Fam Plann Reprod Health Care. 2010 Jul;36(3):117-22.
44. Royal College of General Practitioners (RCGP). Oral contraceptives and Health. London: Pitman Medical, 1974.
45. Scarabin PY, Oger E, Plu-Bureau G; EStrogen and ThromboEmbolism Risk Study Group. Differential association of oral and transdermal oestrogen-replacement therapy with venous thromboembolism risk. Lancet. 2003 Aug 9;362(9382):428-32.
46. Siekmann L, Siekmann A, Bidlingmaier F et al. Gestodene and desogestrel do not have a different influence on concentration profiles of ethinylestradiol in women taking oral contraceptives – results of isotope dilution mass spectrometry measurements. European Jounral of Endocrinology (1998) 139 167-177
47. Sirtori CR, Calabresi L, Franceschini G, Gianfranceschi G, Zoppi F, Winkler S, Bilotta P, Zampetti A. Comparison of the lipoprotein and hemostatic changes after a triphasic and a monophasic low dose oral contraceptive in premenopausal middle-aged women. Atherosclerosis. 1990 Oct;84(2-3):203-11.
48. Skjeldestad FE. Increased number of induced abortions in Norway after after media coverage of adverse vascular events from the use of third-generation oral contraceptives. Contraception. 1997: 55:11-4.
49. Vessey M, Doll R, Peto R, Johnson B, Wiggins P. A long-term follow-up study of women using different methods of contraception--an interim report. J Biosoc Sci. 1976 Oct;8(4):373-427.
50. Vessey MP, Villard-Mackintosh L, Mcpherson K, Yeares D. Mortality among oral contraceptive users: 20 year follow up of women in a cohort study. BMJ. 1989; 299: 1487-1491.
51. van Vlijmen E, Veegar N, Middeldorp S, Hamulyak K, Prins M, Buller H, Meijer K. Thrombotic risk during oral contraceptive use and pregnancy in women with factor V leiden or prothrombin mutation: a rational approach to contraception. Blood. 2011: 118: 2055-2061.
52. Vogel Cl, Shemano I, Schoenfelder J, Gams RA, Green MR. Multicenter Phase II efficacy trial of toremifene in tamoxifen-refractory patients with advanced breast cancer. J Clin Oncol. 1993;11:345-350.
53. Weinges KF, Wenzel E, Hellstern P, Geurts TB, Dieben TO. The effects of two phasic oral contraceptives on hemostasis and platelet function. Adv Contracept. 1995 Sep;11(3):227-37.
54. Westhoff C. "Risk of pulmonary embolism/venous thrombosis". Menopause. Biology and Pathology. San Diego: Academic Press, 2007. 591-604.
55. Westhoff CL, Torgal AH, Mayeda ER, et al. Pharmacokinetics of a combined oral contraceptive in obese and normal-weight women. Contraception 81 (2010) 474-480
56. World health organization collaborative study of cardiovascular disease and steroid hormone contraception. Ischaemic stroke and combined oral contraceptives: results of an international, multicentre, case-control study. Lancet 1996; 348: 498-505.
57. World Health Organization (WHO). World Health Organization Department of Reproductive Health and Research. Medical eligibility criteria for contraceptive use. 2004.3rd ed. Geneva (Switzerland).
58. Zacur HA, Stewart D. New concepts in oral contraceptive pill use. Curr Opin Obstet Gynecol. 1992 Jun;4(3):365-71.
|
1 van 3
HOME PAGE
WORLD
TODAY'S PAPER VIDEO
U.S. N.Y. / REGION
MOST POPULAR
BUSINESS
U.S. Edition
TECHNOLOGY SCIENCE
Global DealBook Markets
UNBOXED
Taking a Stand for Office Ergonomics
Stephanie Diani for The New York Times Dr. Toni Yancey, professor of health services at U.C.L.A., gets work done while riding a recumbent bicycle at home. She also uses a treadmill desk at the office.
BySTEVE LOHR
Published: December 1, 2012
THE health studies that conclude that people should sit less, and get up and move around more, have always struck me as fitting into the "well, duh" category.
Related
Bits Blog: Field Notes in Ergonomic Diversity: Standup Workers Speak (December 2, 2012)
But a closer look at the accumulating research on sitting reveals something more intriguing, and disturbing: the health hazards of sitting for long stretches are significant even for people who are quite active when they're not sitting down. That point was reiterated recently in two studies, published in The British Journal of Sports Medicine and in Diabetologia , a journal of the European Association for the Study of Diabetes .
FACEBOOK
TWITTER
GOOGLE+
SAVE
E-MAIL
SHARE
PRINT
REPRINTS
Suppose you stick to a five-times-a-week gym regimen, as I do, and have put in a lifetime of hard cardio exercise, and have a resting heart rate that's a significant fraction below the norm. That doesn't inoculate you, apparently, from the perils of sitting.
The research comes more from observing the health results of people's behavior than from discovering the biological and genetic triggers that may be associated with extended sitting. Still, scientists have determined that after an hour or more of sitting, the production of enzymes that burn fat in the body declines by as much as 90 percent. Extended sitting, they add, slows the body's metabolism of glucose and lowers the levels of good (HDL) cholesterol in the blood. Those are risk factors toward developing heart disease and Type 2 diabetes.
"The science is still evolving, but we believe that sitting is harmful in itself," says Dr. Toni Yancey, a professor of health services at the University of California, Los Angeles.
Yet many of us still spend long hours each day sitting in front of a computer.
The good news is that when creative capitalism is working as it should, problems open the door to opportunity. New knowledge spreads, attitudes shift, consumer demand emerges and companies and entrepreneurs develop new products. That process is under
HEALTH
Economy
SPORTS
Energy
OPINION ARTS
Media
Log In
Search All NYTimes.com
STYLE TRAVEL JOBS REAL ESTATE
Personal Tech Small Business
Register Now Help
AUTOS
Your Money
Log in to see what your friends are sharing on nytimes.com.
Privacy Policy|What's This?
What's Popular Now
Ravi Shankar,
Indian Sitarist,
Dies at 92
Log In With Facebook
Video: Solo,
Piano - N.Y.C.
13-12-2012 17:30
2 van 3
way, addressing what might be called the sitting crisis. The results have been workstations that allow modern information workers to stand, even walk, while toiling at a keyboard.
Dr. Yancey goes further. She has a treadmill desk in the office and works on her recumbent bike at home.
If there is a movement toward ergonomic diversity and upright work in the information age, it will also be a return to the past. Today, the diligent worker tends to be defined as a person who puts in long hours crouched in front of a screen. But in the 19th and early 20th centuries, office workers, like clerks, accountants and managers, mostly stood. Sitting was slacking. And if you stand at work today, you join a distinguished lineage — Leonardo da Vinci, Ben Franklin, Winston Churchill, Vladimir Nabokov and, according to a recent profile in The New York Times, Philip Roth.
DR. JAMES A. LEVINE of the Mayo Clinic is a leading researcher in the field of inactivity studies. When he began his research 15 years ago, he says, it was seen as a novelty.
"But it's totally mainstream now," he says. "There's been an explosion of research in this area, because the health care cost implications are so enormous."
Steelcase, the big maker of office furniture, has seen a similar trend in the emerging marketplace for adjustable workstations, which allow workers to sit or stand during the day, and for workstations with a treadmill underneath for walking. (Its treadmill model was inspired by Dr. Levine, who built his own and shared his research with Steelcase.)
The company offered its first models of height-adjustable desks in 2004. In the last five years, sales of its lines of adjustable desks and the treadmill desk have surged fivefold, to more than $40 million. Its models for stand-up work range from about $1,600 to more than $4,000 for a desk that includes an actual treadmill. Corporate customers include Chevron, Intel, Allstate, Boeing, Apple and Google.
"It started out very small, but it's not a niche market anymore," says Allan Smith, vice president for product marketing at Steelcase.
The Steelcase offerings are the Mercedes-Benzes and Cadillacs of upright workstations, but there are plenty of Chevys as well, especially from small, entrepreneurial companies.
In 2009, Daniel Sharkey was laid off as a plant manager of a tool-and-die factory, after nearly 30 years with the company. A garage tinkerer, Mr. Sharkey had designed his own adjustable desk for standing. On a whim, he called it the kangaroo desk, because "it holds things, and goes up and down." He says that when he lost his job, his wife, Kathy, told him, "People think that kangaroo thing is pretty neat."
Today, Mr. Sharkey's company, Ergo Desktop, employs 16 people at its 8,000square-foot assembly factory in Celina, Ohio. Sales of its several models, priced from $260 to $600, have quadrupled in the last year, and it now ships tens of thousands of workstations a year.
Steve Bordley of Scottsdale, Ariz., also designed a solution for himself that became a full-time business. After a leg injury left him unable to run, he gained weight. So he fixed up a desktop that could be mounted on a treadmill he already owned. He walked slowly on the treadmill while making phone calls and working on a computer. In six weeks, Mr. Bordley says, he lost 25 pounds and his nagging back pain vanished.
He quit the commercial real estate business and founded TrekDesk in 2007. He began shipping his desk the next year. (The treadmill must be supplied by the user.) Sales have grown tenfold from 2008, with several thousand of the desks, priced at $479, now sold annually.
"It's gone from being treated as a laughingstock to a product that many people find genuinely interesting," Mr. Bordley says.
There is also a growing collection of do-it-yourself solutions for stand-up work. Many are posted on Web sites like howtogeek.com, and freely shared like recipes. For example, Colin Nederkoorn, chief executive of an e-mail marketing start-up, Customer.io, has posted one such design on his blog. Such setups can cost as little as $30 or even less, if cobbled together with available materials.
5. Self-Taught Cook, Best-Selling Cookbook
6.
MARK BITTMAN
Pesticides: Now More Than Ever
OP-DOCS
7.
'Solo, Piano — N.Y.C.'
8. Ravi Shankar, Sitarist Who Introduced Indian Music to the West, Dies at 92
9.
WELL
Understanding How Children Develop
Empathy
OP-ED CONTRIBUTORS
10.
Solar Panels for Every Home
Go to Complete List »
Show My Recommendations
ADVERTISEMENTS
Ads by Google
Promoot uw website
Bereik meer klanten met AdWords Ontvang nu €75 advertentietegoed www.google.nl/adwords
what's this?
13-12-2012 17:30
3 van 3
UPRIGHT workstations were hailed recently by no less a trend spotter of modern work habits and gadgetry than Wired magazine. In its October issue, it chose "Get a Standing Desk" as one of its "18 Data-Driven Ways to Be Happier, Healthier and Even a Little Smarter."
The magazine has kept tabs on the evolving standing-desk research and marketplace, and several staff members have become converts themselves in the last few months.
"And we're all universally happy about it," Thomas Goetz, Wired's executive editor, wrote in an e-mail — sent from his new standing desk.
A version of this article appeared in print on December 2, 2012, on page BU3 of the New York edition with the headline: Taking A Stand For Office Ergonomics.
SAVE
E-MAIL
SHARE
Get Free E-mail Alerts on These Topics
Desks
Workplace Environment
Ads by Google
Brain Training Games
Improve memory and attention with scientific brain games.
www.lumosity.com
HEALTH »
SCIENCE »
Ergonomics
Computers and the Internet
FASHION & STYLE »
what's this?
OPINION »
© 2012 The New York Times Company Site Map Privacy
L'Wren Scott: Fashion and Now a Fragrance
Human Cost of Cheap Clothing
After deadly factory fires, Room for Debate asks: Where does the responsibility lie? Can shoppers, or retailers, or the workers themselves end sweatshops?
HOME & GARDEN »
Art Furniture Thrives at Design Miami
Your Ad Choices Advertise Terms of Sale Terms of Service Work With Us RSS Help
Witteveen Projectinrichting
Ouderkerk a/d Amstel
Tel: 020 - 496 5030
Fax: 020 - 496 3052
firstname.lastname@example.org www.project-inrichting.nl
www.staand-werken.nl
OPINION »
Fixes: Moving Forward in Tough Times
A look at more than 30 social initiatives covered in Fixes this year shows that improving lives is still a growth industry.
Contact Us Site Feedback
13-12-2012 17:30
Taking a Stand for Office Ergonomics
http://www.nytimes.com/2012/12/02/business/stand-up-desks-gaining-favor-in-the-workplace.html?_r=0
Dr. Toni Yancey, professor of health services at U.C.L.A., gets work done while riding a recumbent bicycle at home. She also uses a treadmill desk at the office.
By STEVE LOHR
Published: December 1, 2012
THE health studies that conclude that people should sit less, and get up and move around more, have always struck me as fitting into the "well, duh" category.
Related
Bits Blog: Field Notes in Ergonomic Diversity: Standup Workers Speak (December 2, 2012)
But a closer look at the accumulating research on sitting reveals something more intriguing, and disturbing: the health hazards of sitting for long stretches are significant even for people who are quite active when they're not sitting down. That point was reiterated recently in two studies, published in The British Journal of Sports Medicine and in Diabetologia, a journal of the European Association for the Study of Diabetes.
Suppose you stick to a five-times-a-week gym regimen, as I do, and have put in a lifetime of hard cardio exercise, and have a resting heart rate that's a significant fraction below the norm. That doesn't inoculate you, apparently, from the perils of sitting.
The research comes more from observing the health results of people's behavior than from discovering the biological and genetic triggers that may be associated with extended sitting. Still, scientists have determined that after an hour or more of sitting, the production of enzymes that burn fat in the body declines by as much as 90 percent. Extended sitting, they add, slows the body's metabolism of glucose and lowers the levels of good (HDL) cholesterol in the blood. Those are risk factors toward developing heart disease and Type 2 diabetes.
"The science is still evolving, but we believe that sitting is harmful in itself," says Dr. Toni Yancey, a professor of health services at the University of California, Los Angeles.
Yet many of us still spend long hours each day sitting in front of a computer.
The good news is that when creative capitalism is working as it should, problems open the door to opportunity. New knowledge spreads, attitudes shift, consumer demand emerges and companies and entrepreneurs develop new products. That process is under way, addressing what might be called the sitting crisis. The results have been workstations that allow modern information workers to stand, even walk, while toiling at a keyboard.
Dr. Yancey goes further. She has a treadmill desk in the office and works on her recumbent bike at home.
If there is a movement toward ergonomic diversity and upright work in the information age, it will also be a return to the past. Today, the diligent worker tends to be defined as a person who puts in long hours crouched in front of a screen. But in the 19th and early 20th centuries, office workers, like clerks, accountants and managers, mostly stood. Sitting was slacking. And if you stand at work today, you join a distinguished lineage — Leonardo da Vinci, Ben Franklin, Winston Churchill, Vladimir Nabokov and, according to a recent profile in The New York Times, Philip Roth.
DR. JAMES A. LEVINE of the Mayo Clinic is a leading researcher in the field of inactivity studies. When he began his research 15 years ago, he says, it was seen as a novelty.
"But it's totally mainstream now," he says. "There's been an explosion of research in this area, because the health care cost implications are so enormous."
Steelcase, the big maker of office furniture, has seen a similar trend in the emerging marketplace for adjustable workstations, which allow workers to sit or stand during the day, and for workstations with a treadmill underneath for walking. (Its treadmill model was inspired by Dr. Levine, who built his own and shared his research with Steelcase.)
The company offered its first models of height-adjustable desks in 2004. In the last five years, sales of its lines of adjustable desks and the treadmill desk have surged fivefold, to more than $40 million. Its models for stand-up work range from about $1,600 to more than $4,000 for a desk that includes an actual treadmill. Corporate customers include Chevron, Intel, Allstate, Boeing, Apple and Google.
"It started out very small, but it's not a niche market anymore," says Allan Smith, vice president for product marketing at Steelcase.
The Steelcase offerings are the Mercedes-Benzes and Cadillacs of upright workstations, but there are plenty of Chevys as well, especially from small, entrepreneurial companies.
In 2009, Daniel Sharkey was laid off as a plant manager of a tool-and-die factory, after nearly 30 years with the company. A garage tinkerer, Mr. Sharkey had designed his own adjustable desk for standing. On a whim, he called it the kangaroo desk, because "it holds things, and goes up and down." He says that when he lost his job, his wife, Kathy, told him, "People think that kangaroo thing is pretty neat."
Today, Mr. Sharkey's company, Ergo Desktop, employs 16 people at its 8,000-square-foot assembly factory in Celina, Ohio. Sales of its several models, priced from $260 to $600, have quadrupled in the last year, and it now ships tens of thousands of workstations a year.
Steve Bordley of Scottsdale, Ariz., also designed a solution for himself that became a fulltime business. After a leg injury left him unable to run, he gained weight. So he fixed up a desktop that could be mounted on a treadmill he already owned. He walked slowly on the treadmill while making phone calls and working on a computer. In six weeks, Mr. Bordley says, he lost 25 pounds and his nagging back pain vanished.
He quit the commercial real estate business and founded TrekDesk in 2007. He began shipping his desk the next year. (The treadmill must be supplied by the user.) Sales have grown tenfold from 2008, with several thousand of the desks, priced at $479, now sold annually.
"It's gone from being treated as a laughingstock to a product that many people find genuinely interesting," Mr. Bordley says.
There is also a growing collection of do-it-yourself solutions for stand-up work. Many are posted on Web sites like howtogeek.com, and freely shared like recipes. For example, Colin Nederkoorn, chief executive of an e-mail marketing start-up, Customer.io, has posted one such design on his blog. Such setups can cost as little as $30 or even less, if cobbled together with available materials.
UPRIGHT workstations were hailed recently by no less a trend spotter of modern work habits and gadgetry than Wired magazine. In its October issue, it chose "Get a Standing Desk" as one of its "18 Data-Driven Ways to Be Happier, Healthier and Even a Little Smarter."
The magazine has kept tabs on the evolving standing-desk research and marketplace, and several staff members have become converts themselves in the last few months.
"And we're all universally happy about it," Thomas Goetz, Wired's executive editor, wrote in an e-mail — sent from his new standing desk.
A version of this article appeared in print on December 2, 2012, on page BU3 of the New York edition with the headline: Taking A Stand For Office Ergonomics.
Witteveen Projectinrichting Ouderkerk a/d Amstel
Tel: 020 - 496 5030
Fax: 020 - 496 3052 email@example.com www.project-inrichting.nl
www.staand-werken.nl
|
SUMMARY: The document below is the Prerogative Court of Canterbury copy of the last will and testament, dated 10 December 1556 together, with a codicil dated 20 January 1557, proved 10 September 1558, of Sir Thomas Cave (d.1558), whose son, Roger Cave, married Margaret Cecil, sister of Oxford's father-in-law, William Cecil (1520/1-1598), Lord Burghley.
FAMILY BACKGROUND
For the Cave family, see Waters, Robert Edmond Chester, Genealogical Memoirs of the Extinct Family of Chester of Chicheley, Vol. I, (London: Robson and Sons, 1878), pp. 738 at:
https://archive.org/stream/genealogicalmem01wategoog#page/n110/mode/2up.
See also Kimber, E. and R. Johnson, The Baronetage of England, Vol. I, (London: G. Woodfall, 1771), pp. 355-65; and the Cave pedigree in Crisp, Frederick Arthur, ed., Visitation of England and Wales, Vol. 8 (1909), pp. 122-8 at:
https://archive.org/stream/visitationofengl29howa#page/122/mode.
The testator was the son and heir of Richard Cave (d. 20 April 1538) by his second wife, Margaret Saxby. For other members of the testator's family, see the will of his brother, Sir Ambrose Cave (d. 2 April 1568), TNA PROB 11/54/122.
MARRIAGE AND CHILDREN
The testator married Elizabeth Danvers, the daughter of Sir John Danvers (d. 30 October 1508?) of Waterstock, Oxfordshire, and his wife Margaret Hampden, daughter of William Hampden of Hartwell, Buckinghamshire, and the granddaughter of Sir William Danvers (1430?-1504), Lord Chief Justice of the Common Pleas, by his wife, Anne (Pury d.1530/1), daughter and heiress of John Pury of Chamberhouse, Thatcham, Berkshire. For the Danvers family, see Macnamara, F.N., Memorials of the Danvers Family of Dauntsey and Culworth, (London: Hardy & Page, 1895), pp. 154-5, 169, and 175-88, 226 at:
https://archive.org/stream/memorialsofdanve00macn#page/186/mode/2up.
Elizabeth Danvers' sister, Dorothy Danvers (d. 16 May 1558), married Nicholas Huband (d.1554), and was the mother of the testator's first cousin, Sir John Huband (d. 24 December 1583), who held a share in the Stratford tithes purchased in 1605 by William Shakespeare of Stratford Upon Avon. See the will of Sir John Huband, TNA PROB 11/66/331, and the pedigree of Digby in Fetherston, John, ed., The Visitation of the
County of Warwick in the Year 1619, (London: Harleian Society, 1877), Vol. XII, p. 17 at:
https://archive.org/stream/visitationcount01britgoog#page/n40/mode/2up.
See also:
http://hubandfamily.com/ipsley.html.
According to the Cave pedigrees, supra, the testator had six sons and eight daughters:
-John Cave, who died young.
-Richard Cave (d. 3 April 1560) of Little Oakley, Northamptonshire, who married Elizabeth Montague (d.1569), eldest daughter of Sir Edward Montague (d. 10 February 1557), Lord Chief Justice of the Common Pleas. In 1567 Elizabeth (nee Montague) Cave married William Markham (d.1570/1) of Little Oakley, for whom see the History of Parliament entry, and the will of his father, Sir John Markham (d.1559), TNA PROB 11/42B/583.
-Edward Cave, who married Elizabeth, daughter of Sir John Conway of Ragley, Warwickshire.
-Roger Cave (d.1586), who married, on 24 November 1561, Margaret Cecil, sister of Oxford's father-in-law, William Cecil (1520/1-1598), Lord Burghley. For his will, see TNA PROB 11/69/479.
After the death of Roger Cave (d.1586), Margaret (nee Cecil) Cave married the testator's nephew, Erasmus Smith, son of the testator's sister, Dorothy (nee Cave) Smith Poole, and her first husband, John Smith (d.1544) of Withcote, Leicestershire. For the will of Dorothy (nee Cave) Smith Poole, dated 10 June 1588 and proved 28 March 1593, see TNA PROB 11/81/254.
-Ambrose Cave, who died young.
-Anthony Cave, who died young.
-Amy Cave, who married John Hunt, esquire, of Lindon, Rutlandshire. For the inquisition post mortem of the testator's son-in-law, John Hunt, see:
http://www.nationalarchives.gov.uk/A2A/records.aspx?cat=056-dg11&cid=10-1#10-1 [The jurors] say that said John Hunt died 17th March 28 Elizabeth I [=17 March 1586], and that Remige Hunt is the elder son and next heir, and was aged 40 years at John's death.
-Mary Cave, who married William Skeffington.
-Margaret Cave, who married Sir William Mering of Nottinghamshire.
-Elizabeth Cave, who married Sir(?) Humphrey Stafford (d.1574?) of Blatherwycke, Northamptonshire, the son of Sir Humphrey Stafford (d. 8 May 1548) and Margaret Tame (d. after 1558). See:
http://www.flickr.com/photos/sic_itur_ad_astra/6769912347/.
For the testator's daughter, Elizabeth Cave, see also:
http://www.kateemersonhistoricals.com/TudorWomenC-Ch.htm
Elizabeth Cave was the daughter of Thomas Cave of Stanford, Northamptonshire (d. September 4, 1558) and Elizabeth Danvers (1506-1522+). She married Humphrey Stafford of Bletherwick, Northamptonshire (d.1574). They had two children, Humphrey (d. unm.) and John (d.1596). In 1562, Elizabeth brought charges against her husband in the Court of Requests. Timothy Stretton's Women Waging Law in Elizabethan England provides a number of details from the case. Elizabeth accused Humphrey of fathering a child with a maidservant and giving his mistress expensive gifts, of slandering acquaintances, sacking servants, and falsely accusing her of infidelity. Humphrey maintained that she had been unfaithful to him, saying that one of her lovers had committed suicide and indicating that she had told one man that he should be patient and not marry someone else, implying that she would soon be free to remarry. Humphrey freely admitted that he had beaten his wife (a husband's right in those days) because she had uttered "many unseemly and quarrelous words." His goal, he said, was to reform "her manners and life." Humphrey also protested the authority of the Court of Requests to rule of the matter. It appears that the final outcome of the case is not known.
-Margery Cave, who married firstly Francis Farnham, esquire, of Quarndon, Leicestershire, and secondly John Dasset, esquire, of Hill Morton, Warwickshire.
-Barbara Cave, who died young.
-Alice Cave, who married John Skeffington, esquire, of Fisherwick, Staffordshire.
-Susan Cave, who married Sir John Bowes of Elford, Staffordshire.
As noted in the will, the testator's eldest son and heir, Richard Cave, married the eldest daughter of Sir Edward Montague. From the ODNB:
Sir Edward Montague (1480s–1557) married three times: first Cicely (or Elizabeth), daughter of William Lane of Orlingbury, Northamptonshire; second, following Cicely's death, Agnes, daughter of George Kirkham (d. 1527) of Warmington in the same county, a chancery clerk and member of parliament for Stamford in 1515; and third, after the
death of Agnes, Eleanor (or Helen), daughter of John Roper (d. 1524), chief clerk of the king's bench and attorney-general to Henry VIII, who was the widow of John Moreton. With his third wife he had at least five sons and six daughters; in his petition to Mary I of 1553, in which he disassociated himself from the attempt to place Lady Jane Grey on the throne, he said he was the father of seventeen children, six sons and eleven daughters.
OTHER PERSONS MENTIONED IN THE WILL
The Francis Saunders who witnessed the testator's will was Francis Saunders (d.1585), the brother of George Saunders, murdered on 25 March 1573 by Oxford's former servant, George Browne. The murder was the subject of a pamphlet by Oxford's uncle, Arthur Golding (1535/6-1606), Brief Discourse of the Late Murther of Master George Saunders, and an anonymous play, A Warning for Fair Women, performed by the Lord Chamberlain's Men. For the will of Francis Saunders, see TNA PROB 11/68/442.
RM: T{estamentum} Thome Cave militis
In the name of God, Amen. The tenth day of December in the year of Our Lord God a thousand five hundred fifty and six and in the third and fourth years of the reigns of our Sovereign Lord and Lady Philip and Mary by the grace of God King and Queen of England, Spain and France, both Sicilies, Jerusalem and Ireland, Defenders of the Faith, Archdukes of Austria, Dukes of Milan, Burgundy and Brabant, [f. 36v] Counties of Hapsburg, Flanders and Tyrol, I, Sir Thomas Cave of Stanford in the county of Northampton, knight, being whole of mind and of good remembrance and perfect memory, thanks be to God, make this my testament and last will tripartited indented in manner and form following, that is to say:
First I bequeath my soul unto Almighty God, my Maker and Redeemer, and my body to be buried in my tomb within the parish church of Stanford appointed for the same if it fortune me there to depart out of this present life, or else in the parish church where it shall fortune me to depart out of this present life;
And concerning the order and disposition of all my goods, lands, debts and farms I give and dispose them in form following, that is to say:
First I give and bequeath to the reparations of the same church and chancel of Stanford and for the ornaments of the same ten pounds of lawful English money;
And I give to the reparations of any other church where it shall please God to call me to his mercy forty shillings of lawful English money;
Item, I will that every priest that cometh to my burial to say divine service for my soul and all Christian souls have twelve pence, and every clerk four pence;
Modern spelling transcript copyright ©2012 Nina Green All Rights Reserved http://www.oxford-shakespeare.com/
Item, I give and bequeath to the poor people in every town and parish, meaning to Stanford ten shillings, and to Stanford town twenty shillings;
Item, I will there be given within the space of seven years next after my decease twenty pounds of lawful English money to the marriage and preferment of young men and maids dwelling within Stanford and within four miles of Stanford by the discretion of mine executors and overseers or the more part of them;
Item, I bequeath to the relief of the poor prisoners in Northampton Castle, being immediately after my decease, thirteen shillings four pence, to be bestowed in meat and drink for them;
Item, I will there be proclamations made in markets & churches in the counties of Northampton and Leicester that if there be any person or persons that I have done wrong unto in anything, they and every of them shall resort to mine executors, and that duly proved, mine executors shall make them recompense for the same wrongs and injuries so by me committed and done;
Item, I will that mine executors pay my debts after my funerals be discharged as shortly as may be and at such days and times as I am bounden or shall be bounden to at the time of my death by obligation or by writing or otherways to pay the same;
Item, I give to Margery Farnham, one of my daughters, two hundred marks of lawful English money over and besides such sums of money as her husband hath had already of me in full recompense of all legacies and bequests given to her by my father, Richard Cave, in writing or otherway, to be paid to her within six years next after my decease if she so long live, or to her children if she fortune to have any living after her decease if she die within the same six years;
Item, I give and bequeath to my daughter, Alice Cave, to her marriage if she therein will be ordered by mine executors and overseers or the more part of them, five hundred pounds of lawful English money;
Item, I give and bequeath to Susan Cave, my youngest daughter, at her full age of one and twenty years or at her marriage, to be paid by mine executors upon like condition as is aforesaid for Alice Cave, five hundred pounds of lawful English money;
Item, I give and bequeath to Roger, my son, at his age of four and twenty years, or at any time before at the discretion of mine executors, five hundred pounds of lawful English money, and till he be paid the same I will that he and also my daughters Alice and Susan be found by mine executors;
Item, I give and bequeath to Edward, [f. 37r] my son, at his like age of four & 20 years or at any time before at the discretion of mine executors five hundred pounds of lawful
English money, and till he be paid the same I will he be kept and found by mine executors;
And I will that if any of my said daughters, Alice and Susan, or any of my said sons, Roger and Edward, or any of them, fortune to die before they be married or before carnal knowledge had between them, their husbands and wives, or before the said Roger and Edward or any of them come to th' age of four and twenty years, and their portions or the portion of any of them being unpaid or unpromised by writing or as much thereof as shall be unpaid or unpromised, then the parts and portions of them that so fortune to die I will that they shall be divided evenly amongst them that survive, as well to my said sons as to my said daughters then being unmarried;
Item, I give and bequeath all such interest, leases & terms, and all manner of cattle & sheep that I have or hereafter shall have in two pastures in Eltington, the one called Cockehilles and thother called Cotehilles, to my wife and to Roger Cave and Edward Cave, three of mine executors, jointly to have to them three the commodities, profits and feedings of the same to the performance of this my last will and testament for as many years after my decease and till such time as my will may and shall be performed in all points, and after my will be performed and my debts paid, then I will that the residue of all such years and terms as shall be then to come with all manner of my cattle upon the same remain to the foresaid Roger and Edward, my sons, during their lives, and after their deceases, then I will the farms of the said two pastures with all the cattle upon the same then being remain to my son, Richard, during the terms then to come if any such be after the death of the foresaid Roger and Edward, my wife and my said sons, Richard, Roger and Edward, and every of them paying yearly all such rents, annuities and other charges and payments as I am bound to pay yearly out of the same, as well to the heirs and assigns of Thomas Pyggott, esquire, as to Sir Edward Montague, knight, and his heirs and assigns, as also all other annuities and payments contained in my father's will, that is to say, I will that mine executors pay yearly to my brother, Augustine Cave, ten pounds in full recompense of my father's will, and I will that mine executors pay yearly to Sir Robert and Sir John, priests, and to their successors all such wages, meat & drink and lodging as they have at this day, and also I will mine executors perform all such covenants as be specified by indentures between me of thone party & my brethren, Francis and Bryan, during all the said terms, if my father's will so long do express, or else according to his will and no lenger;
Further I will that my wife and mine executors shall during the term of fourteen years next and immediately after my decease have the use, occupation and possession of certain of my pastures in Stormesworth in the county of Leicester called Westrell [=Westerhill?] quarter, Swinford quarter and Little Field quarter, with six small closes or meadows thereto adjoining called Ingrams close, Durrauntes close, Rayle meadow, Westrell close and two smaller(?) closes by Barnehill in the county of Leicester, and all my lands, tenements, meadows, leases, pastures, tithes, waters, mills and hereditaments within the said quarters called Wrestrell quarter, Swinford quarter and the Little Field quarter, and within the said six closes in Stormesworth aforesaid, with all my cattle and coneys there, and corn gotten by the mills there, requiring and [f. 37v] charging them and every of
them with [+the?] revenues, issues and profits rising and yearly coming of the same to keep and find competently and sufficiently all and so many of my children as shall be unmarried at the time of my decease in all things, and also to content and pay all my debts, legacies and bequests contained within this my last will and testament, and to perform and to fulfil all other such covenants as hereafter shall fortune me to do for the marriage of any of my said children or otherwise;
Also I will that mine executors shall yearly during the term of twenty years next after my decease find one priest to sing and say divine service within the church of Stanford for me and my wife, my father and my mother, Master William Lane and all ours [sic?] ancestors, brethren, sisters and children and all Christian souls, his wages to be paid of the revenues, issues and profits aforesaid during the said term of twenty years;
And also I will, give and bequeath to the re-edifying of the late monastery of Selby in the county of York, if it be re-edified within twenty years next after my decease, two hundred pounds of lawful English money;
And after my will performed, my legacies and debts paid, and all my children preferred and set forth in marriage according to the true meaning of this my last will and testament, and the foresaid term of fourteen years not fully expired nor ended, then I will with the revenues, issues and profits coming and growing yearly of all my foresaid lands, tenements, tithes and hereditaments of the foresaid three quarters or pastures in Stormesworth aforesaid called Westrell quarter, Swinford quarter and Little Field quarter, with the six small closes to the same adjoining, and all cattle and other commodities going and kept upon the same during the residue of the foresaid term of fourteen years shall be employed and bestowed to such of my children as shall have most need by the discretion of mine executors and overseers or the more part of them;
Item, I give and bequeath to all my yeomen servants twenty shillings apiece of them, besides their wages and liveries;
Item, I give to all my other servants, shepherds and maids thirteen shillings and four pence apiece besides their wages and liveries;
Item, I will and bequeath to Elizabeth, my wife, all such sheep and cattle of mine as be going or shall be going at the time of my death in Walcote quarter, being the fourth quarter in Stormesworth, and in Stanford and Downe, and my milch kine in Barnehill and in the Bridge close in the said county of Leicester, with the bulls in the same, to her own use only to the intent she may the better maintain her house and family and help her children and mine at her discretion, and also I give her the same field called Walcote quarter with the Bridge close and Barnehill to have to her during the time she dwelleth in the manor of Stanford without any rent or tithes or any other thing paying for the same during the same time;
Also I will that mine executors shall pay to mine nephew, Matthew Cave, at his full age of one and twenty years, if he so long live, such part and portion of one hundred marks as
my father, Richard Cave, esquire, did give and bequeath to him, his brethren and sister, the same Matthew allowing to mine executors of his part and portion of the said hundred marks twenty pounds whereof I paid for his charges and keeping in Flanders a year at learning the languages, as it appeareth by my brother Anthony's account [f. 38r] seventeen pounds seven shillings penny halfpenny, and the rest of the said twenty pounds was bestowed in double apparel for him made at two times, that is to say, once when he should have been prentice with Walter Yonge, Merchant Taylor, in London, and another time when he should have been with Master Mosely, Merchant Venturer there, and for his charges and commons whiles he went up and down in London from Bartholomew tide [=24 August] till Allhallowtide next after, three pounds thirteen shillings and four pence;
Item, I will that mine executors bestow at my funerals and month's day to all my children, as well sons as daughters, and to mine executors, overseers and yeomen servants, and in wax tapers and torches, in alms and in two sermons, one hundred pounds of lawful English money, or more or less, as by the discretion of mine executors and overseers or the more part of them shall be thought most convenient, or else to bestow the whole sum or the more part thereof in [-in] alms to the poor;
The residue of all my goods and debts and chattels not bequeathed, after my funerals and debts paid and my will performed in all things, I give and bequeath the use and occupation thereof to Elizabeth, my wife, and to my sons, Roger and Edward, they and every of them leaving my house at Stanford furnished in such standards of household, lodging and plate, viz., my least gilt salts, a basin & ewer, three bowls with a cover parcel gilt, and thirteen spoons with th' apostles, with implements and utensils of household, to my said son, Richard, as shall be there at the time of my decease, or else two hundred pounds in ready money in recompense of all the said stuff and plate at the election and choice of mine executors, except all my harness, armour and weapons, which I give to my son, Richard, and to mine executors jointly;
And of this my last will and testament I ordain and make mine executors Dame Elizabeth, my wife, my sons, Roger and Edward, and my son-in-law, William Skeffington, charging them and every of them as they will answer before God to see this my will duly and truly executed according to the true meaning of the same, and to the said William Skeffington I give for his pains herein to be sustained ten pounds;
And the overseers of the same I ordain and make my brethren, Sir Ambrose Cave, knight, Francis Cave and Bryan Cave, esquires, my son, Richard Cave, and Sir Henry Comberford, clerk, parson of Yelvertoft, desiring them to order and see this my will performed, and I give to every of my said overseers that will take pains to set my wife and my sons and other mine executors in good order, unity and concord to perform the same my will, and to give them advice and counsel at all times necessary, five pounds apiece of them;
And I renounce all former wills by me heretofore made in all things;
Item, I, the said Sir Thomas Cave, will, give and bequeath to William Bryan, Simon Bryan and Edmund Bryan, children of one Richard Bryan, late of Clay Coton in the county of Northampton, husbandman, deceased, to every of them six and twenty shillings eight pence at their full age of eighteen years if they so long live, or to the survivors of them if they or any of them be not paid any part or parcel thereof by me in my life, and if any of them shall so fortune to be paid by me in my life, I will that mine executors shall pay the residue if any of them fortune to be unpaid at my decease;
Item, I will further that if mine executors [f. 38v] or any of them be by any ways or means molested hereafter, unquieted, sued, vexed, and to th' intent and in consideration that my said son, Richard, shall in no wise do or suffer to be done any manner of act or acts to the hindrance or interruption of this my last will and testament or any part of the same contrary to the true meaning of the same, therefore and upon that condition and in full recompense and satisfaction of the third part of all lands, tenements and hereditaments which after my decease shall or ought of right to descend to the said Richard, I, the said Sir Thomas Cave, further give and bequeath to my said son, Richard, one annuity or yearly rent of twenty pounds to be going out of the said lands, tenements and hereditaments in Stormesworth aforesaid called Westrell quarter, Swinford quarter and the Little Field quarter, to be yearly paid to my said son, Richard, by mine executors and the survivors of them at two usual feasts of payment, that is to say, at the feast of St Michael th' Archangel and th' Annunciation of Our Lady by even portions or at any of the said feasts which shall happen first to be due next after my decease, to have and to hold the same annuity or yearly rent of twenty pounds unto the said Richard for and during the space and time of fourteen years next ensuing after the decease of me, the said Sir Thomas, if the said Richard so long live, and no lenger, and if it happen the said annuity or yearly rent of twenty pounds to be behind unpaid in part or in all after any of the said feasts aforesaid by the space of forty days, and the same be personally demanded before sufficient witnesses of mine executors or of any of them at the manor-place of Stanford aforesaid within the said forty days, that then it shall be leeful to the said Richard during the said fourteen years, if he so long live, into the said lands, tenements and hereditaments in Stormesworth aforesaid called Westell quarter, Swinford quarter & the Little Field quarter and into every part and parcel thereof to enter and distrain, and the distress there so taken to drive, lead and carry away, and to impound and [+so?] impounded to retain and keep until the said Richard Cave of the said annuity or yearly rent of twenty pounds with th' arrearages of the same (if any be) be fully satisfied, contented and paid;
Or troubled by Sir Edward Montague knight, and Dame Ellen, his wife, or by any of them, or by the executors or administrators of them or any of them, or by the said Richard Cave for and concerning as well the covenants of marriage of my son, Richard, and the bonds obligatory touching the same, as for any other matter, thing or things concerning the same or any part or parcel thereof, or touching any other matter, thing or things concerning or touching th' execution or performance of this my last will and testament or of any other thing or things whatsoever, then I will that the foresaid Richard Cave shall have no benefit of any gift or legacy given to him by this my last will and testament or
otherwise by any other writings, but that he shall lose and forfeit the same, anything herein contained or in any other writing to the contrary in any wise notwithstanding;
Item, I will further that if any suit or suits do rise and be attempted against my said executors or any of them by reason of this my last will or otherwise, or if my said executors do fortune hereafter to sue or be sued by any ways or means any person or persons or by any person or persons for any cause or matter touching or concerning any article, clause, sentence or any other thing or things contained and specified in this my last will and testament or otherways, then I will that all the charges and expenses in and about the same suit or suits shall be borne and suffered by mine executors of the revenues, issues and profits of such lands and tenements heretofore by me appointed for the performance of my will, and to be borne [f. 39r] of no part of his or their proper goods, and that they and every of them shall and may lawfully retain so much in his or their hands as they or any of them shall lay forth in and about the same upon a due account thereof to be made to the residue of mine executors;
Item, I will that the two priests that now been at Stanford shall be kept here at Stanford to sing or say divine service, and also my priest that I have appointed for twenty years to pray for my father and mother, and me, my wife, and theirs and ours [sic?] children, so long as it shall seem good by the discretion of mine executors, and no lenger, any thing or things contained in these presents or otherways to the contrary in any wise notwithstanding;
Item, I will my house and my servants shall be kept together one quarter of the year next after my decease of my costs and charges, they doing their duties as appertaineth, and then have their wages, liveries and bequests of my gift paid to them, and so depart, as many of them as by mine executors shall be thought meet;
Item, I will that there be an inventory made of all my goods, chattels & debts within forty days next and immediately following my decease;
And I will that all doubts, ambiguities and questions that shall or may at all time and times hereafter happen to arise upon this my last will and testament or any article, clause or sentence of the same shall be ordered, judged, finally ended and determined by the foresaid executors and as many of mine overseers as my executors shall take to them without any suit or trouble in the law, and if they or any of them or any other person or persons otherways attempt the law and refuse the order of mine executors and overseers as is aforesaid, or commit any private act or acts contrary to the true meaning of this my will without th' assent in writing of the more part of my said executors, then I will that he or they that so doth shall take no benefit of this my will;
Item, I, the said Sir Thomas Cave, will, give and bequeath to all my godchildren being on live six shillings and eight pence to every of them, to be paid by my executors within one year next after my decease;
Item, I will that mine executors shall pay to my godsons hereafter named, viz., Thomas Skeffington, Remyge Hunt and Thomas Mering, at their several ages of one and twenty years or at their marriages, to every of them twenty pounds of English money current, and if they or any of them fortune to die before they and every of them be paid, then I will the portion of Thomas Skeffington shall be given to his sister, Margaret Skeffington, to her marriage if she so long live, and if Remyge Hunt die before he be paid his portion, then I will that his sister, Susan, shall have his portion to her marriage if she so long live, and if Thomas Mering fortune to die before his portion be paid to him, then I will that his sister, Anne Mering, shall have his portion to her marriage if she so long live, and if all they, the said Thomas Skeffington and Margaret, his sister, Remyge Hunt and Susan, his sister, Thomas Mering and Anne, his sister, fortune to die before they or any of them have received their several portions in manner and form aforesaid given, then I will the same portions severally amongst the residue of their children, if they fortune to have any then living, or otherways as they shall seem best;
Item, I will, give and bequeath the reversion and reversions of all and singular my manors, lands, tenements and hereditaments within the realm of England [f. 39v] after such several and particular estate and estates determined made by me heretofore by writing or otherwise to my said son, Richard Cave, and Elizabeth, his wife, and to my sons, Roger and Edward, or to any of them, and after the decease of me and Elizabeth, my wife, shall wholly remain, come and be to the heirs of my body lawfully begotten, and to none other use;
Item, I will, give and bequeath to Richard Noble, Edward Noble and William Padge [=Page?], my servants, for their service to me, the said Sir Thomas Cave, heretofore done, and also hereafter to my wife and other mine executors to be done, to every of them twenty-six shillings and eight pence of lawful English money, to be paid yearly to them by mine executors during the natural life and lives of the said Richard Noble, Edward Noble and William Padge & every of them;
Further I will that my executors and the survivor of them yearly make an account for and during the space of fourteen years next ensuing after my decease in the month of December at the manor-place of Stanford in the county of Northampton unto John Hunt and Francis Samuel, gentlemen, and Henry Comberford, clerk, or to the survivor of them, of and for all such yearly issues and profits as shall yearly rise, come and grow, as well of such lands and tenements appointed for the performance of this my last will and testament as of such stocks of cattle whatsoever remaining and being or that shall remain and be at the time of my death or at any time during the said term of fourteen years, and of the increase and yearly revenues, issues and profits coming and growing or that shall come and grow of the same, and the said John Hunt, Francis and Henry, or the overliver of them, to have horse-meat, man's meat and lodging at the costs and charges of mine executors;
And over this I give to the said Francis forty shillings yearly during the said term of fourteen years to take the account and to finish and engross the same in due form, and to be paid the same at his coming to Stanford to take the account;
And if my said executors or any of them upon request made to them or any of them by the said John, Francis and Henry or the overliver of them refuse or will not make an account in manner and form aforesaid, that then they or any of them so refusing or not making account shall have no benefit or interest by this my last will and testament;
In witness whereof to this my last will and testament tripartite indented and to every part of the same I, the said Sir Thomas Cave, knight, have put to my seal and subscribed every leaf of every part of the same with my own hand, dated the day and year first abovewritten in the presence of these persons thereunto specially called for witnesses whose names hereafter follow written with their own hands, as many of them as can write, and the residue have made their several brands and marks. Per me Thomam Cave.
Post scriptum: I will further that all manors, lands and tenements which were the inheritance of Dame Elizabeth, my wife, at any time during our marriage, and the reversions and remainders of the same after our several deceases and the heirs of our two bodies lawfully begotten, wholly remain, come and be unto the said Dame Elizabeth and her heirs, any article, clause or sentence herein contained or any other covenants or assurances heretofore made to the contrary in any wise notwithstanding;
And further where heretofore I have caused a lease to be made by indenture heretofore had and made between me, the said Sir Thomas, then Thomas Cave, esquire, of thone party, and Kenelm Digby, William Skeffington, and [f. 40r] William Mering, then esquires, whose date is the first day of the month of January in the fourth year [=1 January 1551] of the reign of the late King Edward the Sixth, of the manor of Stanford and the parsonage of the same in the counties of Northampton and Leicester, and of all my lands, manors, tenements and hereditaments with th' appurtenances in Stanford aforesaid, Stormesworth, Borsworthe [=Bosworth], Downe, South Kilworth, Swinford, Walcote, Catthorpe and Clifton upon Dunsmore in the counties of Northampton, Leicester and Warwick, and also of one messuage in Yelvertoft in the said county of Northampton now or late in the tenure and occupation of one Morres [=Morris?] Welles, to have and to hold the same to the said Kenelm, William Skeffington and William Mering for term of certain years comprised in the said indenture, as by the same more at large doth and may appear, if Sir Edward Montague, knight, and Dame Ellen, his wife, my said son, Richard, Elizabeth, his wife, and every of them, their executors, administrators and assigns, and the executors, administrators and assigns of every of them, do permit and suffer mine executors and administrators quietly and peaceably to have, enjoy and possess without let, interruption, suit, vexation, trouble or impediment of them or any of them or of any other person or persons by th' assent, procurement or means of them or of any of them, all and every such thing and things contained in my last will and testament, and do not nor suffer to be done any act or acts whereby or wherewith my last will and testament of anything therein contained should be violated, broken, impaired, hindered or let, or th' execution thereof might not be lawfully executed and done according to the true meaning thereof, then I will and desire the said Kenelm Digby, William Skeffington and William Mering upon sufficient bonds made by the said Sir Edward Montague and Richard Cave to mine executors for the performance of my last
will in such sums as my said executors shall think reasonable, that they, the said Kenelm, William Skeffington and William Mering, shall deliver the same indenture to the said Richard to be cancelled, which said lease was made for the quietness of mine executors and the true execution of my last will and testament, and if they or any of them will not so be bound, then I will and require the said Kenelm, William & William Mering to give and assure the said lease to mine executors to use the same at their discretion;
His Testibus vicesimo die Ianuarij Anno d{omi}ni millesimo quingentesimo quinquagesimo Sexto: Per me Thomam Caue per me ffranciscum Saunders test{e} per me John Cumberfford per me Ioh{ann}em whyte Cl{er}icu{m} per me Ioh{ann}em Iordayne Cliricu{m} per me Radulphi Willcock{es} Cl{eri}cum
Probatum fuit h{uius}mo{d}i Testamentu{m} vnacu{m} Codicillo Coram d{omi}no Cant{uariensis} Archiep{iscop}o decimo die mensis Septembris Anno d{omi}ni millesimo quingen{tesi}mo quinquage{si}mo octauo Iurament{o} xpoferi Smyth no{ta}rij pu{bli}ci procur{ator}is d{omi}ne Elizabeth{e} Rel{i}c{t}e Rogeri Caue et Will{el}mi Skeuynngton Executoru{m} in eod{e}m nominat{orum} Quibus com{m}issa fuit Administrac{i}o de bene et fidel{ite}r administrand{o} &c Reseruata pot{est}ate similem Com{m}issionem faciend{o} Edwardo Cave etiam Executor{i} in minore etate existen{ti} cum venerit &c
[=The same testament was proved, together with the codicil, before the Lord Archbishop of Canterbury on the tenth day of the month of September in the year of the Lord the thousand five hundred fifty-eighth by the oath of Christopher Smyth, notary public, proctor of Lady Elizabeth, relict, Roger Cave and William Skeffington, executors named in the same, to whom administration was granted, [+sworn] to well and faithfully administer etc., with power reserved for a similar grant to be made to Edward Cave, also executor, being underage, when he shall have come etc.]
|
Minutes of the Full Council Meeting of Ashurst and Colbury Parish Council on 16 th June 2015, held at
the Church Rooms, Deerleap Lane, Colbury.
Present;
Cllr. M Coaker (Chairman) Cllr C Hubbard (Vice Chair), Cllr. A Sturgess, Cllr. S Arnold, Cllr. C White, Cllr. M Thomas, Cllr E Lacey, Cllr S Jenkins.
Cllr D Tipp (NFDC)
Cllr K Mans (HCC)
Clerk to the Council; H Klaassen.
12 Members of the public.
The Chairman opened the meeting by reminding assembled Councillors of their duty to act within the Code of Conduct and Standing Orders.
300/FC
Public Participation Members of the Public, with the approval of the Chairman, will have the opportunity to ask questions relating to matters of community interest, which fall within the responsibility of the Parish Council.
None.
301/FC Apologies for absence.
Apologies were received from Cllr Les Puttock.
302/FC Disclosure Of Interest In An Agenda Item
Councillors are reminded that under the Code of Conduct if they have a personal interest in any item on the agenda they must declare it now.
Nothing declared.
303/FC Police / Neighbourhood Watch Report.
It was noted that Karen Oliver was on holiday. The Chairman advised those assembled to be on their guard as there had been many reports recently of sheds being broken into and valuables taken.
304/FC Approval of Minutes of the AGM / Full Council Meeting held on 19.5.15.
Cllr Lacey raised that she did not agree that the discussion which took place with regards to herself, Cllrs Jenkins and Thomas joining the planning committee (minute FC/286) was reflected accurately in the minutes.
Cllr Lacey then stated that it was her belief that the Localism Act, which the Clerk had originally mentioned in the minutes, showed that it was possible for her, Cllr Thomas and Cllr Jenkins to join the planning committee.
A discussion ensued and concluded with the Chairman, Cllr Coaker reminding those assembled that a vote had taken place on this issue at the last meeting and that at this present time, there would be no more discussion on the matter.
Cllr Thomas raised, also on minute FC/286 that he accepted that he couldn't be on the Allotment committee, but in fact queried his inclusion on a working party, he stated that the hadn't asked to be on the committee, but only in a working party. Cllr Arnold clarified that it was unlikely that a working party would be needed for the normal running of the allotments as on many occasions matters needed to be referred to a full committee for action.
The Chairman then asked for a vote to be taken to approve the minutes, if all other councillors felt that they were accurate. So it was agreed on a vote of 5 for, 3 against that; The minutes of the meeting of 19 th May 2015 be accepted as a true and accurate record.
- 1 -
305/FC Matters Arising Not on the Agenda.
Cllr Lacey wished to raise the issue of the School Travel Plan Team. She noted that the Chair of Governors has asked assembled councillors at the end of the last meeting whether the council had formalised the chosen representative. She mentioned that she had been contacted by the School to meet with the Head and CoG to discuss with them the Working Party's plans to assist in the situation surrounding the traffic at the school. Cllr Lacey explained that although she was Chair of KACCG she did not run the WP as part of KACCG. She wished to clarify whether she would be attending this meeting as a representative of the PC of just the WP.
The Chairman clarified that Cllr White would be representing the PC as he had been invited to do so and that Cllr Lacey would be representing the WP.
Cllr White then clarified that he had been invited in his capacity at councillor to the Travel Plan Team because he had previously expressed to the CoG a desire to become more involved with the school.
He stated that although he was on this team, that he would still be accountable and report back to the PC and would not acting autonomously.
306/FC Accounts.
1. To consider accounts paid and payable since the last meeting (Appendix 1).
Cllr Hubbard proposed, Cllr Arnold seconded that they be approved. All agreed.
2. Audited Accounts for BDO
The Clerk presented the documentation that was required of the Parish Council and her as Responsible Financial Officer by BDO for the Annual Audit.
It was discussed that to a certain extent councillors not involved directly in the financial processes would have to 'take on trust' the information that the clerk provided. The clerk iterated that she did indeed follow proper practices, such as the signing of cheque by two councillors other than herself and countersigning of cheque stubs and invoices. The Clerk also pointed out that the accounts and processes had been audited to ensure compliance and that the auditor Paul Reynolds was satisfied with them and the clerk's correct administration of them.
Cllr Thomas enquired whether the figure of £37,890 indicated available funds. The Clerk responded that although that was the figure cumulatively of both accounts that there was not the fullness of information to accurately say how much of it was available as 'spare' funds.
It was decided after some discussion that a review should be set for September, by which time it was hoped a fuller picture would have emerged of specific council spending for this financial year.
307/FC Electoral Boundary Review. Following the letter from the Local Government Boundary Commission dated 26 th May 2015 (Appendix 2), and their email forwarded to Councillors on 27.5.15, to review their proposals and provide comment / views.
All comments from councillors should be forwarded to the clerk who will formulate a reply. It was noted that the date for receipt of the comments was 3 rd August.
Cllr Arnold stated that she had already responded and read out her response to the assembled councillors.
308/FC NFDC Licensing Policy Review. Following the letter/email from Paul Weston dated 22.5.15, to give consideration to the review of licensing policy and forward any recommendations or suggestions to NFDC.
Councillor comments should be forwarded to the clerk who will pass them onto NFDC.
309/FC Correspondence.
1. To consider, as per the email from HALC dated 12.5.15 whether the association should remain a part of NALC and forward our recommendations to HALC.
To be taken forward to the next meeting and to send an initial response to HALC of 'don't know yet'.
- 2 -
Signed: ______
310/FC County Councillor's Report.
Cllr Mans reported that HCC were still involved in cost cutting exercises as there was a suspicion that the grant from central government may go down again and the County may find themselves having to save £98million over the next two years. They would continue their commitment to front line services by ensuring the cuts would have little effect in this area. HCC would be continuing their commitment to spending in schools and hoped to raise some money by selling their support programme to other councils. Cllr Mans said that although it was not a statutory requirement to provide this, HCC had decided to make the commitment to continue to do so.
Cllr Mans also informed the council that HCC had the largest capital investment programme of any council, currently standing at around £250million.
Finally Cllr Mans let the council and assembled public know that this devolved budget was now open. He has £8000 to use at his discretion towards grants. This scheme can be utilised by both parish councils and individual charities, although he noted that he tended to limit donations to under £1000 per request and to spread them out evenly throughout the year. Anyone wishing to apply for a grant can go to the HCC website and look under devolved budgets;
(http://www3.hants.gov.uk/grants/county-councillor-grants.htm).
311/FC District Councillor's Report.
Cllr Tipp reported that a similar scheme was run by NFDC, which runs out at the end of the year. Cllr Tipp's fund is for £600 and he said that he was not sure that it would increase in the next financial year.
He noted that NFDC councillors from other parties would like NFDC to put all it's employees on the 'living wage' an hourly rate above the government set minimum wage, but that doing so could cost the council at least £100,000 extra per annum. He said that elections had meant the district council was divided up thus; 58 Conservative Councillors, 2 Liberal Democrats and 0 UKIP.
Cllr Tipp ended by saying that each Councillor is only supposed to have one committee and although he had lost the Audit Committee he was still on Corporate Overview and the Appeals Committee.
312/FC Highways and Transport.
The Chairman noted that the resurfacing Ashdene and Wood Roads was now complete and that now, with thanks to Cllr Arnold's attention to the matter, the buses were now running back down their normal routes.
The Chairman also noted that he would be attending the Netley Marsh Parish Council Meeting the next evening, to bring to their attention the issue of speeding on Woodlands Road, with a view to encouraging NMPC to join A&CPC in pushing for a reduction in speed limit.
313/FC Recreation Ground.
Cllr Coaker reported that the Recreation Committee had received a letter from a resident who had witnessed a child narrowly miss a car after running out into Whartons Lane having spotted a horse on the far side of the road. The resident expressed concern that a child should so easily be able exit the park by nipping through the gaps in the kissing gate and running straight out into the road. Cllr Coaker said he would deal with the issue by putting some wire mesh over the gate and thus prevent access either way. He reminded those assembled that the pedestrian gates were now left unlocked, thus allowing access to all including those less abled and those with pushchairs.
314/FC Reports from Representatives of other bodies. To receive feedback of information relevant to the parish from Councillors who attended those meetings.
Cllr Arnold informed those assembled that she had attended;
28th May – New Forest Consultative panel – Councillor Hubbard gave her apologies so no direct representative of the Council had attended
1st June – New Forest Access Forum
- 3 -
Signed: ______
3rd June – National Park Quadrant Meeting – no representatives from this Parish
9th June – Field trip with National Park 16th June – National Park Planning.
Cllr Arnold also advised that she had been advised from the NPA that they would be reviewing their planning policies which would involve consultation with parishes this Sept – October. The reviewed and renewed documents would be presented to the Secretary of State in Winter of 2016/17 with a view for adoption in Summer 2017. Clerks would be advised of action required in due course.
315/FC Items for Discussion at the Next Meeting.
1) HALC; to consider further their disaffiliation with NALC.
2) Licensing policy revision; to report back providing any views were forthcoming in the preceding month.
3)
Electoral Boundary Review; to report back on formulated views and reply.
4) Would the PC be able to get Councillor and other training if they were not a part of HALC? The Clerk to look into this and also to provide a précis on the pros and cons of membership of both SLCC and HALC.
5) Cllr Thomas raised regarding the email the clerk had sent from a company specialising in SIDS, after some discussion it was agreed that it should be an agenda item for next month.
6) Cllr Lacey raised the question; did the PC have a strategic review in place, for the next 4-5 years? It was mentioned that there had been in 2007 a village plan done by Ashurst and Colbury Community Group and it was noted that whilst they had done everything they could they had left that which was unachievable by them. Discussion took place regarding possible ways of furthering this and gaining residents views. It was left that it should be something to add to the mid term review in September. In the meantime the clerk would do some research to see what other parishes do.
At 8.57pm the Chair thanked everyone for attending and closed the meeting.
Signed: _____________________________________
Date: ______________________________________
- 4 -
Signed: ______
|
Interim Consolidated Financial Statements April 30, 2018 (Unaudited)
Consolidated Balance Sheets (Unaudited)
(thousands of Canadian dollars)
The accompanying notes are an integral part of these interim Consolidated Financial Statements.
Consolidated Statements of Comprehensive Income
(Unaudited)
(thousands of Canadian dollars, except per share amounts)
The accompanying notes are an integral part of these interim Consolidated Financial Statements
(1) Net of income tax expense for the three months of $nil (2017 – $1 expense) and income tax benefit for the six months of $2 (2017 – $0).
Consolidated Statements of Changes in Shareholders' Equity (Unaudited)
(thousands of Canadian dollars)
The accompanying notes are an integral part of these interim Consolidated Financial Statements.
Consolidated Statements of Cash Flows (Unaudited)
(thousands of Canadian dollars)
| April 30 April 30 For the six months ended 2018 2017 | | |
|---|---|---|
| Cash provided by (used in): Operations: Net income $ 8,232 $ 1 3,968 Adjustments to determine net cash flows: Items not involving cash: Provision (recovery) for credit losses 1 5 (279) Income tax provision (recovery) 3,122 (6,854) Interest income (38,432) (36,049) Interest expense 13,605 14,325 Amortization of property and equipment 264 242 Interest received 36,782 35,833 Interest paid (15,450) (17,380) Change in operating assets and liabilities: Loans (42,016) 20,870 Deposits 19,809 (18,260) Change in other assets and liabilities 701 3,577 (13,368) 9,993 Investing: Proceeds from sale and maturity of securities 255 9,585 Purchase of property, plant and equipment (340) (1,265) Cash acquired on amalgamation - 1,569 Transaction costs associated with share issuance - (1,852) ( 85) 8,037 Financing: Redemption of securitization liability - (10,307) Dividends paid (1,522) (1,100) | | |
| Inco | me ta | xes paid (714) (676) |
| (2,236) (12,083) | | |
| Change in cash and cash equivalents (15,689) 5,947 Cash and cash equivalents, beginning of the period 1 59,909 93,964 | | |
| Cash and cash equivalents, end of the period $ 144,220 $ 9 9,911 | | |
| Cash and cash equivalents is represented by: Cash $ 144,220 $ 9 4,912 Cash equivalents - 4,999 | | |
| Cash and cash equivalents, end of the period $ 144,220 $ 9 9,911 | | |
The accompanying notes are an integral part of these interim Consolidated Financial Statements.
Notes to Interim Consolidated Financial Statements (Unaudited)
Three month & six month periods ended April 30, 2018 and 2017
1. Reporting entity:
VersaBank (the "Bank") operates as a Schedule I bank under the Bank Act (Canada) and is regulated by the Office of the Superintendent of Financial Institutions ("OSFI"). The Bank, whose shares trade on the Toronto Stock Exchange, provides commercial lending services to selected niche markets in Canada.
The Bank is incorporated and domiciled in Canada, and maintains its registered office at Suite 2002, 140 Fullarton Street, London, Ontario, Canada, N6A 5P2.
2. Basis of preparation:
a) Statement of compliance:
These interim Consolidated Financial Statements have been prepared in accordance with International Financial Reporting Standards (IFRS) as issued by the International Accounting Standards Board (IASB) and have been prepared in accordance with International Accounting Standard (IAS) 34 – Interim Financial Reporting and do not include all of the information required for full annual financial statements. These interim Consolidated Financial Statements should be read in conjunction with the Bank's audited Consolidated Financial Statements for the year ended October 31, 2017.
The interim Consolidated Financial Statements for the three and six months ended April 30, 2018 and 2017 were approved by the Audit Committee of the Board of Directors on May 28, 2018.
b) Basis of measurement:
These interim Consolidated Financial Statements have been prepared on the historical cost basis except for securities designated as available-for-sale that are measured at fair value in the Consolidated Balance Sheets.
c) Functional and presentation currency:
These interim Consolidated Financial Statements are presented in Canadian dollars which is the Bank's functional currency. Except as indicated, the financial information presented has been rounded to the nearest thousand.
d) Use of estimates and judgments:
In preparing these interim Consolidated Financial Statements, management has exercised judgment and developed estimates in applying accounting policies and generating reported amounts of assets and liabilities at the date of the financial statements and income and expenses during the reporting period. Areas where significant judgment was applied were in the assessments of impairment of financial instruments. Estimates include the calculation of the allowance for credit losses and the measurement of deferred income taxes.
Notes to Interim Consolidated Financial Statements (Unaudited)
Three month & six month periods ended April 30, 2018 and 2017
It is reasonably possible, on the basis of existing knowledge, that actual results may vary from that expected in the generation of these estimates. This could result in material adjustments to the carrying amounts of assets and/or liabilities affected in the future.
Estimates and their underlying assumptions are reviewed on an ongoing basis. Revisions to accounting estimates are applied prospectively once they are recognized.
3. Significant accounting policies and future accounting changes:
The accounting policies applied by the Bank in these interim Consolidated Financial Statements are the same as those applied by the Bank as at and for the year ended October 31, 2017 and are detailed in Note 3 of the Bank's 2017 audited Consolidated Financial Statements.
There have been a number of standards and amendments that have been issued by the IASB that are not effective for the Bank's fiscal year end of October 31, 2018 and therefore have not been applied in preparing these consolidated financial statements. Expanded discussions on future accounting that may impact the Bank's future financial statements are detailed in Note 4 of the Bank's 2017 audited Consolidated Financial Statements.
Financial Instruments (IFRS 9)
In July, 2014, the IASB issued the final revised IFRS 9 standard which addresses classification, measurement and impairment of financial instruments and hedge accounting. IFRS 9 specifies that financial assets be classified into one of three categories: financial assets measured at amortized cost, financial assets measured at fair value through profit or loss, or financial assets measured at fair value through other comprehensive income. The standard also includes an expected credit loss model and a general hedging model.
IFRS 9 will be mandatorily effective for the Bank's fiscal year beginning on November 1, 2018. The Bank has assembled a multi-disciplinary implementation team, ("the IFRS 9 Team") comprised of key management personnel across a range of the Bank's operational areas, including Finance, Risk and Information Technology ("IT") and has retained the services of external consultants with expertise in IFRS 9. The Bank is in the process of finalizing its expected credit loss modeling framework as well as enhancing its data management strategy and processes to support the calculation and recognition of expected credit losses under IFRS 9. Further, the Bank will utilize credit risk modeling systems and economic forecast data developed by an established, expert third party for the purpose of computing forward-looking risk parameters under multiple economic scenarios that consider both market-wide and idiosyncratic factors and influences. Given that the Bank has experienced very limited historical losses and therefore does not have available statistically significant loss data inventory for use in developing forward looking expected credit loss trends, the development of sophisticated, forward-looking risk parameter modeling systems and capabilities is particularly important for the Bank in the context of the computation of expected credit losses under IFRS 9.
(Unaudited)
Notes to Interim Consolidated Financial Statements
Three month & six month periods ended April 30, 2018 and 2017
While the Bank continues to make progress on its IFRS 9 implementation initiative, the impact of IFRS 9 on the Bank's consolidated financial statements cannot be quantified at this time.
Leases (IFRS 16)
In January 2016, the IASB issued IFRS 16, requiring most leases to be recorded on the balance sheet. For lessees, most operating leases other than short-term or low value leases will be capitalized, and will result in an increase in lease assets and lease liabilities on the balance sheet accompanied by a decrease in operating lease expenses and an increase in financing costs and amortization expense on the income statement. The new standard will not impact lessor accounting beyond additional disclosures. The new standard is effective for the Bank's fiscal year beginning November 1, 2019 with early adoption permitted if IFRS 15 Revenue from Contracts with Customers is also applied. The Bank is currently reviewing IFRS 16 to determine the impact of adoption on its consolidated financial statements.
4. Loans:
a) Portfolio analysis:
Notes to Interim Consolidated Financial Statements (Unaudited)
Three month & six month periods ended April 30, 2018 and 2017
The allowance for credit losses relates to the following loan portfolios:
The Bank holds security against the majority of its loans in the form of mortgage interests over property, other registered securities over assets, or guarantees and holdbacks on loan and lease receivables (see note 8).
b) Allowance for credit losses:
The allowance for credit losses results from the following:
For the three months ended
Collective
Balance, beginning of the period
Provision (recovery) for credit losses
Write-offs
2,290
$
(50)
-
Individual
200
$
- -
April 30
2018
Total
Allowance
2,490
$
(50)
-
April 30
2017
Total
Allowance
3,032
$
(582)
(179)
Balance, end of the period
2,240
$
200
$
2,440
$
2,271
$
(Unaudited)
Notes to Interim Consolidated Financial Statements
Three month & six month periods ended April 30, 2018 and 2017
The Bank terminated its credit card program with Home Hardware Stores Limited in December 2016 and sold the outstanding credit card receivables portfolio in April 2017 which resulted in the corresponding recovery of credit losses in the same period.
c) Impaired loans:
At April 30, 2018, impaired loans were $627,000 (October 31, 2017 - $627,000). Notwithstanding the foregoing, loans past due were $nil as at April 30, 2018 (October 31, 2017 - $nil).
5. Other Assets
6. Subordinated notes payable:
| Ten year term, unsecured, callable subordinate note payable to an unrelated party. Principal amount of $10 million, |
|---|
| interest rate of 8% (effective interest of 8.77%), maturing 2021. |
7. Securitization liabilities:
Securitization liabilities include amounts payable to counterparties for cash received upon initiation of securitization transactions, accrued interest on amounts payable to counterparties, and the unamortized balance of deferred costs and discounts which arose upon initiation of the securitization transactions.
(Unaudited)
Notes to Interim Consolidated Financial Statements
Three month & six month periods ended April 30, 2018 and 2017
The amounts payable to counterparties bear interest at rates ranging from 3.55% - 3.95% and mature in 2020. Securitized residential insured mortgages and other assets are pledged as collateral for these liabilities.
8. Other liabilities:
9. Share capital:
a) Common shares:
At April 30, 2018, there were 21,123,559 (October 31, 2017 – 21,123,559) common shares outstanding. On January 31, 2017, 1,028,494 shares were issued as part of an amalgamation with PWC Capital Inc.
b) Preferred shares:
At April 30, 2018, there were 1,461,460 (October 31, 2017 – 1,461,460) Series 1 preferred shares and 1,681,320 (October 31, 2017 – 1,681,320) Series 3 preferred shares outstanding. These shares are Basel III compliant, non-cumulative rate reset preferred shares which include non-viability contingent capital provisions (NVCC). As a result, these shares qualify as Additional Tier 1 Capital (see note 15).
c) Stock options:
At April 30, 2018, there were 43,851 common share stock options outstanding (October 31, 2017 – 46,617).
10. Income taxes:
(Unaudited)
Notes to Interim Consolidated Financial Statements
Three month & six month periods ended April 30, 2018 and 2017
11. Income per common share:
The Series 1 and Series 3 NVCC preferred shares are contingently issuable shares and do not have a dilutive impact.
12. Commitments and contingencies:
The amount of credit related commitments represents the maximum amount of additional credit that the Bank could be obligated to extend.
13. Restructuring charges:
Restructuring charges incurred in the prior year relate primarily to termination benefits for employees and key management personnel incurred as a function of the sale of the credit card portfolio and the Bank's corporate reorganization. It also reflects costs related to the amalgamation of the Bank and PWC Capital Inc. that were expensed by the Bank.
14. Related party transactions:
The Bank's Board of Directors and Senior Executive Officers represent key management personnel.
The Bank has loans to employees and key management personnel. At April 30, 2018, amounts due from related parties was $733,000 (October 31, 2017 - $746,000). The interest rates charged on these loans are similar to those charged in an arms-length transaction. Interest income earned on the above loans for the three months and six months ended April 30, 2018 was $6,000 (April 30, 2017 - $5,000) and $12,000
Notes to Interim Consolidated Financial Statements (Unaudited)
Three month & six month periods ended April 30, 2018 and 2017
(April 30, 2017 - $10,000) respectively. There were no provisions for credit losses related to loans issued to key management personnel for the three and six months ended April 30, 2018 and 2017.
15. Capital management:
a) Overview:
The Bank's policy is to maintain a strong capital base so as to maintain investor, creditor and market confidence and to sustain future development of the business. The impact of the level of capital on shareholders' return is also important and the Bank recognizes the need to maintain a balance between the higher returns that might be possible with greater leverage and the advantages and security afforded by a sound capital position.
OSFI sets and monitors capital requirements for the Bank. Capital is managed in accordance with policies and plans that are regularly reviewed and approved by the Board of Directors and take into account forecasted capital needs as well as financial market conditions.
The goal is to maintain adequate regulatory capital to be considered well capitalized, protect consumer deposits and provide capacity for internally generated growth and strategic opportunities that do not otherwise require accessing the public capital markets, all the while providing a satisfactory return to shareholders. The Bank's regulatory capital is comprised of share capital, retained earnings and accumulated other comprehensive income (Common Equity Tier 1 capital), preferred shares (Additional Tier 1 capital) and the qualifying amount of subordinated notes (Tier 2 capital).
The Bank monitors its capital adequacy and related capital metrics on a daily basis and has policies that set out internal thresholds for same. These capital metrics consist of the leverage ratio and the risk-based capital ratios.
During the period ended April 30, 2018, there were no material changes in the Bank's management of capital.
b) Risk-Based Capital Ratios:
The Basel Committee on Banking Supervision has published the Basel III rules supporting more stringent global standards on capital adequacy and liquidity (Basel III).
OSFI requires that all Canadian banks must comply with the Basel III standards on an "all-in" basis that became effective January 1, 2013 for the purpose of determining its risk-based capital ratios. Required minimum regulatory capital ratios are a 7.0% Common Equity Tier 1 (CET1) capital ratio and effective January 1, 2014, an 8.5% Tier 1 capital ratio and 10.5% total capital ratio, all of which include a 2.50% capital conservation buffer. The Basel III rules provide for "transitional" adjustments whereby certain aspects of the new rules will be phased in between 2013 and 2019. The only available transition allowed by OSFI for capital ratios is related to the 10 year phase out of non-qualifying capital instruments.
(Unaudited)
Notes to Interim Consolidated Financial Statements
Three month & six month periods ended April 30, 2018 and 2017
OSFI also requires banks to measure capital adequacy in accordance with guidelines for determining risk adjusted capital and risk-weighted assets including off-balance sheet credit instruments as specified in the Basel III regulations. Based on the deemed credit risk for each type of asset, assets held by the Bank are assigned a weighting of 0% to 150% to determine the Bank's risk weighted equivalent assets and its riskbased capital ratios.
The Bank's risk-based capital ratios are calculated as follows:
(Unaudited)
Notes to Interim Consolidated Financial Statements
Three month & six month periods ended April 30, 2018 and 2017
c) Leverage Ratio:
The leverage ratio, which is prescribed under the Basel III Accord, is a supplementary measure to the riskbased capital requirements and is defined as the ratio of Tier 1 capital to its total exposures. The leverage ratio is calculated as follows:
The Bank was in compliance with the leverage ratio prescribed by OSFI throughout the periods presented.
16. Interest rate position:
The Bank is subject to interest rate risk which is the risk that a movement in interest rates could negatively impact net interest margin, net interest income and the economic value of assets, liabilities and shareholders' equity. The following table provides the duration difference between the Bank's assets and liabilities and the potential after-tax impact of a 100 basis point shift in interest rates on the Bank's earnings during a 12 month period and the potential after-tax impact of a 100 basis point shift in interest rates on the Bank's shareholders' equity over a 60 month period if no remedial action is taken.
Notes to Interim Consolidated Financial Statements (Unaudited)
Three month & six month periods ended April 30, 2018 and 2017
17. Fair Value of Financial Instruments:
Fair values are based on management's best estimates of market conditions and valuation policies at a certain point in time. The estimates are subjective and involve particular assumptions and matters of judgment and as such, may not be reflective of future fair values. The Bank's loans and deposits lack an available market as they are not typically exchanged. Therefore, they are not necessarily representative of amounts realizable upon immediate settlement. See Note 23 to the October 31, 2017 audited Consolidated Financial Statements for more information on fair values.
CORPORATE INFORMATION
DIRECTORS
The Honourable Thomas A. Hockin, P.C., B.A, M.P.A., Ph.D., ICD.D
Chairman of the Board
Retired, former Executive Director of the International Monetary Fund
Robbert-Jan Brabander, M.Sc. and B.Sc. (Economics)
Managing Director of Bells & Whistles Communications, Inc.
David A. Bratton, B.A.(Hons), M.B.A., CHRP, FCMC
Retired, former President of Bratton Consulting Inc.
R.W. (Dick) Carter, FCPA, FCA, C. Dir
Retired, former Chief Executive Officer of the Crown Investments Corporation of Saskatchewan
Arnold E. Hillier, B.Comm., CPA, ACCA
Retired, former Chairman, Chief Executive Officer and
Chief Financial Officer, Claude Resources Inc.
Colin Litton, FCPA, FCA, ICD.D.
Retired, former senior partner of KPMG LLP
Susan T. McGovern, B.Sc.
Vice-President, External Relations and Advancement
University of Ontario Institute of Technology
Paul G. Oliver, FCPA, FCA, ICD.D.
Retired, former senior partner of PricewaterhouseCoopers LLP
Avery Pennarun, B.A.Sc.(Hons) Computer Engineering
Senior Staff Software Engineer, Google Fiber Inc.
David R. Taylor, B.Sc. (Hons), M.B.A., F.I.C.B.
President and Chief Executive Officer, VersaBank
OFFICERS
David R. Taylor, B.Sc. (Hons), M.B.A., F.I.C.B.
President & Chief Executive Officer
Shawn Clarke, M.Eng., P.Eng., M.B.A.
Chief Financial Officer
Michael Dixon, B.Comm., M.B.A.
Executive Head e-Commerce & Senior Vice President
Ross P. Duggan
Executive Head Commercial Lending & Senior Vice President
Nick Kristo, B.Comm., M.B.A.
Chief Risk Officer & Senior Vice President, Credit
Jonathan F.P. Taylor, B.B.A., CHRP
Executive Head Deposit Services & HR & Senior Vice President
Jean-Paul Beker, B.A. (Economics), CFA
Vice President, Real Estate Lending
Steve Creery, B.A. (Economics)
Vice President, Credit
Joanne Johnston, CPA, CA
Chief Internal Auditor
Wooi Koay, B.Comm., B.Sc.
Vice President, Information Technology
Aly Lalani, B.A., M.B.A., CPA, CA
Treasurer
Cameron Mitchell, B.A., LL.B.
Vice President, General Counsel & Corporate Secretary
Andy Min, B.A., CPA, CA
Vice President, Finance & Corporate Accounting
Scott A. Mizzen, B.A., LL.B.
Vice President, Real Estate Lending
David Thoms, B.A., M.B.A.
Vice President, Structured & Corporate Finance
SOLICITORS
Stikeman Elliott LLP 5300 Commerce Court West 199 Bay Street Toronto, Ontario M5L 1B9
TRANSFER AGENT
Computershare Investor Services Inc. 100 University Avenue Toronto, Ontario M5J 2Y1
STOCK EXCHANGE LISTING
Toronto Stock Exchange Trading Symbol: VB
CORPORATE OFFICES
London Office
Suite 2002 - 140 Fullarton Street
London, Ontario N6A 5P2
Telephone: (519) 645-1919
Toll-free: (866) 979-1919
Fax: (519) 645-2060
AUDITORS KPMG LLP
500-475 2 nd Avenue South Saskatoon, Saskatchewan S7K 1P4
BANK Royal Bank of Canada Main Branch, 154 1 st Avenue South Saskatoon, Saskatchewan S7K 1K2
Saskatoon Office
Suite 950 - 410 22 nd Street East Saskatoon, Saskatchewan S7K 5T6
Telephone: (306) 244-1868
Toll-free: (800) 213-4282
Fax: (306) 244-4649
Vancouver Office
40733 Perth Drive
Garibaldi Highlands, British Columbia V0N 1T0
Telephone: (604) 984-7564
Fax: (604) 898-3442
INVESTOR RELATIONS
Toll Free Telephone: (800) 244-1509
Email: email@example.com
Web site: www.versabank.com
|
Increased incidence of megaesophagus in dogs in Latvia 2014-2016
Preliminary results Dr. Ilze Matīse, DVM, MS, PhD, Diplomate ACVP February, 2016
What is esophageal dilatation; what are the causes and the incidence of this disease?
Megaesophagus (ME) is the generalized dilatation of the esophagus with decreased or absent motility. It is the most common cause of regurgitation in dogs and cats. Food fails to enter the stomach, remains in the esophagus, and is eventually regurgitated.
The disease can be congenital (clinical signs appears shortly after weaning) or acquired. Acquired ME affects dogs of various ages (mean age 7 – 15 years). There are numerous causes of ME – the most common is a neuromuscular disease myasthenia gravis (25% of cases). ME can also be one of the clinical signs in a wide range of diseases: neurological, muscular diseases (polymyopathy, polyneuropathy, dysautonomia); hormonal diseases (hypoadrenocorticism, hypothyroidism); esophageal inflammation – esophagitis; toxins – botulism, lead, organic phosphates etc; anatomical changes of esophagus – pathology of vascular ring; neoplasia; infectious diseases – canine distemper, neosporosis, tick born paralysis. If the cause of ME is not identified, it is classified as idiopathic ME. Most cases (50%) of ME in adult dogs are considered idiopathic.
Due to the diverse causes of this disease, the incidence of ME is rarely reported. The incidence of ME at the University of Missouri over an eight year period was reported to be approximately 1 per 1000 admissions (Guilford et al., 1990). Data about overall ME incidence in Latvia is not readily available. Only 4 dogs were diagnosed with ME at the Small Animal Hospital of Faculty of Veterinary Medicine in Latvia between 2008 and 2012 (5 year period) therefore ME in Latvia before 2014 was considered to be a rare diagnosis.
The situation in Latvia in 2015: an unusual increase of ME cases
During spring of 2015 small animal practitioners began noticing and reporting on the unusual increase of meagesopahgus (ME) patients in their practices. The Latvian Association of Veterinarians (LAV) together with the Latvian University of Agriculture Faculty of Veterinary Medicine (LUA FVM) started to gather information about these cases. In the period from April 2014 until May 2015 there were at least 70 dogs diagnosed with ME in Latvia (all confirmed by X-ray). Such an increase had not been observed or reported in any other country during this period (information from FECAVA directors).
In May 2015 the Ministry of Agriculture of Latvia funded the study investigating the cause of the ME outbreak in Latvia. The research was led by Dr. Ilze Matise, USA Board Certified veterinary pathologist (Diplomate, ACVP). Other researchers contributing were from the Veterinary faculty ( LUA FVM): Dr. Ivars Lusis, an epidemiologist, Dr. Kristine Drevinska, a small animal veterinarian; and Dr. Inga Piginka, a veterinary pathologist from the Latvian State Research Institute BIOR and pathologist at LUA FVM. The research was carried out by BIOR. A 6 month research plan was developed after consultations with various specialists in Europe and the USA representing a variety of disciplines: small animal internal medicine, neurology, toxicology and epidemiology.
The most important goal of this study was to identify the cause of the sudden increase of ME cases. There also existed the serious concern of the underlying possibility that any "contaminant" that was affecting the health and/or killing of dogs may also have the potential to infiltrate the environment or food supply causing human disease.
A retrospective study done in May 2015 was used to assess the epidemiological situation before the research plan for prospective study was designed. Locally made dog food was identified as one of potential risk factors; thus, the differential diagnoses included: acrylamide toxicity (toxic compound formed if carbohydrates are processed at high temperatures), botulism, dysautonomia, heavy metals (lead etc.), thallium, organic phosphates, toxicity of unknown substances, as well as myasthenia gravis.
Plan of the study
1. To identify the characteristics of the affected dogs – predisposing factors (age, breed, weight, gender, place of living, indoors/outdoors, feeding, health prophylactic measures, other diseases); to compare ME dogs with a control group (any other dog without ME). In order to gather data, a questionnaire was designed in consultation with foreign specialists. According to the request from the dog food manufacturer some questions were added to questionnaire.
2. To understand and describe the pathology of the disease. Only dogs with a diagnosis confirmed by radiography (x-rays) were included in the study.
a. Clinical signs of the disease, appearance, progress, response to treatment
b. Blood tests – changes in the complete blood count ( CBC) and biochemistry tests
c. Tissue changes in dead or euthanized dogs
3. Tests for toxins as possible causes of ME (test of tissues, blood and food samples)
a. Botulinum toxins
b. Acrylamide
c. Heavy metals, thallium
d. Organic phosphates
e. Other unknown substances
4. Tests on dog food
a. Bacteriological, chemical and toxin tests
b. Quantitative analysis of food (microelements, supplements, vitamins)
Current results and conclusions
Currently, only the first half of the research plan has been completed. The Control group of healthy dogs must be formed and similar information gathered and compared. Part of the planned tests have been completed and the botulinum toxin tests are nearly finished. However, the test for organophosphates and other unknown substances must still be done. The analysis of the dog food is also partly completed but the quantitative analysis still must be performed.
From May 2015 until December 2015, 70 new ME dog cases have been diagnosed – these are cases confirmed by X-ray and enrolled in the prospective study (samples collected and survey completed). The average number of ME cases is 8-9 per month. Thirteen of the 70 dogs in prospective study have died or have been euthanized due to poor health. Twenty veterinary clinics were involved in this study. The ME cases were found in 28 various counties. The greatest number of dogs (13) lived in Riga or its proximity. Affected dogs were from all regions of Latvia – both from urban and rural territories. In 30% of the cases more than one dog in the household was affected suggesting a common cause of the disease.
Results of the detailed questionnaire have been summarized. There were 54 complete questionnaieres from 60 dogs. The affected dogs were adults, 1-12 years old (mean age 6 years), mostly male (76%). 17 different breeds have been identified, predominantly: Bernese mountain dogs, Golden retrievers, Labradors, German Shepherds, Doberman pinchers. Only a few dogs represented small breeds – Toy terriers, Dachshunds. Most dogs were medium to large breed dogs with a median weight of 25 – 55kg. The age and breed profile of the dogs confirms that this disease is not a congenital form of ME. In Latvia's dogs, ME is an acquired disease.
The first ME cases were observed early in 2014 and some of the cases enrolled in the study had symptoms long before diagnosis of ME was made. The most common clinical sign reported was regurgitation and/or vomiting (94%). Regurgitation occurred soon after the meal (67%) or during the meal (50%). Other common clinical signs were a changed voice or loss of voice – dysphonia (72%), difficulty breathing and coughing. Weight loss was observed in more than 60% of the dogs and fatigue in 52%. 64% of the dogs improved after treatment but 17% were too sick and died during the study.
A greater number of ME affected dogs (53%) lived in restricted areas with rare access to chemicals (4%) or household waste (15%). Food supplements were used in 11% of dogs. Information about use of parasite control was as follows: 45% of dogs received tick treatment, 59% flea treatment and 70% internal parasite treatment. 72% of dogs were vaccinated during the last 3 years. Esophageal trauma or chronic disease were diagnosed in 2% suggesting that the ME disease affected previously healthy dogs.
The most common factor for ME affected dogs was the consumption of one particular, locally made dry dog food. 94% of all dogs were fed Brand A dog food. In most cases (86%) the food was stored in its original packaging which in 50% of cases was a combination of paper and polyethylene. In order to compare the incidence of the above mentioned factors in the whole dog population of Latvia, a control group will be formed and assessed. However, dog food remains under high suspicion since it is highly unlikable that 94% of dogs in Latvia are consuming one and the same food.
Blood tests show mild inflammation – possibly associated with the ME complication -aspiration pneumonia. Dirofilaria repens (a larval parasite transferred by mosquitoes, usually without any clinical signs) was observed in the blood more often than is typical (15% of cases). Serum chemistry tests showed mild muscle damage. Muscle atrophy was observed on postmortem examination of dogs. Another post-mortem histological finding was abnormalities in the nerves –a polyneuropathy and a loss of ganglion cells in the esophageal tissues. Anaerobic bacteria Clostridium baratii possibly capable of producing botulinum toxin F was discovered in the stomach of 33% dogs, however these isolates were negative for all botulinum toxin genes by PCR (A, B, C, D, E, F). Botulinum toxin was assayed for all blood samples and these results were negative. One more test remains for botulism – assesment of fecal samples of sick dogs for botulinum toxins (testing in progress in Sweden).
The analyses of blood (20 samples) and food (17 samples) for acrylamide, heavy metals and thallium were performed at BIOR. None of these substances were above normal limits. In addition, 16 dog food samples were analyzed for bacterial, chemical and mycotoxin contamination at BIOR. No significant deviations were observed, including no anaerobic, botulinum toxin- producing bacteria were found. Due to ruling out these toxins other differential diagnoses must be considered for evaluation – see below. However, these results do not rule out food as the possible cause of the ME outbreak. Tests for organophosphates, levels of specific microelements, supplements and vitamins, as well as testing for unknown substances will be done in blood and tissues of sick dogs and in Brand A pet food. In addition to this further plans for this study include establishing a control group to evaluate risk factors, completing testing for botulinum toxins in feces. Meanwhile we are continuing to register new ME cases to follow the incidence of ME in Latvia. Specialists from Europe and USA are regulary contacted to discuss results and to provide guidance for the study.
Importance of research
The increase of ME cases is unique to Latvia – we are facing an emerging disease. During the last 6 months 4 researchers and many veterinarians in Latvia have donated their time to investigate this disease, to find its cause, and to identify any risk factors. Due to this research and the increased public awareness, ME cases are being diagnosed faster and the proportion of lethal cases have decreased from 30% in the first half of 2015 to 17% in second half of 2015.
The significance of this research may be far reaching:
1. New cases may be prevented alleviating suffering and death of dogs.
2. Similar situations may be prevented from occurring in other countries.
3. A new cause of ME may be discovered and controlled/eradicated.
4. Understanding the cause of this degenerative muscle/nerve pathology may help in the understanding of similar human diseases.
If you have any comments and suggestion that could contribute to our study, please contact Dr. Ilze Matise firstname.lastname@example.org.
Information about ME – Everything the veterinarian and the dog owner should know has been available at LAV website www.lvb.lv since June 2015. The information was compiled by researchers and practicing veterinarians. Information in English about retrospective study is available here http://lvb.lv/lv/veterinararstiem/pasakumi/about-megaesophagus-in-english
|
Marshall University Marshall Digital Scholar
We Are ... Marshall: the Newsletter for Marshall University
8-29-2003
We Are…Marshall, August 29, 2003
Office of Marshall University Communications
Follow this and additional works at: http://mds.marshall.edu/mu_newsletter
Recommended Citation
Office of Marshall University Communications, "We Are…Marshall, August 29, 2003" (2003). We Are ... Marshall: the Newsletter for Marshall University. Paper 123.
http://mds.marshall.edu/mu_newsletter/123
This Newsletter is brought to you for free and open access by the Marshall Publications at Marshall Digital Scholar. It has been accepted for inclusion in We Are ... Marshall: the Newsletter for Marshall University by an authorized administrator of Marshall Digital Scholar. For more information, please contact firstname.lastname@example.org.
Marshall Publications
We Are...Marshall!
THE NEWSLETTER FOR MARSHALL UNIVERSITY • AUGUST 29, 2003
Marshall Opens New Residence Halls
Marshall celebrated the opening of its first new on-campus housing since 1968 with a ribbon cutting and open house at the complex Aug. 21.
Members of Marshall's Institutional Board of Governors joined President Dan Angel, Senior Vice President for Operations Dr. Ed Grose and others in cutting a green ribbon near Gibson Hall on the complex plaza, signifying the opening of the $28 million, 500-bed facility.
garage," Angel said. Now, with the opening of these four magnificent buildings, we've greatly improved our housing situation. This is a great day for Marshall University."
"A year ago we helped alleviate some of our parking problems by opening a 1,000-space parking
Above: Marshall University Board of Governors members, administrators and other dignitaries cut the ribbon for the new residence halls Aug. 21. From left: Steve Hensley, Dean of Student Affairs; Winston Baker, Director of Residence Services; Dr. K. Edward Grose, Senior Vice President for Operations; Carol Hartley, member of Board of Governors; Charles Neighborgall of Neighborgall Construction, general contractor; John Harris of architects Bastian and Harris; President Dan Angel; Brandon Stephens, Student Government Association president; Menis Ketchum, member of Board of Governors; Verna Gibson, co-chair of Campaign for National Prominence; Sherri Noble, member of Board of Governors; A. Michael Perry, chair, Board of Governors; and Bob Willis, representing Joyce and Bill Willis, for whom Willis Hall has been named. Below, left: President Angel introduced Verna Gibson. Gibson Hall is named for her and her husband Jim. Below, right: Board of Governors chair A. Michael Perry addresses the crowd.
The complex is part of a $40 million project that included the $8.8 million parking garage and the purchase and demolition of the property between 17 th and 18 th streets, and 5 th and 6 th avenues. It took Neighborgall Construction 18 months to complete the housing project. A dining hall, located at the northeast corner of the complex, will open in January.
Grose has been involved in the financing, programming and construction of the project since its conception. "It's the smoothest, nicest project I've been involved in at Marshall, and I've been here 14 years," he said. "We finished within budget and ahead of schedule. I'm real proud to have had the opportunity to help make this improvement on campus."
The complex has many features, such as two computer hookups and two TV cable outlets in each of the suite-style rooms, and free cell phone service for each student. Each floor has a lounge, equipped with a microwave and a sink.
One of the buildings is for females only, and one is for males only. The other two, including one for honor students, are co-ed. After rooms for honor students and 100 freshmen were reserved, residents of the other rooms were determined through a lottery because of overwhelming demand.
University Community Invited to Groundbreaking Sept. 12
Joan C. Edwards, Brent Marsteller and Dan Angel cordially invite you to join them at the groundbreaking ceremony for the Edwards Comprehensive Cancer Center on the Cabell Huntington Hospital Campus Friday, September 12, 2003 10:30 a.m. 1340 Hal Greer Boulevard
Parking and shuttle service available at Fairfield Stadium
2
Marshall Welcomes New Faculty
Forty-two new faculty members have joined Marshall University for the 2003-04 academic year. They took part in activities held in various parts of the campus last week
New faculty include: Alfred Akinsete, Mathematics; Kannan Balasubramanian, Mathematics; Steven Barnett, Music; Eric Blough; Biological Services; Dianna Bourke, Biological Sciences; Alexandra Bradner, Philosophy; Eric Clausen, ESSR; Patrick
We Are...Marshall!
Published by University Communications, with offices in Huntington (213 Old Main) and South
Charleston (312 Administration Building).
The next regular issue of We Are...Marshall! will carry an issue date of Sept. 12, 2003.
Deadline is Sept. 5. Articles or other materials for consideration should be sent to Pat Dickson, editor, at the South Charleston campus or by email to email@example.com.
Collier, Biological Sciences; Floyd Csir, Library; Edward Custer, Geology; Susan Frank, Communication Disorders; Maria del Carmen Castro Garcia, Modern Languages; Jennifer Gingerich, English; Venkat Gudivada, Information Systems; Joshua Hagen, Geography; Susan Hager, Nursing; Cynthia Hamilton, Criminal Justice; Marina Herbst, Modern Languages; Daniel Holbrook, History; Pam Holland, Communication Disorders; Katherine Karl, Management/Marketing; Barbara Loebach, Education; Patricia Logan, Information Systems; Richard McCormick, Engineering; Kosto Mitov, Mathematics; Burnis Morris, Journalism; Kenneth O'Connor, Chemistry; Joy Peluchette, Management/Marketing; Maria Quintana, Modern Lanuages; Terry Shank, Mathematics; Traci Sisson, Communication Disorders; Molly Stedman, Education; Ruth Sullivan, Journalism; Seiji Takemae, Physics/Physical Science; David Trumpower, Psychology; Anita Walz, Geography; Robert Webb, Sociology; Mary Welch, English; Joan Wheeler, Criminal Justice; Dwight Wood, Sociology; Yanya Yang, Art; GuoZhang Zhu, Biological Sciences.
Vaseashta Receives NATO Grant
Dr. Ashok Vaseashta, associate professor of Physics in the College of Science, has received an award of nearly $50,000 from the North Atlantic Treaty Organization (NATO) that will enable him to conduct an advanced research workshop in Bulgaria.
The workshop on "Nanostructured and Advanced Materials for Applications in Sensors, Optoelectronic and Photovoltaic Technology" will take place at a conference in September 2004. Graduate students, post-doctoral fellows and scientists will hear lectures from 12-14 internationally known speakers at the conference.
(continued on page 4)
'Copenhagen' to be Presented in Staged Reading
Jack Cirillo, associate professor in the Department of Theatre and Dance, will be one of the performers presenting a staged reading of Michael Frayn's Tony award-winning play, Copenhagen, Sept. 4-5-6 at 8 p.m. in the Francis-Booth Experimental Theatre.
"Copenhagen" is the re-imagining of the mysterious wartime meeting between two Nobel laureates to discuss the atomic bomb. The play explores the 1941 meeting between two old colleagues, Danish scientist Niels Bohr and Werner Heisenberg, German scientist and head of the Nazi nuclear program.
The London Times characterized the play as "a piece of history, an intellectual thriller, a psychological investigation and a moral tribunal in full session."
Cirillo will portray Werner Heisenberg. Others taking part are local actor Michael Fesenmeier as Niels Bohr, and West Virginia Wesleyan professor Bess Reynolds as Margrethe.
Tickets are free and are available at the door.
Profile: Kris Standifur
A series on interesting Marshall University people.
She left the flat plains of Michigan for the rolling green hills of West Virginia 28 years ago. Now she's a "down home mountaineer" and proud of it.
Kris Standifur
But the hills felt claustrophobic at first, Kristine Standifur admits. "I felt closed in with all these hills. Not panicky, but I was just so used to everything being flat; it was a big change for me. It was so much slower paced here, but everyone was so friendly. It took a while for me to get used to people stopping in the middle of the road in their cars just to chat with one another."
For Standifur, who is administrative secretary senior in the Division of Human Development and Allied Technology, and her husband, David, a native of Logan County, the move from Michigan to the Huntington area was a good one.
And just as she was getting used to the state, she had an opportunity to get to know Marshall as well.
In 1975 she was looking for a job and Marshall was one of five places she applied. She heard from the other four, but not from the university. She took a job with Dutch Miller Chevrolet in Huntington and was surprised to hear from Marshall six months later for a job opening in the Geology Department.
"I came for the interview and I liked the prospect of working in an academic setting," she recalls. Dutch Miller wanted her to stay on but the lure of Marshall was too strong. Actually she was a good fit because she had previously worked in the admissions office at Oakland University in Rochester, Michigan.
She's gotten to know Marshall well since she welcomes challenges and isn't afraid to tackle new experiences. After a stint in the Geology Department, she worked at RCU (Research Coordinating Unit) for several years. Since RCU was grant funded and the grant was slated to run out, she transferred to Safety Technology and eventually took her present position in which she wears several hats. The division, a part of the College of Education and Human Services, also includes the Counseling and Family and Consumer Sciences departments, and she serves as departmental secretary for Adult & Technical Education.
Her career at Marshall has been a diverse one, but that's part of the reason she likes working here, she says. In particular, she likes working with students, and her outgoing personality has been a big advantage in dealing with them along with staff members, faculty, graduate assistants and student assistants. When dealing with students, her years of experience in the university is a major help. "Having been here for several years, I know where to send people," she says.
The Standifurs are a true Marshall family. Daughter Amanda works in the mail room, son Aaron worked here for a time and son Russell was a student. Standifur and her husband live in Prichard, where
(continued on page 4)
Dr. Soo Bock Choi, professor emeritus of political science at Marshall and a native of Korea, is shown with a photo of his daughter, Eumi Choi, with U.S. President George W. Bush. Eumi Choi is a federal prosecutor in northern California and is believed to be the highest-ranking woman of Asian descent in that office's history. Dr. Choi came to the United States 48 years ago after five years in the military service, for which he received a U.S. Bronze Star. He reports that he was the only Korean army officer to be nominated for this award.
Faculty/Staff Achievements
Dr. Phillippe Georgel, assistant professor of Biological Sciences, and technician Nicholas Adkins were co-authors and were featured in a photo on the cover of the Aug. 22 issue of the Journal of Biological Chemistry for the article, "Chromatin Compaction by Humans: ASSEMBLY OF NOVEL SECONDARY CHROMATIN STRUCTURES IN THE ABSENCE OF DNA METHYLATION." In addition, Georgel coauthored three other articles: "Formation of higher order secondary and tertiary chromatin structures by genomic mouse mammary tumor virus promoters." with T. Fletcher, G. Hager, and J. C. Hansen, in Genes and Development; "Quantitative Characterization of Specific Genomic Promoters Using Agarose Gel Electrophoresis" with J. C. Hansen in Biopolymers; and "The sld mutation is specific for sublingual salivary mucous cells and disrupts apomucin gene expression" with M.A. Fallon, L. R. Latchney, A. R. Hand, P. A. Denny, P. C. Denny and D. J. Culp in Physiological Genomics.
Dr. Alina Zapalska, Professor of Economics, has recently had several papers accepted in refereed journals. "Free Enterprise Education, Tourism" appeared in the International Interdisciplinary Journal. Forthcoming are "Small Family Businesses: A Case Study for Polish Female and Male Entrepreneurs" in The Journal of American Academy of Business; "Evaluating the Effectiveness of WebCT Using Students' Feedback," with L. Shao and D. Shao in the Academy of Educational Leadership Journal; "The Global Dimension of Business Education," with L. Shao and D. Shao in Insights to a Changing World Quarterly Journal; and "Analysis of Environmental Factors Affecting Entrepreneurial Activities: A Case Study of Indigenous Maori Entrepreneurs of New Zealand" in Asia Pacific Business Review.
Eight members of the School of Medicine faculty received teaching awards during the schools annual awards program, Aug. 13. Medical students honored Drs. Mitchell Berk, anatomy; Betts Carpenter, pathol-
(continued on page 4)
3
Kris Standifur
from Page 3
they've spent time renovating and adding on to their home during the 25 years they've lived there. They love living in the country on their 10 acres of land, more than one acre of which is lawn. Standifur says she is sure about that dimension since she's been mowing it with a push mower this summer while the riding mower is undergoing repairs. The countryside where they live is peaceful and beautiful and offers an abundance of wildlife, she says.
Animal lovers, she and her husband are soft touches— and animals seem to know it. Right now, in addition to their own dog, they're taking care of three of their children's dogs. Then there's the foster dog. A neighbor's dog has started spending "23 out of 24 hours" at their home, only going home for an occasional meal, she says with goodnatured resignation. They also have six cats and 4 kittens.
And, with school starting, the Standifurs are welcoming their granddaughter, Nikkia, into their home for the next several months while the ninth-grader is attending a local school.
In her rare spare time, Standifur is working on a family scrapbook album after being introduced to the scrapbook art by a friend. She tries to make as much time for reading as she can and at work she has taken advantage of a wide array of non-credit (CEU) classes on a variety of topics. For several years she was a member of Marshall's physical environment committee, which promotes safe working conditions.
One of the advantages of working on the Huntington campus is the wide range of activities that go on daily, she says, and she enjoys the campus sights as well. "Students and other groups always have things going on. There are the various festivals and events where you can sample all kinds of food or hear different kinds of music." And sometimes there are bonuses, such as the time Standifur and others were watching as a red-tailed hawk paid a rare visit to the campus, intent on scooping up some of the frisky campus squirrels for lunch. A passing faculty member gave an impromptu lecture on the hawk and its habits, a play-byplay nature lesson as it was unfolding.
"I'm open to new experiences; I'm ready to tackle anything. I used to be conservative about things but not any more," she says with an easy laugh. "Nothing surprises me. I've liked working here or I wouldn't have stayed. And I've liked living here as well. Even though it took me some time to get used to the hills, now when I go to Michigan to visit my family, which includes my mother and sister, I really look forward to coming back. I must be a true West Virginian now, because up north they love to hear me talk ... they say I've picked up an accent!"
Faculty-Staff Achievements from Page 3
ogy; Paul Durst, pathology; Joe Evans, pediatrics; Will McCumbee, physiology; Aaron McGuffin, medicine and pediatrics; Darshana Shah, pathology; and Sasha Zill, anatomy. Gross anatomy and histology were singled out as outstanding courses by rising second-year students. Rising fourth-year students named the Department of Pediatrics as the most outstanding department.
Willie Nelson Due Sept. 11
Superstar Willie Nelson is on the road again, and the road leads straight to Huntington with the legendary country performer making a stop on Thursday, Sept. 11 at the Big Sandy Superstore Arena.
Willie Nelson
This is Nelson's only area appearance since the 1990s as he kicks off the Marshall Artists Series 2003-2004 season. Tickets are available through the Artists Series
Box office at 6656, or through Ticketmaster at (304) 523-5757 or (304) 696-3326.
Recently, Nelson was at the top of the country singles chart with his hit, "Beer for My Horses," a duet with Toby Keith. An eight-time Grammy winner with more than 200 albums, Nelson is currently making an extensive U.S. tour.
Since his first performance in 1937, at the age of four at a Methodist gospel picnic, Nelson has always done things, to paraphrase the tile of one of his songs, his own peculiar way. From the Central Texas beer joints of Waco and Hillsboro, he became one of Nashville's most prestigious songwriters. In the decades since, he has become a multi-platinum-selling recording artist, an A-list concert draw, a confidant of presidents, the possessor of more Grammys and CMA Awards than he can count, a Kennedy Center honoree, a founder of the Farm Aid philanthropic organization and a movie star.
The nearly 70-year-old Nelson has recorded country, pop, blues, movie soundtracks, jazz, gospel, American songbook standards, rock 'n' roll, western swing and more. His last two albums were respectively a blues album and a children's album.
NATO Grant
from Page 2
The NATO award is highly competitive and is approved only after a rigorous review by researchers from many NATO countries.
Vaseashta received a letter informing him of the award. "I re-read the letter a few more times just to make sure that indeed I was selected for the award," said Vaseashta, who came to Marshall in 1999 from Virginia Tech, where he served as a post-doctoral fellow and research faculty.
Since coming to Marshall he has established a productive research group in the physics and electronics of thin films. He has established a number of international collaborations that have resulted in scholars from overseas visiting the campus and discussing their scientific interests with Marshall students and faculty.
Dr. Joseph Bragin, dean of the College of Science, said breakthroughs in the fields of Vaseashta's research could come at any time.
|
MINUTES
OF THE MEETING OF THE NEW YORK CITY HOUSING DEVELOPMENT CORPORATION
June 11, 2008
A meeting of the Members of the New York City Housing Development Corporation (the "Corporation" or "HDC") was held on Wednesday, June 11, 2008, at the offices of the Corporation, 110 William Street, 10th Floor, New York, New York 10038. Prior to the start of the meeting, the Chairperson, Shaun Donovan, stated that he was very excited to introduce and welcome the newest Member, Felix Ciampa, who serves as the Chief of Staff to Deputy Mayor Robert Lieber and who has recently been appointed as a Member by Mayor Michael R. Bloomberg. The meeting was then called to order at 9:35 a.m. by the Chairperson, who noted the presence of a quorum. The Members present were Felix Ciampa, Mark Page, Michael W. Kelly and Charles G. Moerdler. The Members absent were Harry E. Gould, Jr. and Martha E. Stark. A list of observers is appended to these minutes.
The Chairperson called for the approval of the minutes of the meetings held on April 7, 2008 and April 15, 2008.
Upon a motion duly made by Mr. Kelly, and seconded by Mr. Page, the Members unanimously:
RESOLVED, to adopt the minutes of such meetings.
The Chairperson stated that the next item on the agenda would be the President's Report, and called upon Marc Jahr, President of the Corporation, to make this presentation.
Mr. Jahr thanked the Chairperson and stated it had been roughly two months since HDC's last meeting and that he'd like to talk briefly about what had transpired since that time and provide the Members with an overview of what the Corporation hoped to accomplish in June. He said that subsequent to his remarks Richard M. Froehlich, Executive Vice President and General Counsel for the Corporation, would provide the Members with a report on the results of the Corporation's efforts to reposition its auction rate bonds, its use of Variable Rate Demand Obligations (or "VRDO") and what HDC envisions will be its future use of caps and swaps as interest rate hedges for its portfolio of variable rate debt.
Mr. Jahr stated that at the last Board meeting the Members approved a series of resolutions authorizing staff to issue both tax-exempt and taxable bonds and close on a series of development projects under, among other initiatives, the Corporation's LAMP and New HOP programs. He said that he was pleased to inform the Members that all the projects they approved had closed, and that the Corporation had fully exhausted its initial $212,500,000 allocation of tax-exempt Volume Cap from the City's Industrial Development Agency.
Mr. Jahr stated that to date, in calendar year 2008, HDC had closed 19 projects containing 4,064 units with HDC's first mortgage amounts totaling approximately $542 million and its subsidies from corporate reserves amounting to approximately $64 million. He said that it had been a strong start to 2008 resulting from exceptionally hard work on the part of HDC's real estate development staff led by Joan Tally, as well as its legal staff, working under the leadership of Rich Froehlich and Melissa Barkan, HDC's Deputy Counsel, as well as, in many instances, HPD staff.
Mr. Jahr stated that at the last Board meeting, he described the Corporation's efforts to obtain more Volume Cap from New York State, as well as to support the passage of legislation on the federal level that would result in the allocation of additional Volume Cap to the States, and allow for the recycling of cap that is currently burned off at the conversion from construction to permanent financing on many of its deals. Mr. Jahr stated that he was pleased to announce that HDC's efforts at the State level had borne fruit, with the State's Division of Budget agreeing to allocate an additional $135 million of volume cap to HDC; the Corporation's expectation was that today the Assembly would pass a bill establishing the State's formula for allocating volume cap and that it would be delivered to the Governor's office for his signature this week. Now, he said, as HDC approaches the end of the City's fiscal year, it will be in a position not only to close on a set of taxable bond deals amounting to roughly $100-$115 million in bond financing, but also on some key tax-exempt bond deals.
Mr. Jahr stated that even at this late date, there remains flux in HDC's pipeline; as a result, later in this meeting, we will be asking the Members to consider a set of proposals that, taken as a whole, would require more volume cap than is presently available. He said that nonetheless, whether a particular project closes in June or not, the efforts of HDC and HPD staff, as well as the project developers would position all of the projects for future closings and development. Mr. Jahr stated that approximately five deals would use approximately $95 million of the $135 million in volume cap allotted to HDC by the State. He said that the projects would also receive roughly $36 million in HDC and $32 million in HPD subordinate debt. He said that located in the Bronx and Brooklyn, the proposed developments would contain approximately 613 apartments, of which 571 would be affordable to low-income families (e.g., households at or below 60% of the median income, currently $46,080 for a family of four); the remaining apartments would be affordable to moderate income households. Mr. Jahr stated that HDC also anticipated that a sixth deal, located in the newly rezoned area surrounding and including 125 th Street in Harlem would close in July, and that such project, containing 185 apartments, would require the remaining $40 million in Volume Cap allotted to the Corporation by the State, as well as additional subsidy from HPD and HDC.
Mr. Jahr stated that the Corporation was pleased at the prospect of these deals closing, and that he was certain that the Chairperson would join him in expressing his appreciation to Priscilla Almodovar, the New York State Housing Finance Agency's President, for the significant support and assistance she provided HDC in its efforts to obtain the additional increment of volume cap. He said that the Corporation looks forward to continuing to work with Ms. Almodovar as it attempts to secure the additional cap needed to meet the financing needs of its substantial pipeline.
Mr. Jahr stated that part of the answer to this challenge rested at the federal level, and that while prospects for passage of a housing bill remain uncertain, it's by no means out of the question. He said that two Senate housing bills must be melded and then reconciled with a House Bill; in turn, any bill that emerges from conference must be acceptable to the White House. He said that as daunting as this process might seem, progress is being made, driven by the continuing crisis in the housing and credit markets. Mr. Jahr stated that based upon HDC's discussions with the City's legislative staff in Washington, it appears that if a bill were going to pass this year, it would occur sometime around July 4 th ; passage of a bill, which includes a $10 billion one-time allotment of additional mortgage revenue bonds, would result in an additional $630 million in cap coming to New York State. He said that the Corporation's hope is that HDC would, in turn, receive a share of that cap and, as it had in the past, additional cap from the State's current allotment. He added that inclusion of recycling provisions would also help alleviate HDC's short-term crunch and provide the Corporation with valuable additional resources and flexibility over the long term.
Finally, Mr. Jahr stated, it was worth noting that the Corporation recently issued a Request for Proposal for Underwriters, with notice initially appearing in the June 9 th Bond Buyer. He said that the last such RFP was issued several years ago. He added that this RFP takes into account changes in the industry, and should allow HDC to refresh its pool of underwriters. He said that the review process would take place over the summer -- responses to the RFP are due back on July 9 th -- and that the Corporation anticipated that during the Fall it would make its selections.
Mr. Jahr stated that the New York State Association for Affordable Housing or "NYSAFAH" recently awarded Mr. Froehlich with their 2008 Advocate of the Year award, and that the Corporation was thrilled that he received this well-deserved, hard-earned award. He stated that it said a great deal about him and a great deal about the type of effort HDC as an institution makes on behalf of affordable housing, and with that introduction, Mr. Jahr asked Mr. Froehlich to address the Members.
Mr. Froehlich stated that he was providing an update on the Corporation's progress on dealing with its auction rate securities (or "ARS") and the current interest rate environment. He said that at the beginning of this year, HDC had approximately $800 million in auction rate securities with $500 million relating to conduit deals with Fannie Mae enhancement and $300 million of bond series in the Open Resolution. He said that at this point, all but one series of approximately $50 million had either been refunded or remarketed as floating rate securities. He stated that the remaining $50 million was expected to be outstanding until mid 2009 but was now performing within the Corporation's original underwriting assumptions. He said that these bonds were now being reoffered weekly and as of last week were reset at a rate of 3.5%. He said that this rate was almost 200 basis points above the tax-exempt weekly variable rate demand obligation ("VRDO") rate but was much lower than the high of over 7%. He said that the other auction rate securities that had been remarketed as tax-exempt VRDO which had reached a high of 9% had moved down as well and were now in the range of 1.5 to 1.6% plus approximately 4045 basis points for liquidity and remarketing costs. He stated that on the taxable front, the maximum rate the Corporation paid on auction rate debt was close to 12%, and that the
Corporation was now paying between 2.35% and 2.5% on both the refinanced debt as well as the new taxable debt issued in April.
Mr. Froehlich stated that with the financings on the agenda today, the Corporation expects to have approximately $600 million in floating rate debt out of approximately $2.4 Billion in bonds outstanding under the Open Resolution. He said that this marked increase in floating rate debt was predicated by market conditions which had made the sale of fixed rate bonds at rates necessary to effectively finance HDC's pipeline impossible; instead the Corporation was increasingly relying on floating rate debt.
Mr. Froehlich stated that of the $600 million, approximately $225 million was short term debt that was expected to be redeemed within the next two to three years. He said that the combination of today's low-interest rate environment as well as corresponding investment of bond proceeds in floating rate securities reduces the risk of the Corporation's short term interest rate exposure on this portion of our debt. He said that of the remaining $375 million of long term debt, approximately two thirds would be covered by the Corporation's long term rate caps purchased from Goldman, Sachs & Co. with a strike rate of 7.35%. He said that as these caps amortize over time, Corporation staff members were closely monitoring the amount of floating rate debt that the Corporation has and was working with its senior managers as well as the ratings agencies in reviewing the use of additional interest rate caps or interest rate swaps to manage the Corporation's exposure to interest rate risk. He said that at the current time based on the Corporation's investments acting as a hedge as well as the large rate caps that the Corporation owns we are not recommending immediate action with respect to the financing resolutions to be presented today. He said that he and Mr. Jahr would be meeting with the Members over the summer to review the Corporation's options. He said that the staff expects to formulate a plan of action for the Members' review and recommend a policy for entering into interest rate swaps by this Fall.
Mr. Kelly asked which bonds were trading at 200 basis points over the VRDO rate. Mr. Froehlich replied that it was an AMT series in the Open Resolution. Mr. Moerdler stated that the record should reflect that, with respect to the improved performance of the ARS market as reported by Mr. Froehlich, Mr. Page, a Member and the City's Budget Director, predicted precisely such an outcome. Mr. Froehlich acknowledged that he had, and that there had been a significant reduction in auction rates; however, although overall the ARS market has performed better than had originally been predicted by persons other than Mr. Page, there remain significant differences in rates between the bonds which were formerly auction rate and have since been remarketed as VRDOs and those that remain as auction rate securities.
The Chairperson stated that before moving on to the approval of specific items, he wanted to note that it was fair to say that the chances of getting a housing bill had improved over the past few weeks and that there was broad agreement that should a bill pass the provisions relating to tax-exempt bonds that were discussed will certainly be in a bill because they had been essentially approved by all the various parties involved in the discussion. He said that he remained optimistic that something would be done by July 4 th . He then noted that without the incredible efforts of Mr. Jahr, Mr. Froehlich and Mr. Wambua working literally directly on the language with many people in Congress, and also the extraordinary efforts of Senator Schumer on the Senate side and Chairman Rangel on the House side, the Corporation wouldn't be in nearly as strong a position today to get those changes. He further stated that he wanted to recognize the extraordinary efforts of all of the Development staff, the Legal staff and others at HDC for the coming closings in the next few weeks in June. He said that while HPD and the Corporation had always worked closely together, the partnership over the last few months with Mr. Jahr's leadership had been even stronger and the results showed that. He said that it had been a terrific year so far and hopefully the next few weeks would be just as productive and he thanked the Corporation in advance.
At 9:47 a.m., Mr. Moerdler left the meeting; a quorum of Members remained in attendance.
The Chairperson stated that the next item on the agenda would be the approval of an Authorizing Resolution for the Corporation's Multi-Family Mortgage Revenue Bonds (245 East 124 th Street), 2008 Series A. He called upon Matthew Brian, Assistant Vice President for Development, to advise the Members regarding this item.
Mr. Brian referred the Members to the Memorandum before them entitled "Multi-Family Mortgage Revenue Bonds (245 East 124th Street), 2008 Series A" dated June 4, 2008 (the "East 124th Street Memorandum") and the attachments thereto including (i) the Resolution Authorizing Adoption of the Multi-Family Mortgage Revenue Bonds (245 East 124th Street) Bond Resolution and Certain Other Matters in Connection Therewith (the "Authorizing Resolution"), (ii) the Multi-Family Mortgage Revenue Bonds (245 East 124th Street) Bond Resolution (the "Bond Resolution"), (iii) the Bond Purchase Agreement and (iv) the Official Statement, all of which are appended to these minutes and made apart hereof.
Mr. Brian stated that he was pleased to recommend that the Members approve the issuance of the Corporation's Multi-Family Mortgage Revenue Bonds (245 East 124th Street), 2008 Series A (the "Bonds") in an amount not to exceed $45,000,000. He said that interest on the Bonds was anticipated to be exempt from Federal, state and local income tax, and that the Bonds would be subject to the Private Activity Bond Volume Cap.
Mr. Brian stated that the proceeds of the Bonds would be used to make a mortgage loan (the "Loan") to East 124th Street, LLC, a New York limited liability company (the "Mortgagor"). He said that the managing members of the Mortgagor were Jonathan Rose, Nicholas Lettire and Gerard Lettire. He added that affiliates of PNC Bank would act as the lowincome housing tax credit investor. Mr. Brian stated that the Mortgagor was a joint venture between Jonathan Rose Companies and Lettire Construction, and then noted the presence at the meeting of Kendra Stensven and Paul Frytag who represented the Mortgagor. He stated that since 1986, Jonathan Rose Companies had developed affordable housing projects throughout the United States, several of which had received national awards from various housing associations. He said that they were a repeat borrower with HDC and most recently closed on 265 West 153rd Street, an 83-unit LAMP project, in July 2006. Mr. Brian stated that Nicholas and Gerard Lettire were co-founders of Lettire Construction, which was a construction management and general contracting firm established in 1979. He said that their headquarters were based in East Harlem where they run business operations for current developments, construction projects and asset
Formatted: Indent: First line: 36 pt, Right: 0 pt, Hyphenate, Tabs: Not at 0 pt + 18 pt + 54 pt + 72 pt + 90 pt + 126 pt + 162 pt + 211.5 pt + 234 pt + 270 pt + 306 pt + 342 pt + 378 pt + 414 pt + 432.3 pt + 486 pt + 522 pt + 540 pt
Deleted:
management of the Lettire multi-family portfolio. He said that Lettire Construction would also be acting as the general contractor.
Mr. Brian stated that the proceeds of the Bonds would be used for the purpose of paying a portion of the costs of acquiring and constructing a mixed-income multi-family rental housing development to be located at 245 East 124th Street in Manhattan (the "Project") which would contain 185 rental units financed under the Corporation's Mixed Income Program. He said that thirty-seven (37) of the units (20% of the Project) would be reserved for tenants earning no more than 50% of Area Median Income ("AMI"), which was currently $38,400 for a family of four; fifty-five (55) units (30% of the Project), would be affordable to middle-income households earning no more than 130% of AMI, which was currently $99,840 for a family of four; and the remaining ninety (90) units would not have income restrictions and would be rented at market rents. He said that the Project was also expected to contain approximately 8,300 square feet of commercial space and 120 parking spaces.
Mr. Brian stated that in addition to providing the Bond financing to fund the first mortgage, the Corporation anticipated making a second mortgage loan from the Corporation's unrestricted reserves in an estimated amount of $6,045,000 (the "Subordinate Loan"). He said that the Subordinate Loan would be made in accordance with Mixed Income Program guidelines, for an amount of $65,000 per unit for the 93 low- and middle-income units in the Project. He said that the Project would also receive subordinate financing from HPD, expected to benefit from tax credit equity generated by the sale of Low Income Housing Tax Credits, and noted that the Project and its principals were described further in the East 124th Street Memorandum.
Mr. Brian stated that the Bonds would be secured by a direct-pay credit facility to be provided by the Federal Home Loan Mortgage Corporation ("Freddie Mac"). He said that Freddie Mac would provide credit enhancement for the term of the Bonds, but that during construction it would be secured by a standby letter of credit to be issued by JPMorgan Chase. He said that Freddie Mac was currently rated AAA and that JPMorgan Chase was currently rated AA by Standard & Poor's Rating Services ("S&P"). He said that as a result, the Corporation believed that the financing was structured to effectively insulate the Corporation from credit, market and real estate risks. He said that during the construction and rent-up periods, Freddie Mac may draw on the JPMorgan Chase letter of credit to reimburse itself for payments it makes on the Bonds if the Mortgagor fails to reimburse Freddie Mac; however, if the Project were successfully built and rented as contemplated, and reached certain financial targets, Freddie Mac would release the JPMorgan Chase letter of credit.
Mr. Brian stated that the Bonds would initially be issued as seven-day variable-rate obligations, that the interest rate on the Bonds would be reset weekly by Merrill Lynch & Co., the remarketing agent, and that the Bonds would be subject to an absolute maximum interest rate of 15% in accordance with the provisions of the Bond Resolution. Mr. Brian stated that the Mortgagor would enter into a forward swap transaction at construction loan closing which would fix a permanent rate for 15 years commencing after construction completion. He said that the use of a swap as a hedge on the variable rate mitigates the risk of rising variable rates in the future. He said that following the expiration of the swap agreement, Freddie Mac may either require the Mortgagor to enter into a new swap for a minimum of an additional 10 years or purchase an interest rate cap for a minimum of an additional 5 years. Mr. Brian stated that all risks and fees were outlined in the East 124th Street Memorandum and that it was expected that the Bonds would be rated AAA by S&P.
Mr. Kelly asked whether a draw by Freddie Mac on the JPMorgan Chase letter of credit would result in the Bonds being tendered and remarketed as variable rate demand bonds with direct JPMorgan Chase credit enhancement. Mr. Froehlich responded yes.
Mr. Froehlich then described the provisions of the Authorizing Resolution to the Members and the actions the Members were being requested to approve.
Upon a motion duly made by Mr. Kelly, and seconded by Mr. Page, the Members unanimously:
RESOLVED, to approve (a) the Authorizing Resolution which provides for (i) the adoption of the Bond Resolution, (ii) the execution of the Bond Purchase Agreement regarding the sale of the Bonds, (iii) the distribution of the Official Statement in connection with the financing, and (iv) the execution of mortgage related documents and any other documents necessary to accomplish the issuance of the Bonds and the financing of the Loan; and (b) the making of the Subordinate Loan to be funded by using the Corporation's unrestricted reserves, in an amount not expected to exceed $6,045,000, and the execution by an Authorized Officer of the Corporation of mortgage related documents and any other documents necessary to accomplish the subordinate financing.
The Chairperson then noted that this financing was a very important start to the rezoning of 125 th Street, which is a significant priority for the Bloomberg Administration, and that approving this mixed income Project with hopes of closing in July the first development there is an important symbol of our commitment to the area's redevelopment.
The Chairperson stated that the next item on the agenda would the approval of Authorizing Resolution for the Corporation's Cooperative Housing Mortgage Revenue Bonds (East Harlem South Development), 2008 Series A. He called upon Simon Bacchus, Project Manager for the Corporation, to advise the Members regarding this item.
Mr. Bacchus referred the Members to the memorandum before them entitled "Cooperative Housing Mortgage Revenue Bonds (East Harlem South Development), 2008 Series A" dated June 4, 2008 (the "East Harlem South Memorandum") and the attachments thereto including (i) the Resolution Authorizing Adoption of the Cooperative Housing Mortgage Revenue Bonds (East Harlem South Development) Bond Resolution and Certain Other Matters in Connection Therewith (the "Authorizing Resolution"); (ii) the Cooperative Housing Mortgage Revenue Bonds (East Harlem South Development) Bond Resolution (the "Bond Resolution "); (iii) the Bond Purchase Agreement; and (iv) the Official Statement, all of which are appended to these minutes and made a part hereof.
Mr. Bacchus stated that he was pleased to recommend that the Members approve the issuance of the Corporation's Cooperative Housing Mortgage Revenue Bonds East Harlem
Formatted: Tabs: Not at -72 pt
Deleted: 4,940
Deleted: 5,
Deleted:
Deleted: 625,
Deleted: 000
South Development, 2008 Series A (the "Bonds") in an amount not to exceed $29,000,000. He said that interest on the Bonds would not be exempt from Federal income tax, but would be exempt from state and local income tax.
Mr. Bacchus stated that this transaction would be one of the first bond issuances under the Corporation's new Affordable Cooperative Housing Program, under which the Corporation would make a loan from the proceeds of a short term taxable bond issuance. He said that the Bonds would have a 5 year term and were expected to be prepaid from the proceeds of the sale of shares in the cooperative corporation that would own the new development. Mr. Bacchus stated that the proceeds of the Bonds would be used to make a first position construction loan to Loewen East 111 th Street LLC (the "Mortgagor"), a single purpose New York limited liability company controlled by the principals of Loewen Development, Howard Loewentheill and Peter Murray, who was present at the meeting.
Mr. Bacchus stated that Loewen East 111 th Street LLC, would utilized the Bond proceeds to fund a portion of the costs of constructing and equipping a 117-unit cooperative housing development to be located at 72-78 East 111 th Street in Manhattan (the "Project"). He said that the Project would contain 117 dwelling units, including 49 one-bedroom units, 56 two-bedroom units, and 12 three-bedroom units. He stated that there would be three separate tiers of affordability: 29 units would be sold to families earning up to 80% of Area Median Income; 57 units would be sold to families earning up to 130% of Area Median Income; and 30 units would be sold to families without income restrictions. He said that one unit would be reserved for a superintendent. Additionally, Mr. Bacchus said that there would be two non-residential units included in the cooperative, a parking unit and a community facility unit.
Mr. Bacchus stated that in addition to providing the bond financing to fund the first mortgage, the Corporation also anticipated using approximately $5,655,000 of unrestricted reserves to fund a subordinate construction loan (the "Subordinate Loan"). He said that the second mortgage was being made in accordance with the guidelines of the Affordable Cooperative Housing Program at $65,000 per affordable unit. He stated that the Project was also expected to receive funding from the New York City Department of Housing Preservation and Development ("HPD") and from the New York State Affordable Housing Corporation.
Mr. Bacchus stated that upon construction completion and conveyance of the property to a cooperative corporation, the Bonds would be fully redeemed with proceeds from the sale of shares in the cooperative corporation relating to the cooperative units as well as from permanent financing. He said that the Corporation would commit to provide a permanent first mortgage loan to the cooperative corporation for the Project consisting of the blending of the Subordinate Loan and a take-out loan of $1,105,000. He said that The State of New York Mortgage Agency would insure the Corporation's permanent first mortgage. He said that it was expected that the Corporation would initially fund the take-out portion of the permanent loan from its unrestricted reserves and then would subsequently securitize the permanent first mortgage in a pooled financing at a later date. Mr. Bacchus noted that the Project and its principals were further described in the East Harlem South Memorandum.
Mr. Bacchus stated that the Bonds were expected be secured by a direct pay Letter of
Credit to be issued by Washington Mutual Bank. He said that the Letter of Credit would be confirmed by a stand-by Letter of Credit issued by the Federal Home Loan Bank of San Francisco currently rated Aaa/Prime-1 with a stable outlook by Moody's Investors Service ("Moody's"). He said that as a result, the Corporation believed that the financing was structured to effectively insulate the Corporation from credit, market and real estate risks.
Mr. Bacchus stated that the Bonds would initially be issued as seven-day variable-rate obligations with an approximate final maturity of June 1, 2013. He said that the interest rate on the Bonds would be reset weekly by Merrill Lynch & Co. in its capacity as Remarketing Agent, and that the Bonds would be subject to a maximum interest rate of 15% in accordance with the provisions of the Bond Resolution. Mr. Bacchus stated that all risks and fees were outlined in the East Harlem South Memorandum. He said that it was expected that the Bonds would be rated Aaa/Prime-1 by Moody's.
Mr. Kelly inquired as to the reason for structuring the transaction so that Washington Mutual's direct-pay letter of credit would be confirmed by a standby letter of credit issued by the Federal Home Loan Bank. Mr. Froehlich explained that although the Mortgagor chose Washington Mutual as credit enhancer for a variety of reasons, its rating was lower than the Corporation's minimum rating requirement; therefore, to mitigate any credit risk, there would be a Confirming Letter of Credit issued by the Federal Home Loan Bank.
Mr. Froehlich then described the provisions of the Authorizing Resolution to the Members and the actions the Members were being requested to approve.
Upon a motion duly made by Mr. Page, and seconded by Mr. Ciampa, the Members unanimously:
RESOLVED, to approve (a) the Authorizing Resolution which provides for (i) the adoption of the Bond Resolution, (ii) the execution of the Bond Purchase Agreement regarding the sale of the Bonds, (iii) the distribution of the Official Statement in connection with the financing, and (iv) the execution of mortgage related documents and any other documents necessary to accomplish the issuance of the Bonds and the financing of the loans; and (b) the making of a permanent loan in an amount not to exceed $7,000,000, of which a portion shall be currently funded as the Subordinate Loan using the Corporation's unrestricted reserves, and the execution by an Authorized Officer of the Corporation of mortgage related documents and any other documents necessary to accomplish the financing.
The Chairperson stated that the next item on the agenda would be the approval of an Authorizing Resolution for the Corporation's Cooperative Housing Mortgage Revenue Bonds (Prospect Macy Development), 2008 Series A. Again he called upon Mr. Bacchus to advise the Members regarding this item.
Mr. Bacchus referred the Members to the memorandum before them entitled "Cooperative Housing Mortgage Revenue Bonds (Prospect Macy Coop), 2008 Series A" dated June 4, 2008 (the "Prospect Macy Memorandum") and the attachments thereto including (i) the Resolution Authorizing Adoption of the Cooperative Housing Mortgage Revenue Bonds (Prospect Macy Development) Bond Resolution and Certain Other Matters in Connection Therewith (the "Authorizing Resolution"); (ii) the Cooperative Housing Mortgage Revenue Bonds (Prospect Macy Development) Bond Resolution (the "Bond Resolution "); (iii) the Bond Purchase Agreement; and (iv) the Official Statement, all of which are appended to these minutes and made a part hereof.
Mr. Bacchus stated that he was pleased to recommend that the Members approve the issuance of the Corporation's Cooperative Housing Mortgage Revenue Bonds (Prospect Macy Development), 2008 Series A (the "Bonds") in an amount not to exceed $9,500,000. He said that interest on the Bonds would not be exempt from Federal income tax, but would be exempt from state and local income tax. Mr. Bacchus stated that the Bonds would have a 5 year term and were expected to be prepaid from the proceeds from the sale of shares in the cooperative corporation that would own the new development.
Mr. Bacchus stated that the proceeds of the Bonds would be used to make a first position construction loan to Prospect Macy Associates, LLC (the "Mortgagor"), a single purpose New York limited liability company controlled by the principals of Blue Sea Development Company, Les Bluestone and Avery Seavey, who was present at the meeting.
Mr. Bacchus stated that Prospect Macy Associates, LLC, would use the proceeds of the Bonds to fund a portion of the costs of constructing and equipping a 63-unit cooperative housing development to be located at 853 Macy Place in the Bronx (the "Project"). He said that the Project would contain 63 dwelling units, including 6 one-bedroom units, 46 two-bedroom units and 10 three-bedroom units. He stated that the Project would include two separate tiers of affordability: 14 units would be sold to families earning up to 80% of Area Median Income and 48 units would be sold to families earning up to 110% of Area Median Income. He said one unit would be reserved for a superintendent.
Mr. Bacchus stated that in addition to providing the Bond financing to fund the first mortgage, the Corporation also anticipated using approximately $4,095,000 of unrestricted reserves to fund a subordinate construction loan (the "Subordinate Loan"). He stated that the second mortgage was being made in accordance with the guidelines of the Affordable Cooperative Housing Program at $65,000 per affordable unit. He said that the Project was also expected to receive funding from the New York City Department of Housing Preservation and Development ("HPD") and from the New York State Affordable Housing Corporation.
Mr. Bacchus stated that upon construction completion and conveyance of the property to a cooperative corporation, the Bonds would be fully redeemed with proceeds from the sale of shares in the cooperative corporation relating to the cooperative units as well as from permanent financing from the Corporation. He said that the Corporation would commit to provide a permanent first mortgage loan to the cooperative corporation for the Project consisting of the blending of the Subordinate Loan and a take-out loan of $87,000. Mr. Bacchus noted that the Project and its principals were further described in the Prospect Macy Memorandum.
Mr. Bacchus stated that the Bonds were expected to be secured by a direct pay Letter of Credit to be issued by JP Morgan Chase Community Development ("JPMC"), which was currently rated AA/A-1+ with a stable outlook by S&P. He said that as a result, the Corporation believed that the financing was structured to effectively insulate the Corporation from credit, market and real estate risks. Mr. Bacchus stated that the Bonds would initially be issued as seven-day variable-rate obligations with an approximate final maturity of June 1, 2013. He said that the interest rate on the Bonds would be reset weekly by JPMorgan Securities Inc. in its capacity as Remarketing Agent, and that the Bonds would be subject to a maximum interest rate of 15% in accordance with the provisions of the Bond Resolution. Mr. Bacchus stated that all risks and fees were outlined in the Prospect Macy Memorandum, and that it was expected that the Bonds would be rated AA/Stable/A-1+ by S&P.
Noting the odd structure, Mr. Kelly questioned where these bonds traded on the market today. The Underwriter of the Bonds, Kent Hiteshew of JPMorgan Chase Bank, stated that they were trading off a spread of LIBOR – flat to LIBOR.
Mr. Froehlich then described the provisions of the Authorizing Resolution to the Members and the actions the Members were being requested to approve.
Upon a motion duly made by Mr. Kelly, and seconded by Mr. Page, the Members unanimously:
RESOLVED, to approve (a) the Authorizing Resolution which provides for (i) the adoption of the Bond Resolution, (ii) the execution of the Bond Purchase Agreement regarding the sale of the Bonds, (iii) the distribution of the Official Statement in connection with the financing, and (iv) the execution of mortgage related documents and any other documents necessary to accomplish the issuance of the Bonds and the financing of the loans; and (b) the making of a permanent loan in an amount not to exceed $5,000,000, of which a portion shall be currently funded as the Subordinate Loan using the Corporation's unrestricted reserves, and the execution by an Authorized Officer of the Corporation of mortgage related documents and any other documents necessary to accomplish the financing.
The Chairperson then congratulated Mr. Jahr, Mr. Froehlich, Mr. Wambua and all others involved in making the East Harlem South and Prospect Macy cooperative housing projects work, noting the innovative efforts to improve the cooperative program and make it more efficient and effective for borrowers.
The Chairperson stated that the next item on the agenda would be the approval of an Authorizing Resolution for the Corporation's Multi-Family Housing Revenue Bonds, 2008 Series F, G-1, G-2, H-1 and H-2. He called upon Joan Tally, Senior Vice President of Development for the Corporation, to advise the Members regarding this item.
Ms. Tally referred the Members to the memorandum before them entitled "Multi-Family Housing Revenue Bonds, 2008 Series F, G-1, G-2, H-1 and H-2" dated June 4, 2008 (the "Open Resolution Memorandum") and the attachments thereto including (i) a Resolution Authorizing Adoption of the Ninety-Eighth Supplemental Resolution Authorizing the Issuance of MultiFamily Housing Revenue Bonds, 2008 Series F, the Ninety-Ninth Supplemental Resolution Authorizing the Issuance of Multi-Family Housing Revenue Bonds, 2008 Series G-1, the One
Hundredth Supplemental Resolution Authorizing the Issuance of Multi-Family Housing Revenue Bonds, 2008 Series G-2, the One Hundred First Supplemental Resolution Authorizing the Issuance of Multi-Family Housing Revenue Bonds, 2008 Series H-1 and the One Hundred Second Supplemental Resolution Authorizing the Issuance of Multi-Family Housing Revenue Bonds, 2008 Series H-2, and Certain Other Matters in Connection Therewith (the "Authorizing Resolution"); (ii) the Ninety-Eighth Supplemental Resolution Authorizing the Issuance of MultiFamily Housing Revenue Bonds, 2008 Series F, the Ninety-Ninth Supplemental Resolution Authorizing the Issuance of Multi-Family Housing Revenue Bonds, 2008 Series G-1, the One Hundredth Supplemental Resolution Authorizing the Issuance of Multi-Family Housing Revenue Bonds, 2008 Series G-2, the One Hundred First Supplemental Resolution Authorizing the Issuance of Multi-Family Housing Revenue Bonds, 2008 Series H-1, and the One Hundred Second Supplemental Resolution Authorizing the Issuance of Multi-Family Housing Revenue Bonds, 2008 Series H-2 (each, a "Supplemental Resolution" and collectively, the "Supplemental Resolutions"); (iii) the Preliminary Official Statement; (iv) the Bond Purchase Agreement; and (v) the Placement Agent Agreement, all of which are appended to these minutes and made a part hereof.
Ms. Tally stated that she was pleased to recommend that the Members approve the issuance of the Corporation's Multi-Family Housing Revenue Bonds, 2008 Series F, G-1, G-2, H-1 and H-2 (the "Bonds") in a combined amount not expected to exceed $225,000,000. She said that the Bonds would constitute the 98th through 102nd series of bonds to be issued under the Corporation's Multi-Family Housing Revenue Bonds Bond Resolution originally adopted by the Members in 1993 (the "Open Resolution"). Ms. Tally stated that interest on the Series F, G-1 and G-2 Bonds would not be exempt from Federal income tax, but would be exempt from state and local income tax. She said that interest on the Series H-1 and H-2 Bonds would be exempt from Federal, state and local income tax and the Series H Bonds would be subject to the Private Activity Bond Volume Cap.
Ms. Tally stated that the Series F Bonds, in an amount not expected to exceed $90,000,000, were expected to be issued as variable rate index bonds to be directly placed with the Federal Home Loan Bank of New York ("FHLBNY") and have an approximate final maturity of May 1, 2041. She said that as with the Corporation's April financing with the FHLBNY, the interest rate on the Series F Bonds is expected to be reset quarterly at a rate equal to the FHLBNY's 3-month cost of funds plus 30 basis points. She said that the FHLBNY had agreed to accept a maximum interest rate of 15% on the Series F Bonds regardless of its actual cost of funds, and noted that currently FHLBNY's cost of funds was below LIBOR. She said that as these Series F Bonds would be reset from an index, the Corporation would not be required to either pay for remarketing or liquidity on the Series F Bonds. Ms. Tally stated that if the FHLBNY does not purchase the Series F Bonds then the Corporation would sell the Series F Bonds as two Series, F-1 and F-2, with the F-1 Bonds being issued as taxable floating rate and the F-2 Bonds being issued as short term fixed rate bonds.
Ms. Tally stated that the proceeds of the Series F Bond would be used to fund first position construction and permanent mortgage loans for six moderate income new construction developments containing 704 units, developed under the Corporation's New Housing Opportunities Program ("New HOP"). She said that the Corporation also anticipated utilizing
Deleted: B
Deleted: 110,000,000
Deleted: 3rd
Deleted: ,
Deleted: will be issued in an
Deleted: 0
Deleted: ,
Deleted:
approximately $67,000,000 of unrestricted corporate reserves to fund subordinate construction and permanent mortgage loans for each of these six projects. Ms. Tally stated that the Series F Bonds would be backed by standby letters of credit during construction and the New York City Residential Mortgage Insurance Corporation ("REMIC") on the top 20% at permanent.
Ms. Tally stated that the Series G-1 Bonds, in an amount not to exceed $10,750,000 would be issued as taxable variable rate demand bonds (VRDO) with a final maturity of May 1, 2038 and a maximum interest rate of 15%. She said that the Series G-2 Bonds, in an amount not to exceed $4,250,000, were expected to be issued as taxable fixed rate bonds at an interest rate not to exceed 6.5% with an approximate final maturity of November 1, 2008. Ms. Tally stated that the proceeds of the Series G Bonds were to be used pursuant to the Corporation's MitchellLama Restructuring Program ("MLRP") to refinance the first mortgage debt and fund necessary capital repairs for River Terrace, a 431-unit cooperative in Manhattan. Ms. Tally stated that since the Members approved MLRP in November 2004, the Corporation had successfully refinanced over 33 Mitchell-Lama properties that have participated in six previous phases of MLRP. She said that at this time approval was sought for the Series G Bonds to finance the seventh phase of the program, which would preserve River Terrace and bring the total number of units preserved under this initiative to 15,579 units.
Ms. Tally stated that the Series H-1 Bonds, in an amount not to exceed $30,000,000, are to be issued as tax exempt fixed rate bonds at an interest rate not expected to exceed 6.5% and have an approximate final maturity of May 1, 2041. She said that the Series H-2 Bonds, in an amount not to exceed $90,000,000, are to be issued as tax-exempt VRDO with a final maturity of May 1, 2041. Ms. Tally stated that the proceeds of the Series H Bonds would be used to provide first position construction and permanent financing under the Corporation's Low Income Affordable Marketplace Program (or "LAMP"). She said that the Members' approval was sought for nine developments with a total of approximately 1,000 units, and that depending upon the allocation of private activity bond volume cap, the Corporation intended to finance approximately five of these LAMP developments.
Ms. Tally stated that all of the units in the LAMP Developments (excluding superintendents' units) were anticipated to be rented to households earning no more than 60% of the New York City Area Median Income ("AMI"), which is currently $46,080 for a family of four, with the exception of 42 units in one LAMP Development that would be affordable to households earning 80% of AMI, which is currently $61,440 for a family of four. Ms. Tally stated that during construction, all of the Series H bonds would be backed by standby letters of credit from commercial banks including JPMorgan Chase Bank, Citibank, N.A. and HSBC Bank USA. She said that upon project completion, the letters of credit would be replaced by REMIC insurance on the top 20% or SONYMA insurance on 100% of the permanent loan. Ms. Tally noted that the Corporation also anticipated utilizing approximately $45,000,000 of corporate reserves to finance subordinate mortgages at 1% for five of the LAMP developments.
Ms. Tally stated that the Series G-1 Bonds and the Series H-2 Bonds were expected to be issued as variable rate demand bonds (the "Variable Rate Bonds") at a maximum interest rate not expected to exceed 15%. She said that liquidity for the Variable Rate Bonds would be provided
Deleted: 7,
Deleted: a
Deleted: B
Deleted: will be
under the stand-by bond purchase agreement that the Corporation had entered into with Dexia Credit Local and a stand-by bond purchase agreement with Bank of America.
Ms. Tally stated that the Bonds were expected to be issued in the modes just described; however, the Supplemental Resolutions relating to each series of Bonds would permit the Bonds to be issued in one of a number of modes including fixed, variable or term. Furthermore, she said, a senior officer of the Corporation may determine to issue the Bonds in multiple issuances pursuant to the same Supplemental Resolutions. Ms. Tally stated that included in the Open Resolution Memorandum was a description of the Projects anticipated to be financed by the Bonds, as well as the risks and fees. In addition she noted that the Bonds were expected to be rated AA by S&P and Aa2 by Moody's.
In response to an inquiry from Mr. Kelly, Ms. Tally confirmed that the financial entity underwriting the Bonds was no longer Bear, Stearns & Co. Inc.; the Underwriter for the Bonds would be J.P. Morgan Chase.
Mr. Froehlich then described the provisions of the Authorizing Resolution to the Members and the actions the Members were being requested to approve.
Upon a motion duly made by Mr. Kelly, and seconded by Mr. Ciampa, the Members unanimously:
RESOLVED, to approve (a) the Authorizing Resolution which provides for (i) the adoption of five Supplemental Resolutions to the Open Resolution providing for the issuance of the Bonds, (ii) the distribution of a Preliminary and final Official Statement for the Bonds, (iii) the execution of bond purchase agreement(s) with the Underwriter(s) of the Bonds or a direct purchaser of any or all of the Bonds, (iv) placement agreements, if required, with the FHLBNY and the Placement Agent for the Series F Bonds, (v) the use of the Corporation's unrestricted reserves to fund capitalized interest and mortgage reserves for Bonds, as may be required, (vi) the use of the Corporation's general obligation as a "Cash Equivalent" (under the Open Resolution) to satisfy the Debt Service Reserve Account requirement with respect to the Bonds, (vii) the execution of a standby bond purchase agreement with liquidity providers, (viii) the execution of amendments to the existing Participation Agreement with the City relating to the MLRP and existing Purchase and Sale Agreements with the City relating to MLRP, and (ix) the execution by the President or any Authorized Officer of the Corporation of any and all documents necessary to issue the Bonds and to make the mortgage loans relating to the Bonds; and (b) the making of Subordinate Loans for the developments to be financed with the proceeds of the Bonds in an amount not expected to exceed $112,000,000 to be funded by using the Corporation's unrestricted reserves and the execution by an Authorized Officer of the Corporation of mortgage related documents and any other documents necessary to accomplish each subordinate financing.
The Chairperson then noted that three of the projects included in this Bond financing, when completed, will be a part of the completion of the Melrose Commons Urban Renewal Plan in the South Bronx which is part of the larger South Bronx initiative that City Hall has been pursuing. He said it is one of the best examples of what the City can do in terms of returning a neighborhood which had been devastated during the 1970s to health, noting that over 3,000 units would be developed just within that immediate neighborhood through a range of programs and that we're now seeing demand for what are really multi-family home ownership options for the very first time in that neighborhood in generations and that it was very exciting to see this come to fruition as part of this financing.
The Chairperson stated that the next item on the agenda would be the approval of five Declaration of Intent Resolutions. He called upon Ms. Tally to advise the Members regarding this agenda item.
Ms. Tally stated that first she would like to remind the Members that Declaration of Intent Resolutions are solely for tax code purposes, allowing any expenditures incurred by a project's developer within 60 days prior to the date of passage of the Declaration of Intent Resolution to be eligible for tax exempt bond financing. She said that before HDC were to actually finance any of these projects, the specifics of the transactions would be presented to the Members for review and approval.
Ms. Tally referred the Members to the memorandum before them entitled "Resolution of Declaration of Intent, 2950-2970 West 24 th Street, Brooklyn, Block 7055, Lot 13" dated June 4, 2008 and the Declaration of Intent Resolution attached thereto, which is appended to these minutes and made a part hereof. She stated that the project being considered for a Declaration of Intent was a proposed 360-unit 501(c)(3) bond financed development utilizing approximately $45 million in tax exempt bonds to be located at 2950 - 2970 West 24th Street in Brooklyn to be developed by UCH – Coney Island Properties LLC.
Upon a motion duly made by Mr. Kelly, and seconded by Mr. Page, the Members unanimously:
RESOLVED, to adopt the Declaration of Intent Resolution for 2950-2970 West 24 th Street, Brooklyn, New York, Block 7055, Lot 13.
Ms. Tally then referred the Members to the memorandum before them entitled "Resolution of Declaration of Intent, Jamaica Station, 93-01 Sutphin Boulevard, Queens, Block 9998, Lots 83, 86, 87, 88, 89, 90, 91, 93, 94, 95" dated June 4, 2008 and the Declaration of Intent Resolution attached thereto, which is appended to these minutes and made a part hereof. She stated that the project being considered for a Declaration of Intent was a proposed 192-unit mixed-income project utilizing approximately $50 million in tax exempt bonds to be located at 93-01 Sutphin Boulevard in Queens to be developed by Sutphin Archer Associates LLC.
Upon a motion duly made by Mr. Kelly, and seconded by Mr. Page, the Members unanimously:
RESOLVED, to adopt the Declaration of Intent Resolution for 93-01 Sutphin Boulevard, Queens, New York, Block 9998, Lots 83, 86, 87, 88, 89, 90, 91, 93, 94, 95.
Next Ms. Tally referred the Members to the memorandum before them entitled "Resolution of Declaration of Intent, 2727 Decatur Avenue, Bronx, Block 3283, Lots 40, 41, 43, 45" dated June 4, 2008 and the Declaration of Intent Resolution attached thereto, which is appended to these minutes and made a part hereof. She stated that the project being considered for a Declaration of Intent was for a proposed 50-unit LAMP project utilizing $6,450,000 in tax exempt bonds to be located at 2727 Decatur Avenue in the Bronx and to be developed by a single purpose entity controlled by Jackson Development and Joy Construction.
Upon a motion duly made by Mr. Kelly, and seconded by Mr. Ciampa, the Members unanimously:
RESOLVED, to adopt a Declaration of Intent Resolution for 2727 Decatur Avenue, Bronx, New York, Block 3283, Lots 40, 41, 43, 45.
Ms. Tally then referred the Members to the memorandum before them entitled "Resolution of Declaration of Intent, 1016 Washington Avenue, Bronx, Block 2369, Lots 12, 13, 14, 16" dated June 4, 2008 and the Declaration of Intent Resolution attached thereto, which is appended to these minutes and made a part hereof. She said that the project being considered for a Declaration of Intent was a proposed 64-unit LAMP project utilizing approximately $9,500,000 in tax exempt bonds to be located at 1016 Washington Avenue in the Bronx to be developed by a single purpose entity controlled by Jackson Development and Joy Construction.
Upon a motion duly made by Mr. Kelly, and seconded by Mr. Page, the Members unanimously:
RESOLVED, to adopt a Declaration of Intent Resolution for 1016 Washington Avenue, Bronx, New York, Block 2369, Lots 12, 13, 14, 16.
Ms. Tally referred the Members to the memorandum before them entitled "Resolution of Declaration of Intent, 1468 Hoe Avenue, Bronx, Block 2988, Lot 1" dated June 4, 2008 and the Declaration of Intent Resolution attached thereto, which is appended to these minutes and made a part hereof. She stated that the project being considered for a Declaration of Intent was for a proposed 84-unit LAMP project utilizing approximately $14 million in tax exempt bonds to be located at 1468 Hoe Avenue in the Bronx to be developed by Union Grove Associates.
Upon a motion duly made by Mr. Kelly, and seconded by Mr. Ciampa, the Members unanimously:
RESOLVED, to adopt a Declaration of Intent Resolution for 1468 Hoe Avenue, Bronx, New York, Block 2988, Lot 1.
The Chairperson stated that the next item of business would be the presentation of the Fiscal Year 2007 Investment Report. He called upon Eileen M. O'Reilly, Senior Vice President and Chief Financial Officer of the Corporation, to advise the Members regarding this item.
Ms. O'Reilly referred the Members to the Memorandum before them entitled "2007 Annual Investment Report" dated June 4, 2008 and the 2007 Annual Investment Report attached thereto, which is appended to these minutes and made a part hereof.
Ms. O'Reilly stated that the New York State Public Authorities Law (PAL) requires HDC to provide an annual investment report and details the required contents of the report. She said that these requirements were met by the 2007 Annual Investment Report presented, which includes data on investments made, investment earnings and fees paid, copies of the Corporation's audited financial statements, Report of Independent Auditors on Compliance with Investment Guidelines, and the Investment Guidelines themselves.
Ms. O'Reilly stated that the Report also includes descriptive information about the Corporation, the funds it has under management, and the various types of oversight and controls on the Corporation's investment practices.
Ms. O'Reilly stated that the Major points in the Report were as follows:
[x] The Corporation's investment earnings increased by $19.9 million over FY 2006, to reach a total of $84.5 million in FY 2007. This increase was due to more funds under management, primarily as a result of HDC's greater debt issuance. Funds under management increased by $407 million, from $1.983 billion in FY 2006 to $2.39 billion at 2007 FYE. This portfolio growth took place in a flat to rising interest rate environment over the first three quarters, dropping during the fourth quarter.
[x] As an aside, since HDC's fiscal year end we have seen a confluence of events that has impacted the Corporation – the sub-prime mortgage meltdown and resultant credit crunch have affected the markets overall, and the housing sector in particular. Investment rates have dropped significantly over the past two quarters: the Fed Funds rate dropped over 250 bps from HDC's fiscal year-end; three- and six-month Treasury bills declined by about 200 bps; and Treasury notes have also dropped. These declines, combined with our conservative investment approach, have lead to lower investment income in FY 2008 thus far.
[x] On a more positive note, HDC did not incur or pay any fees, commissions or charges for investment services. Treasury operations are conducted by the Corporation's Cash Management Division, which uses electronic and telephone bidding processes to competitively purchase securities that meet the Corporation's Investment Guidelines and funding needs.
[x] Oversight is provided internally by an Investment Committee and by various reviews by HDC's Credit Risk and Internal Audit units. There are also investment and credit risk reports presented at each meeting of the Corporation's Audit Committee, and an annual examination by our external auditors, Ernst & Young.
[x] The Corporation's Investment Guidelines are under review, and we will present amended Guidelines at a subsequent meeting.
Ms. O'Reilly stated that upon approval by the Members, the Report would be submitted to the Mayor and to both the City and State Comptrollers, as required by the Public Authorities Law.
Ms. O'Reilly stated that she would be glad to answer any questions; if there were none, the Corporation requested that the Members approve the 2007 Annual Investment Report.
Upon a motion duly made by Mr. Kelly, and seconded by Mr. Page, the Members unanimously:
RESOLVED, to approve the 2007 Annual Investment Report.
Finally, as an item of Other Business, the Chairperson stated that he would like to nominate Mr. Ciampa as a member of HDC's Audit Committee and called for a motion.
Upon a motion duly made by Mr. Kelly, and seconded by Mr. Page, the Members unanimously:
RESOLVED, to appoint Mr. Ciampa as a member of HDC's Audit Committee.
At 10:19 a.m., there being no further business, upon a motion duly made by Mr. Kelly, and seconded by Mr. Page, the meeting was adjourned.
Respectfully submitted,
Diane J. Pugacz Assistant Secretary
MINUTES OF THE MEETING OF THE NEW YORK CITY HOUSING DEVELOPMENT CORPORATION
June 11, 2008
ATTENDANCE LIST
NAME
AFFILIATION
|
Saint Therese Parish
9525 W Bluemound Rd, Milwaukee, WI 53226 Phone (414) 771-2500 Fax (414) 771-2410 sainttheresemilwaukee.org firstname.lastname@example.org
We are St. Therese Catholic Church, a community of believers, who walk together by faith in Christ Jesus, and minister in the Little Way of St. Therese, as we strive hand-in-hand to live as God's people.
October 26th, 2014
Parish Staff
Parish Emergencies (414) 771-2500 – listen for instructions
Mass Schedule
Saturday: 5:00PM Sunday: 9:00AM Tuesday: 8:30AM Wednesday: 6:30PM Friday: 8:30AM
Reconciliation: 4:15PM – 4:45PM 1st Saturday of the Month
Liturgy of the Word with Communion:
Anointing of the Sick: 2nd Full Weekend of the Month Following Each Mass
All Other Sacraments:
Preparation can take six months or more
Please call the Parish Office
Office Hours
Monday, Tuesday, Thursday: 8:30AM – 4:00PM closed 12:00 PM –12:30 PM
Wednesday: 12:00PM – 7:30PM c losed 4:00 PM –4:30 PM Friday: CLOSED
Thursday: 8:30AM See inside for Holy Day Schedules
Welcome to Saint Therese Catholic Church, Milwaukee, Wisconsin
From the Desk of the Parish Director
- One of the efforts our committees and ministries are making is hosting hospitality after masses each month. Last month, in September, the Building and Grounds Committee hosted hospitality, and this month, the Music Ministry is hosting hospitality this weekend.
Hospitality is an important way we live our faith. In the Letter to the Hebrews, chapter 12 verse 2 we read, "Do not neglect hospitality, for through it some have unknowingly entertained angels."
to any good marketing plan. The large evangelical churches attribute their efforts at hospitality one of the main factors in their growth. But hospitality is not a marketing campaign. Hospitality is our call and an essential part of living out the Word of God. The Word of God is clear–hospitality is not optional, it is essential.
Hospitality is not about being an extrovert or naturally outgoing. Being hospitable is 1) noticing when "outsiders" come into your midst and making an effort to welcome them and help them feel at home and 2) serving those in our midst, whether we know them or not.
In the Scriptures, hospitality is of the utmost importance. In the Old Testament (Hebrew Scriptures), protecting, welcoming, and reaching out to outsiders, foreigners, and travelers was a solemn duty, not just a nice and good thing to do. And, the New Testament, Jesus commands us to serve our brothers and sisters. The prime example of this is Jesus' washing the feet of his disciples...he tells us we must do likewise.
Hospitality is a ministry. While our Ushers and Greeters are the liturgical Ministers of Hospitality, all of us are called to be ministers of hospitality.
Effective marketers will advise that hospitality is essential
Several writers have commented on the difference between coming to church with a "consumer mentality" rather than a "discipleship mentality." Our culture trains us to be consumers, to pick and choose what we like or what is convenient for us. So it is understandable that we could fall into that mindset when we come to Church.
In contrast, the mindset we must have is the mind of Christ, who was focused on service and welcoming others. Jesus called us to disciples–to be people who serve, heal, welcome, be community, and be Church.
So, please ask yourself, when you come to mass, do you come as a consumer or as a disciple? More on this in future columns...
- Thanks to our Music Ministry for hosting hospitality this weekend. Please stay after mass to enjoy some good food and refreshment, meet and greet other parish members and visitors, and learn about our music ministries.
Peace and many blessings to you,
Dr. Alexandra Guliano
Parish Director
Altered Office Hours
Thank You
- Friday, October 31st – Closed
- Friday, November 7th – Closed
The Parish Office will have the following altered hours: To Alice Kennedy for purchasing the new Eucharistic Minister crosses.
- Thursday, November 6th – Closed
- Thursday, November 27th (Thanksgiving) – Closed
- Friday, November 28th (Day After Thanksgiving) – Closed Thank you for noting these changes.
Parking Lot Helpers
In an effort to assist new members, current members, and visitors to our parish, we would like to have a Parking Lot Helper at the Bell Tower Door to assist people who need help getting into our church and who are unable to use the ramp. The Parking Lot Helper would come to Mass twenty minutes early to assist people and stay after Mass to help anyone who needs help getting to their car. To volunteer, please contact Heather Goeden in the Parish Office.
CHURCH SUPPORT
Organ Fund Donations $ 110.00 Please remember St. Therese in your will!
Saturday, November 1st–Solemnity of All Saints
Because the Solemnity of All Saints falls on a Saturday this
Mass at 8:00AM in the Chapel
year, the obligation to attend mass is not required. (The ecclesiastical term it is "abrogated.") However, we will celebrate mass in the Chapel at 8:00 AM on November 1st. All are welcome to attend. A sign -up sheet for liturgical ministers for this mass is in the sacristy.
Wall of Remembrance–Month of November Month of Saints and Souls
It is our privilege to pray for and remember our loved ones who have died. Please bring pictures of your deceased loved one for our Wall of Remembrance beginning with the Saturday 5:00PM mass on November 1st. We will pray for them throughout the month of November.
Donations Needed
- Altar candles–$48
- 3 Priest Vestments @ $150 each
If you wish to donate any of these items in honor of a special occasion or in memory of a loved one, please contact Heather Goeden in the Parish Office.
Fund Totals – As of October 20th
- Air Conditioning Fund: $29,614.59
- Fr. Roger Heck Memorial Organ Fund: $12,001.56
Sunday, October 26th
October 26th, 2014 30th Sunday in Ordinary Time
Music Ministry Hospitality
The Saint Therese Music Ministry is hosting hospitality this weekend. Please join us after Mass to find out more about the opportunities which are offered by the Music Ministries in our parish. All are welcome!
Music Ministry Hospitality
9:00 AM Children’s Liturgy of the Word ( CH )
10:10AM High School Catechesis (STR)
10:15AM Preschool–8th Grade Catechesis (UPSTAIRS)
8:15AM Saint Therese Choir (CH)
Monday, October 27th
No Meetings Scheduled
Tuesday, October 28th
No Meetings Scheduled
Wednesday, October 29th
7:30PM Saint Therese Choir (CHP)
7:00PM Music Ministry (CH)
Thursday, October 30th
7:00PM Group 100 AA (MC)
Friday, October 31st – Parish Office Closed
6:00PM Craft Fair Set-up (HH, LOBBY)
Saturday, November 1st – All Saints Day
SCRIP Order Weekend
8:30AM – 5:00PM Craft Fair (HH)
8:00AM All Saints Day Mass (CHP)
Sunday, November 2nd – All Souls Day SCRIP Order Weekend
9:00AM CLOW (CH)
8:15AM Saint Therese Choir (CH)
9:30AM – 2:00PM Craft Fair (HH)
10:15AM Preschool–8th Grade Catechesis (UPSTAIRS)
10:10AM Confirmation Preparation (STR)
10:15AM 1st Reconciliation Preparation (CH)
6:00PM Evening to Remember (CH)
CH
=Church,
CHP
=Chapel,
GLP
=God's Littlest
GN
Place, =Good News Gathering Place,
HH
=Heck Hall,
KIT
=Heck Hall Kitchen,
RR=Raphael Room, STR=St. Therese Room
LIB=Library, MC=Miriam's Corner,
Discipleship Corner
The Rebuilt Committee is starting a ministry to provide volunteers after mass to answer questions and help people find/complete any needed forms. Or just to say Hi! We will begin this ministry after 9:00AM mass on Sunday, and expand to 5:00PM mass Saturday when we have enough volunteers. Watch the announcements as to when we will start.
Would you like to help revitalize the Parish?
To be a part of this exciting new ministry, please call Christine Jensen at (262) 391-1851.
Thanksgiving Service and Mass
Plan now to attend the Thanksgiving Ecumenical Service on Wednesday, November 26th at 7:00PM and the Thanksgiving Day mass on Thursday, November 27th at 9:00AM. All are welcome!
The Craft Fair is Almost Here!
Our Craft Fair is almost here. Did you mark your calendar for the weekend of November 1st and 2nd? Hope to see you there during the day on Saturday or after the 9:00 Mass on Sunday. Your support is ever so important. We need every one of our parishioners attending this wonderful event. Crafts and food donations are to be placed on the table outside the office. You support is your small way of tithing.
SVdP Meal Program Needs Cream of Mushroom Soup
expiration dates. Any size, any brand!
The St. Vincent dePaul Meal Program is in need of more cans of cream of mushroom soup. Please bring cans of any size to mass and put them on the labeled table near the sacristy for the St. Vincent de Paul Meal Program until November 2nd. Please do not bring the donations to the Parish Office, and please check the
SCRIP Next Weekend!
SCRIP gift card orders will be taken next weekend. Order forms are available in today's bulletin. Bring your order form to mass next weekend and place your order at the Bluemound entrance. You only pay for the value of the cards; there are no fees. Thank you for participating in this easy way of raising funds for our parish.
Second Annual Christmas Cookie Fundraiser
Save the Date and fire up the ovens. St. Therese's Second Annual Christmas Cookie Sale will be December 13th/14th. Volunteer cookie bakers can sign up in November. MMM... what's your favorite?
Questions? Contact Mary at (414) 425-2028 or Christine at (262) 391-1851.
Thank you! Thank you!! Thank you!!!
To all who contributed to filling up the St. Vincent dePaul truck last weekend. Your donations are greatly appreciated. Through your generous contributions many people will have a little richer life. It's never too early to start to save–our next bundle weekend will be coming up in spring.
Eucharistic Minister Meeting
All Eucharistic Ministers (including substitutes) are asked to attend the Eucharistic Minister meeting on Sunday, November 16th after the 9:00AM mass in the chapel. It is important that all Eucharistic Ministers attend this meeting. If you are interested in becoming a Eucharistic Minister, please come to the meeting as well. Eucharistic Ministers and substitutes who are unable to attend, please call Heather Goeden in the Parish Office.
Career Tools Conference – October 29th
Job seekers are invited to attend this free, all-day Career TOOLS Conference featuring 30 educational sessions and interactive workshops, plus one-on-one resume reviews and interview practice. Attendees will learn from industry experts as they share their knowledge, tips, and strategies to empower and transform the job search. Resumes will be collected and shared with various employers.
Doors open at 7:30AM. (Must be age 19 or older to attend.) Lunch offered for pre-registered attendees. Walk-ins should bring a brown bag lunch.
For complete program details or to register, visit www.archmil.org/offices/ social-justice/Events.htm. Or contact Kathy Shine at email@example.com or (414) 758-2285 with direct questions.
October 26th, 2014 30th Sunday in Ordinary Time
Thirtieth Sunday in Ordinary Time – October 25th/26th
A Stewardship Moment
October Sanctuary Candle
†Dave & †Mary DeTrempe
Sunday, October 26th
Ex 22:20-26/1 Thes 1:5c-10/Mt 22:34-40
Monday, October 27th
Eph 4:32--5:8/Lk 13:10-17
Tuesday, October 28th
Eph 2:19-22/Lk 6:12-16
8:30
AM
†Brad Harper
Wednesday, October 29th
Eph 6:1-9/Lk 13:22-30
6:30
PM
†Lois Preston
Thursday, October 30th
Liturgy of the Word with Communion
8:30AM Eph 6:10-20/Lk 13:31-35
Friday, October 31st
Phil 1:1-11/Lk 14:1-6
8:30AM All of the Names on Our Prayer List
Saturday Mass, November 1st
Rv 7:2-4, 9-14/1 Jn 3:1-3/Mt 5:1-12a
8:00
AM
†
5:00
PM
†Mary Ann Hesselbein
Sunday Mass, November 2nd
Wis 3:1-9/Rom 5:5-11/Jn 6:37-40
9:00
AM
St. Therese Parish Community and
†Barbara Schmitz
Robert Best, Gene & Bernice Brah, Deacon Gene Brah, Alyce Breitweiser, Christine Castelaz, Marjorie Corak, Brian Daevel, Loretta Dobert, Ethel Forster, Dorothy Gredler, Jackie Kaczynski, John Kowalski, Elizaabeth Kreuter, Mary Jane Lucas, Liliana Maass, Neil Massey, Andy Nitka, Jim Noel, Judy Rahn, Carlene Siever, Joel Simpson, Jane Tindal, Patrick Trainor, Kathleen Zastrow, Bill Ziegler
Sacred Heart Croatian – Upcoming Events
Sarma/Chicken Dinner beginning at 11:00AM. Also Games, Raffles, Cookie Booth, Baked Goods, and Silent Auction. Drawing at 3:00PM.
Fall Bazaar – Sunday, November 2nd
Sarma Sale
Place your order for the Sarma sale through Wednesday, November 12th by calling the church office at (414) 7749418. Price is $1.75 each. Please bring your own container on pick-up. Orders can be picked up after 4:00PM on Friday November 14th or after 8:30AM Saturday November 15th. (917 North 49th Street, Milwaukee)
There is one word or command that summarizes today's Gospel – love. For Jesus there is no distinction between these two commands of loving God and neighbor. One naturally flows from the other. In fact, for Jesus, these commands constitute a way of life for Christian stewards; a unique approach to life and to their relationship with others. Our neighbors include everyone with whom we come into contact: family members, friends, people we don't like, strangers and particularly those most in need of our love and compassion. Love is always for doing well and helping others grow closer to the Lord. What are ways in which we might do better at following Christ's love command?
Christmas Concert to Support the Work of Catholic Charities
Join in the true spirit of giving this Christmas by sharing your voice with others to benefit the good work of Catholic Charities in the Milwaukee area. We are looking for singers from Milwaukee Archdiocese church choirs to form a mass SATB choir of a hundred voices to perform at two churches:
- December 13th at 7:30PM at St. John the Evangelist Church, Greenfield
- December 14th at 3:00PM at Immaculate Conception Church, Bay View
There will be three rehearsals held at the concert locations in the mornings of Saturday, November 15th and Saturday, December 6th and the evening of Wednesday, December 10th. All singers are expected to attend all three rehearsals.
The mass choir will sing carols arranged by David Willcocks, some with the congregation, and all accompanied by brass and organ. There is a $10 fee for the music.
The Christmas Concert is a joint production of In Good Company – the Milwaukee Metropolitan Voices resident singers' group, and Catholic Charities of Milwaukee. Please go to milwaukeemetrovoices.org to register as a singer.
Scripture with Scholars
Join us on Tuesday, October 28th, from 7:00PM - 8:30PM, at the Cathedral of St. John the Evangelist (812 N Jackson St, Milwaukee) for an exploration of "Recovering a Jewish Jesus and Discovering a Jewish Christianity," featuring biblical scholar, Fr. Steven Lampe. This event is free and open to the public. No registration is required.
Pro-life Mass scheduled for October 28th
A Pro-life Mass will be celebrated by Fr. Jerome Hudziak on Tuesday, October 28th at 7:00PM at St. John the Evangelist Parish (8500 W. Cold Spring Road, Greenfield) with a reception to follow. All are welcome! Sponsored by the St. John the Evangelist Parish Pro-life committee and The Knights of Columbus Milwaukee Pere-Marquette Council 524 of Greenfield. Questions? Please contact the parish office at (414) 321-1965.
Speaker at St. Jude
The Human Concerns Committee of St Jude is sponsoring a fall speaker. On November 11th from 7:00PM to 8:30PM Deacon Richard Niggermann, chaplain at the Waukesha County Jail, will be speaking in the church hall. His presentation is titled, " Lord, When Did I See You?" This event is free and opened to the public. A non-perishable food item for the Tosa Food pantry is appreciated. For any questions, please contact Mary Jo at (414) 534-2868 or firstname.lastname@example.org
Catholic I.D. Weekly Video Blog
Get inspired for a life of Catholic intentional discipleship by viewing these engaging "Gospel-in-a Minute" weekly videos. You can find them simply by searching "Catholic I.D." on You-Tube!
October 26th, 2014 30th Sunday in Ordinary Time
Continue the Journey…
Parish Council
The stewardship committee is asking the parish community to open your minds and your hearts to move the parish forward with the gifts God has given to you. Please be generous with your stewardship of time, talent and financial support and consider increases in all three areas. Our financial goal this year is $400,000
1st Monday of Month at 7:00 PM email@example.com as we need to fund a Director of Religious Education position for the Christian Formation Program. Please pick up your envelope from the boxes by the sacristy. This small act will help us to save $0.70 per envelope in postage. Please return by November 2nd. As of October 20th, we have had eight responses for a total of $14,295 committed.
For Information, Questions, and Concerns on the Zoo Interchange Project
- Construction Communication Contact Heather Weber (414) 704-6422 or firstname.lastname@example.org
- Facebook – /wizoointerchange
- twitter – @WIZooIC
The Harvest Craft Fair Is Next Weekend! - November 1st/2nd
We need everyone to pitch in to make this fundraising event successful! Please bring any donations during regular office hours to the library area marked for craft fair. Here's how you can help:
- Donate Food. We need the following items, and please, these items ONLY: multi-packs of single-serving chips, large bags of corn chips and PLAIN taco chips, hamburger buns and hot dog buns, baked goods, and cases of water and soda. We are asking for these cans of soda ONLY: Coke–regular, diet, and caffeine free; Sprite–regular and diet; Pepsi–regular and diet; and Mountain Dew. The bakery may be brought from 6:00PM– 8:00PM on October 31st, or from 9:00AM–10:00AM on November 1st.
- Donate some handcrafted items for the raffle or the St. Therese Booth. If you are a hobby crafter and have a few brand new handmade things you'd like to donate, we'd appreciate them. We have a whole booth with donations from St. Therese members, where all the profit goes right back into the church. We also have a large raffle for bigger items. Please note, we will accept only HANDMADE, NEW items.
- Sign-up by the Bluemound entrance to work a shift or two the weekend of the fair. Thank you to all of our volunteers and donors of the previous years, and already this year! We could not make this event happen without you!
Air Conditioning Donation Easy Form—PLEASE PRINT CLEARLY
Name:________________________________________
Address: __________________________________ Zip: _________
Phone ( )_________________ Email: _____________________
In Memory of: ________________________________________
In Honor of: __________________________________________
Amount Enclosed $_______ May we publish this donation? Yes/No
Father Roger Heck Memorial Organ Fund Easy Form
PLEASE PRINT CLEARLY
Name:_________________________________________________
Address: ___________________________________ Zip: ________
Phone ( )_________________ Email: _____________________
In Memory of: ________________________________________
In Honor of: __________________________________________
Amount Enclosed $_______ May we publish this donation? Yes/No
Chairperson
Jim Holmes (414) 258-9195
Vice-Chairperson
Pat Touchett (414) 257-0221
Secretary
Mary Rose Sanger (414) 425-2028
Trustees
Jim Balliet
(414) 257-0339
Kathy Hubrich (414) 259-1961
Members-At-Large
Suzanne Goodacre (414) 475-5062
Richard Hopefl (414) 455-3586
Sue Kolesari (262) 787-9097
Tom Molosky (773) 551-1752
Jean Marie Weber (414) 778-0025
Greater Tosa Interfaith (414) 453-5750
Saint Vincent de Paul (414) 462-7837
Hospital Visits
The Federal Privacy Regulation (HIPAA—Health Insurance Portability & Accountability Act) prohibits hospitals from informing churches of a patient's presence unless the patient gives permission for the hospital to do so. If you are admitted to a hospital and would like a pastoral visit, please contact Heather Goeden in the Parish Office.
Prayer List for Mass
It is our privilege to pray at our weekend masses for those in need. If you would like to add a name to the list, please complete the form at sainttheresemilwaukee.org/prayerlist or call Heather in the Parish Office.
Need Prayer?
Call the Prayer Network at (414) 607-0681.
Need Holy Communion? Call Heather in the Parish Office at (414) 771-2500.
Bulletin deadline:
AM
Announcement deadline: Thursday, 1:00PM
Monday, 8:30
All submissions must be in writing; email preferred.
|
SPACE POLICY – WHAT IS IT AND WHY DO EMERGING SPACE STATES NEED IT?
Agnieszka Lukaszczyk
Secure World Foundation (SWF) firstname.lastname@example.org
ABSTRACT
In the past decade, the number of space faring states increased from 27 to 39 and there are more on the horizon that aspire to become players in the space arena. Space activities are no longer exclusive to the big players (USA, Russia, China), as it has become apparent that space technology can benefit humanity in various areas such as health care, education, disaster management, food security, water management, and navigation - just to name a few. All regions of the world, including Africa, use space application to positively impact the lives of their citizens; however, to avoid ad hoc activities and assure responsibleuses of outer space, proper policies and regulations need to be put into place.
This paper outlines the current situation in the space sector by examining the present actors States and the private sector, and their relationship to one another. It will also look at the current international regime including the space treaties, various national space policies, and strategies. Most important, this paper will demonstrate that, to assure the long term sustainability of outer space and most benefits of space technologies to humanity, States must work towards the development of national space policies.
THE VALUE OF SPACE:SHIFT OF THE PARADIGM
For quite some time space, was reserved only to wealthy, developed countries such as the United States, Soviet Union/Russia, and, to some extent, Europe. In recent years, however, the number of space fairing States has rapidly increased to 39 as of today. Not only the developed world is participating in space activities. A variety of developing countries such as Mexico, Malaysia, Nigeria, South Africa, and more, continue to develop space programs. Many developing states have their own satellites in space, while countries like China,
India, and Brazil do not only operate satellitesbut already have working launch capabilities. Space programs and other related technologies are now becoming part of the national strategies and policies of many emerging space states, which strive to strengthen their international status, security, and economic benefits.
It is important to note that the increasing number of space actors includes the private sector. Communications, Earth observation, geospatial information, and many other space applications affect modern life all over the globe, as well as provide relevant information to governments and various institutions in such areas as climate monitoring, disaster/crisis management, food security, water management, Earth observation, and tele-medicine.
Tthe growing importance of space policy is at odds with the perception of the general public when it comes to the importance of space in today's society. Even after the launch of Sputnik, the ISS, Moon landings, and various human and robotic space missions, relatively few people are aware of the benefits of space technology today. During the Cold War, space was a somewhat "hot topic" with such glamorous achievements of launching the first satellite,putting the first man in space, landing on the Moon, and preventing Star Wars. The space sector of today is focused more on science and technology, which have greatly enhanced human life, but which have not produced much in the way of newsworthy excitement. Although space benefits are very much integrated into our daily life, most people do not give them a second thought.
Threats and accomplishments also seem to be of a different nature now than they were during the Cold War. In February of 2007, China successfully tested an anti-satellite ballistic missile, which came as a shock to the international community. By shooting down one of its own satellites from low-Earth orbit (LEO), China – a country that has a majority population still living under thepoverty line – demonstrated that it is, indeed, a space power. In 2008, India successfully launched its own probe to the Moon. Around the globe, increasing numbers of developing countries have begun to invest in space technologies, to partner in various space projects, and to build their own satellites.
All things considered,, why are developing countries, which, by definition, are not financially stable, willing to invest in space activities? There are several reasons - for example, international recognition and the prestige of being part of the space club. Plus, space tools can enhance the life and safety of the citizens at large. The benefits of a successful space program include telecommunications, Position, Navigation, and Timing (PNT), Earth Observation, and various military applications. Hence, developing countries are simply being rational actors who want to play an active role on the international stage.
THE THREAT
Since space does not belong to anyone everyone should have an access to it and it should be used for the benefit of all mankind. At the beginning of the Space Age, this notion was only theoretical as in reality very few could access space and benefit from it. However, as mentioned earlier, in recent years more and more actors of different kind engage in space activities. Currently there are attempts to not only utilize space for military or scientific reasons but also purely for leisure purposes. Space tourism has been on the agenda for some years and is slowly becoming a reality.
On one hand it is exciting that space is finally becoming relatively reachable for more and more people, companies, and states. On the other hand, there are costs with the benefits that should not be neglected, as they bring many potential threats. There is an increased need to guarantee sustainability of space activities. More actors translate into increased crowding in key orbits as well as an increased amount of debris in space.
Raising awareness of benefits of space activities is very important; however, developing countries should not just be encouraged to participate in space activities; they should also be educated on how to become responsible actors. Capacity building is crucial, because in the unique environment of space, a mistake of one actor affects all actors. A piece of debris 10cm or larger can destroy or seriously damage a satellite. Potential consequences can be hazardous and very expensive; thus, it is in everyone's interest that new space players have a good understanding of the space environment, and have proper policies in place.
THE AFRICAN EXPERIENCE
Besides South Africa, only Nigeria, Kenya, Algeria, Egypt and Tunisia have been developing space programs. In the Egyptian case, space activities have been largely concentrated on security concerns. For the other African states, however, socioeconomic benefits have been the main focus. Space technology has been considered by the public and private sectors in Africa as a potential enhancing factor in long term development, despite the high cost. Even in relatively poor African countries on the continent, space applications increasingly play a part in various development and security schemes.
Telecommunication and GNSS are progressively becoming standard tools of trade to help isolated communities become better integrated with the rest of the society. Maps and images of various areas put incredibly important tools in the hands of local authorities for disaster and crisis management, as well as food security, water management, human rights and more.
Regional cooperation is slowly gaining importance in Africa as a mechanism for states to engage in a variety of activities that support the growth of technology, infrastructure, industry, and culture that promote space activities. Sharing costs, resources, and capabilities can allow countries to achieve more together than they would alone. In 1991, Article 63 of the Abuja Treaty committed the African Union to the establishment of a Pan-African satellite communication system, setting the stage for an official intergovernmental forum on space cooperation. The treaty was cosponsored by the Algerian Space Agency and the United Nations Office for Outer Space Affairs (UNOOSA). The African leadership Conference on Space Science and Technology for Sustainable Development was to accomplish the same goals as Asia-Pacific Regional Space Agency Forum (APRSAF). Nigeria, Algeria, Kenya, and South Africa have used this forum to come to an agreement on the uses of space technologies for disaster management, resource identification, land use, and public health 1 .
SPACE POLICY DEVELOPMENT
For success today, space activities require public and private long term funding and a clear focus on policy goals. There must be a political will to have a national space program as investment in space systems is largely a governmental activity. Governments are willing to invest in programs that translate into a public good such as national security, crisis management, weather forecasting, disaster management, and natural resource management. Today, however, more and more space programs are set up as government partnerships with the private sector, academia, and other states to maximize the outcomes while sharing costs.
It is important to realize that creating a space agency is not sufficient to guarantee a good space program. A space agency, as any other governmental agency, will need a policy or a group of policies to guide its activities and to shape the evolution of the national space program. Without a formal policy, activities tend to develop in an ad hoc manner among various national agencies, each with some space component, and my lack coherence and long term sustainability. A well- structured policy can assist building of a trong space program as well as it can foster sustainable development through science and technology education and technology development.
All space activities are funded by different groups, whether public or private; thus, it is important to realize that each group will have different understandings of risk and different expectations of reward. The private sector can - and should - be a major partner in
Keith Gottschalk, "The Roles of Africa's Institutions in Ensuring Africa's Active participation in the Space Enterprise: The Case for an African Space Agency (ASA)," African Skies, No.12,
1 October 2008:26.
executing space policy. The policy challenge is to establish the right balance between the levels of investment in publicly funded space activities. The key is to avoid ad hoc policy making, because it might result in regulatory and political inconsistencies and might create industry uncertainty.
Tensions between government promotion of certain public good activities for long term societal benefits and market forces that promote short- to- medium-term government decisions should be expected. In addition, governments are generally not very good in "picking winners" and can waste considerable taxpayer money on dead-end projects. Generally, governments have more success with funding more basic and generic research.
There are certain actions governments can take to assist industry. Public policy should, of course, confront issues of public safety, resource allocation, environmental protection, and technology transfer. Nevertheless, it can help to reduce market risks through targeted research and development (R&D) programs for key technologies, supportive regulatory environment, low interest loans and loan guarantees, direct subsidies, and liability indemnification. There also should be an improved return on investments through strategies such as tax relief for risky investments, patent licensing, provision of infrastructure, and guaranteed government contracts.
As mentioned earlier, the public is, in general, poorly informed about the benefits of space technology and the value of investing in space technologies. Consequently, it is important to invest in public awareness programs about the value of space activities for individual and collective welfare. Also, engagement with space related NGOs such as the Space Generation Advisory Council, World Space Week, and the Planetary Society can play a significant role in building awareness.
An increased number of space actors means greater opportunities for international cooperation. Working with partners creates the potential for expanding capacity beyond the capabilities of any one country. International forum such us the UN Committee on the Peaceful Uses of Outer Space (COPUOS), Global Earth Observation System of Systems (GEOSS), and the International Committee for GNSS (ICG), also assist capacity building and international cooperation. Regional forums promote strengthening regional space capabilities. Sharing costs and maximizing benefits is a win for all.
CONCLUSION
Presently, many states depend on various space based assets from communications and navigation, to weather forecasting, high-resolution imagery and more. For developed and developing countries alike, the decision to invest in national space policy has been predicated not only on obtaining various technological advances but also on address national security needs.
To some extent, the emerging space states have been following the pattern developed by the space powers – to demonstrate national capacity, gain international prestige, improve national security, and promote socio-economic development. Since Sputnik, space activities have often been a symbol of national pride, as well as visible way to demonstrate technical expertise and possession of resources. Thus, many countries engage in limited but focused space programs to address their specific needs, whether it be security, prestige, or space benefits for the citizenry. Many developing countries, which are not able to maintain space programs alone, enter into partnerships with other countries through regional or international cooperation. Despite the tangible scientific, socioeconomic, and even military benefits, the political aspects should always be considered. In the world of international diplomacy appearances can make all the difference.
|
ADMINISTRATION
DIRECTOR'S OFFICE
On Friday, October 18, Library Director Ramiro Salazar attended the Landa Gardens Conservancy annual event, White Nights, at the Landa Branch Library.
Library Director Ramiro Salazar attended the Friends of the San Antonio Public Library annual Arts and Letters Award Reception on Sunday, October 20. The event took place at the Central Library and honored local artists.
On October 21, Assistant City Manager Gloria Hurtado and Library Director Ramiro Salazar met with Councilman Cris Medina, via conference call, to discuss Library services in District 7. A follow up meeting took place on November 5 and included a discussion about the Woodlawn Lake Gym Community Room and current library outreach efforts.
The San Antonio Public Library, in partnership with the San Antonio Public Library Foundation and the City's Office of Cultural and Creative Development, hosted a reception and reading honoring Rose Catacalos, 2013 Texas Poet Laureate. The event, held on October 22, was a success with over one hundred attendees.
On October 24, the Library held a grand opening event for Connect at Central Library, the new technology space located on the first floor of the Central Library. Mayor Julian Castro and City Manager Sheryl Sculley attended the event and delivered remarks during the program. That evening, Library Director Ramiro Salazar, Assistant Library Director Dale McNeill and Interim Library Services Administrator Dianna Morganti attended a celebration hosted by the Southwest School of Art for obtaining accreditation for the School's Bachelor of Fine Arts degree program.
On October 25, Library Director Ramiro Salazar and several Library staff members attended the United Way of San Antonio and Bexar County's annual kick-off luncheon for the Charitable Campaign. Thanks to the support of Library Staff, the Library Department surpassed its participation goal for the 2013 Charitable Campaign. That evening, Library Director Ramiro Salazar attended the Briscoe Museum's Opening event. That next morning, October 26, Mr. Salazar also attended the ceremonial ribbon cutting event for the Briscoe Museum.
On October 29, the Library hosted an open house at the Guerra Branch Library to unveil recent improvements associated with its Extreme Library Makeover. Assistant Library Director Dale McNeill joined City Councilman Ray Lopez and Library Trustee Lora Eckler in delivering remarks during the event. The Friends of Guerra Branch Library provided refreshments for the reception that followed the program.
SA100, a local group comprised of women community leaders, enjoyed a presentation delivered by Library Director Ramiro Salazar on November 6. Mr. Salazar provided an overview of library services and received positive feedback from the group.
On November 12, Library Director Salazar served as emcee for the grand opening of the Marie Swartz Art Resource Center, located on the second floor of the Central Library. Councilman Diego Bernal and County Judge Nelson Wolff attended the event and delivered remarks. The program also included Paula Owen, President of the Southwest School of Art; Jill Giles, Chair of the San Antonio Public Library Foundation Board; and members of the Swartz Family. The Swartz Art Resource Center opened to the public on November 13.
On November 20, the San Antonio Public Library launched Indie Flix, a new streaming video service available to Library patrons. The streaming video service offers award-winning shorts, features, and documentaries from around the world.
CHILDREN'S SERVICES [SYSTEM-WIDE]
Late October was a busy time as eighteen branches around the city hosted children's Halloween celebrations. With a grand total of 2246 children & their grownups in attendance, staff is considering these highly successful events. (Please note that over 1000 of the attendees were logged by the Parman Branch whose annual Halloween Party and Spooky Walk are becoming the stuff of library legend!)
In November & early December, staffs at 21 locations are hosting "Transportation Station" events. Like Dinosaur Day and Barnyard buddies, Transportation Station invites parents and caregivers to "Play & Learn" with their children. Featuring cars, trucks, buses, planes, trains and boats, these sessions encourage attendees to engage in the five practices that support early literacy development: Talking, Singing, Reading, Writing and Playing. With centers featuring blocks and vehicles, play-dough license plates, ten little race cars, color matching, pattern making, traffic light painting and a pretend car wash, this Play & Learn session has already met with rave reviews at several locations. Preparations of kits supporting this Play & Learn effort were created by the Children's Early Literacy Team: Cresencia Huff (Little Read Wagon), Ariel Cummins (Tobin at Oakwell), Clair Larkin (Landa), Nancy Rodriguez (Igo), Cari Rayley (Great Northwest), Trina Smith (Memorial) and Viki Ash (Central Admin).
LITTLE READ WAGON
October and November have been busy as usual for the Little Read Wagon team. During this reporting period, the Little Read Wagon staff visited numerous high schools to share early literacy information with teen parents. New team member Ronnie Webb began making presentations to teen parents and was very well received. Several elementary schools, Early Head Start and Head Start sites also received services.
A Play & Learn series was offered at the YWCA on Castroville Road. The Transportation Station Play & Learn program was offered at Woodlawn Lake as well as entirely in Spanish to a Northside ISD family literacy class. Northside ISD's Even Start family literacy program has four more classes that will have the opportunity to participate in the Transportation Station Play & Learn program later this fall and in January. Cresencia Huff is working with different community organizations and venues to schedule more Play & Learn programs.
October and November are also busy months for community events. On October 25, Cresencia represented SAPL along with Gina Brudi (Las Palmas) at the Avance Early Head Start October Festival. KLRN invited Little Read Wagon to participate in community events on October 29 and 30 at McAllister Park and the Tynan Early Childhood Center. Julia Lazarin, Martha Wichy, and Cresencia offered a miniPlay & Learn station at both events. Finally, on October 9 Corinne Sanchez represented SAPL at a City Council District 3 event for early childhood teachers.
TEEN SERVICES [SYSTEM-WIDE]
Off-Site Service
During the reporting period, Teen Services Librarian II Kathleen Fordyce visited high schools and spoke to hundreds of students about the services and resources the Library offers for teens. On October 5, Kathleen gave three presentations to over 150 students at St. Gerard High School. Kathleen spoke to new students during Orientation at her monthly visit to the Academy of Creative Education on October 28. On November 5 and 6, Kathleen gave seven presentations to 400 students at Sam Houston High School.
On November 13, Kathleen visited Burbank High School to speak to teens and their parents at the Families4Education event. Attendees also received library cards.
Teen Services Librarian I Caroline Mossing represented SAPL Teen Services at the San Antonio Hispanic Chamber of Commerce's CORE4STEM Expo at the Freeman Coliseum on November 12 and 13. Reaching more than 100 middle school aged students, Caroline provided information about SAPL's programs and services, with a special emphasis on educational resources and STEM programming at the Central Library. During the session, participants worked together to understand and modify a simple Arduino program.
Partnerships
Library staff mentors met in the Central Library Auditorium with their "Littles" from Edison High School for their monthly Inspire U lunch on October 28. Mentors and mentees worked on a craft project together during their lunch meeting.
On October 31, Teen Services Library Assistant J.D. Elizondo met with Young Artist Program Director Patricia Morales and Young Art Program Assistant Director Regina Sanders of the Southwest School of Art to discuss collaborating on the art component of J.D.'s Eclectic Electric program. Due to the success of the meeting for both parties, J.D. and Teen Services Coordinator Jennifer Velásquez had a follow-up meeting with the two on November 1 to discuss a partnership between Teen Services and the Southwest School of Art. Ideas that are on the agenda for this partnership are: an art show, field trips and scholarships.
Professional Development
Teen Services Coordinator Jennifer Velásquez was invited to serve on the YALSA Administrator Resources taskforce. The taskforce will coordinate the development of new content and research, including case studies that illustrate the value of teen services, aimed at library administrators, and work with library staff nationwide to disseminate the content.
System-Wide Support
J.D. Elizondo continued taking his Eclectic Electric guitar/keyboard program "on the road." During the reporting period he hosted the music program for teens at Thousand Oaks and Cody.
MARKETING
The Marketing team has been as busy as ever with projects that include the public awareness campaign project, all PR and marketing for the Marie Swartz Art Resource Center grand opening, the official opening of Connect at Central, and the Winds of War poster exhibit in the Central Library Gallery, as well as for events and programs system-wide. Monthly projects include SAPL newsletter, Texana newsletter, and social media management.
Graphics
The graphic artists spent the reporting period working on the November and December Bookmarks, Library Champions creative projects, branch fact sheet designs, holiday card design, IndieFlix campaign creative projects, JFK memorial events creative projects, D9 marketing, and more.
Public Relations
SAPL received 194 media mentions during the reporting period.
SAPL has 6,158 Facebook friends, and there are 1,610 Twitter followers.
KUDOS
Kate Sandoval (Librarian II) with Children's Services at the Central Library received special praise for her visit to Austin Academy's Book Fair where she promoted SAPL Live Homework Help resources and created a bookmark making station for the children while they shopped at the fair. The thank you note from Heidi Head, the school's librarian, reads:
"I wanted to thank you again for your support this week at our School Book Fair. You made it an extra special event for the families and they really enjoyed your activity. I look forward to us working together again to build our communities. Please let me know if I can do anything in the future. Thank you, Heidi Head"
CENTRAL LIBRARY
CHILDREN'S SERVICES
October and November were full of special events in the Central Children's Department. Three of these events occurred during Family Fun on Saturdays. The first was a Halloween Party for young children involving lots of fun crafts and activities. Children were dressed in their costumes, and if they did not, there were plenty of crafting tables filled with great costume starters! All attendants joined the department staff in a parade around the floor, playing tambourines and getting their treat bags. Almost two hundred were in attendance and the Children's staff went all out with their costumes this year. Children could see Dorothy from the Wizard of Oz, A Care Bear, A Wicked Witch, The Cat in the Hat, A Feisty Pirate, and even The Chicka Chicka Boom Boom Tree come to life!
The second big event during Family Fun celebrated Central Library's LEGO® Day in an effort to promote the nationwide trend in library services to children, involving "play" in programs at libraries. Central's program focused on stories about building and then constructive, creative play with LEGO®s and DUPLO®S. Using some of the latest research regarding the developmental benefits of LEGO® play, Jasmin Salinas (Librarian I), along with Amy Lewis (Librarian I) prepared carefully selected and created book displays, décor, scavenger hunts, crafts, and interactive "Boredom Busters", all relating to LEGO®s. Children were gleefully searching the stacks for clues and building towers in the Story Room. Photographs were taken of all the fun and will be shared at an upcoming Family Fun. The program was so successful, much of the LEGO® activities are still available to enjoy on the Children's Floor through the end of November.
Puerto Rican children's book author, Tina Casanova, visited Family Fun the following week and led a program entirely in Spanish. The program was a SAPL partnership with the Puerto Rican Heritage Society. After a brief interview with Univisión at the Central Library, Mrs. Casanova performed a dramatic retelling of her book Al Final Del Arcoiris. Props were given to the children so that they could participate in the storytelling fun! Families gathered at the end to create a rainbow craft, prepared by Kate Sandoval (Librarian II) and Ms. Salinas (Librarian I), to take home.
A special Play & Learn session called "Transportation Station" was led by Ruth Chiego (Manager) and Ms. Sandoval. This was a unique session as it used elements created by SAPL's own Early Literacy Committee. Children enjoyed playing "Car Wash," creating ramps with foam blocks from cardboard for cars to zip up and down. The fun began with transportation tales and children and their parents soon found themselves inspecting a car made out of a cardboard box, making a stop light with dot painters, and playing with different shapes and sizes of cars, all while creating their own roads for traveling. It was a big success with lots of smiling faces!
Several large groups visited the Children's Department for tours. Among those were eight groups from Higgs Carter King Academy and two groups from The Pillars. Green Acres came regularly for specially prepared Story Times with Ms. Salinas. Central Children's staff also visited several locations including KIPP Camino, Austin Academy, Wilson Elementary, Madison Square, and San Antonio College Early Childhood Center.
REFERENCE
In this review period many in Reference focused on the final stages of preparing and providing materials for the recently opened (November 13) Marie Swartz Art Resource Center. Acknowledgement is due to other individuals and units whose efforts over the past year contributed to this unique endeavor. The development of the Resource Center exemplifies productive partnerships and collaborations at all organizational levels. Members of Reference, Technical Services and the Shelving Unit all had their part in the successful opening of the Center. Every week, for several months, Jose from Technical Services and Nick, a Volunteer unpacked and sorted through hundreds of books and magazines donated by the Southwest School of Art and prepared them for review by Reference Librarian, Martha. The books selected were skillfully cataloged by Barbara and then carefully processed by Omar and Frances. Processed items were boxed in Dewey order by JoAnn and Nick and then stored.
Meanwhile, in Reference, Deedee and the Humanities Team, Dan, Michelle and Lyle sought to identify suitable materials in Central's collection to support a Fine Arts curriculum and then created searchable lists. Once the Resource Center shelving installation was complete, Carla, Sylvia and Sandra organized and led the Shelving Unit in unpacking boxes, pulling and labeling selected items, and finally in shelving several thousand titles in a beautifully balanced arrangement. Maria and the Periodicals Team, Bettina, Theresa, and Sherrie, a Volunteer moved decades of Art Journals to the new 2 nd Floor location. Days before the Grand Opening event, Deedee, Michelle and Julia organized and created themed displays to promote the new Resource. The support and advice of Charlotte, Katie and Kathryn was also appreciated.
TEEN SERVICES
Weekly Programs
Mondays with J.D. Elizondo (Library Assistant): In late October, J.D. and a group of teens ("scarers") planned, developed and ran the 2 nd annual "Teen Scream" Haunted House. Over several weeks teens worked hard to put up the walls of the haunted house, get into costumes, put on makeup and act during the tours of the haunted house. The program was a great success once again. Over 80 teens and children (and some parents) were brave enough to walk through the haunted house in its three day run. On the weekend of November 2 and 3, J.D. hosted Day of the Dead-themed art activities for the teens, as well as the fun and unique programming opportunity to demolish the Haunted House. Beginning November 4, J.D. resumed the music component of Eclectic Electric.
Tuesdays with Caroline Mossing (Librarian I): During the reporting period, Caroline hosted Science and Tech Tuesdays, during which teens explored the Bernoulli Principle, created spooky science experiments for the teens' Haunted House, used forensics techniques to solve a murder mystery, and built and raced balloon-powered cars. Teens and staff are excited to explore robotics in the near future with recently acquired Lego Mindstorms.
Wednesdays with Kathleen Fordyce (Librarian II): During the reporting period, teens enjoyed playing video games, as well as board games. Teens continued to work on J.D.'s haunted house program on Wednesday nights during the reporting period.
Thursdays with Regina Almanza (Library Assistant): At Teen Services, all October Thursdays consist of teens engaging in creative activities or enjoying a food craft inspired by most teens' favorite holiday: Halloween. Teens decorated ghost and spider cookies. They made Halloween-icon-shaped lollipops. Using Halloween trinkets, teens poured melted soap cubes into molds, added a trinket, dyes and fragrances to create unique soaps. On the big day itself, teens carved a pumpkin and had a low-key celebration. In November, teens participated in teen suggested program ideas: making caramel apples and dreamcatchers. After each activity, teens requested the use of a video game system. Teens competed against in a supportive manner, offering tips to each other when recognizing others might need them. Peer interaction and encouragement, creative expression and friendly competition rank high on Thursday nights. Pictures from select Thursday programs (as well as other fantastic teen programs around the system) are on Teen Services' Flickr page: http://www.flickr.com/210teenlibrary.
Tours and Groups
Teen Services staff at Central provided tours and catalog/database instruction for several school groups during the reporting period. The following schools received tours: KIPP University Prep School, Rainbow Hills Baptist School, The Henry Ford Academy Alameda School for Art + Design, Vale Middle School and Providence High School. Teachers from the Henry Ford Academy brought several classes in during several days over a period of a couple of weeks. Students from all of the schools that visited received library cards.
TEXANA / GENEALOGY
On October 15 local photography historian David Haynes gave a presentation to Igo's genealogy group on "Nineteenth Century Photography: Identification and Conservation." As usual, an interested group of eighteen participated.
Deborah Countess visited Maverick on October 19, giving a presentation to thirteen participants on how to begin their family history research. On November 5, Deborah introduced "FamilySearch.org" to twelve individuals in the Connect Space. Then, on November 14, she gave a "Beginning Genealogy" class to ten SAISD librarians aimed at use in the classroom.
On October 26, Sylvia Reyna hosted Maria Pfeiffer at the Eastside cemeteries as Maria led a tour of some of the cemeteries in the complex. Thirty persons joined the tour as they discussed the history of the area and some of those buried there.
The Bexarenos Genealogical and Historical Society met in the auditorium on November 2. Sergio and Melinda Iruegas spoke on "The Historic La Bahia Road from San Antonio to Goliad" to a full house.
Frank Faulkner discussed "Beginning Genealogy" with a group of fifteen at Northwest Vista College on November 8.
On November 9, Rudy Purificato, former historian at Brooks Air Force Base, talked to fifteen interested people about President Kennedy's visit to Brooks the day before he was shot in Dallas, in the auditorium.
Finally, Texana / Genealogy is hosting a display of five panels illustrating the life of Bernardo de Galvez. Born in Malaga, Spain, Galvez was responsible for supplying George Washington's troops with approximately ten thousand head of cattle for food from ranches from Texas. Galvez also assisted with other forms of support to the American cause during the American Revolution.
BRANCH LIBRARIES
BAZAN
Children's Librarian Esperanza Sonnen continues her outreach at two local SAISD elementary schools, doing book clubs for 4th and 5th graders. The students really enjoy her visit. She visits her Avance group reading stories and taking Board Books for teachers to read to their children. She also celebrated Halloween with a party. She had a variety of spooky crafts, spooky music and treats for the children. She had thirteen children and eight adults to attend.
To get everyone in the Halloween spirit, "Ghostbusters", the classic 1984 movie, was shown from 5-7pm on October 30. Twelve patrons, adults and children, attended; and, everyone had a good time laughing at the funny movie and nibbling on Halloween treats.
Bazan staff established book displays for El Dia de Muertos, Halloween, Native American Heritage month, National Food Day, and the Affordable Care Act. Tina Serna put together the display case to also commemorate Native American Heritage month with her artifacts. Pat Soderberg contributed items from the Mayan culture of Guatemala. Amanda Coronado and Jonathan Guerra helped Esperanza put together her display sign for the scary/Halloween book display of Juvenile titles.
The Bexar Agency on Aging offered Medicare enrollment assistance on October 26. COSA/SAC's Lunch and Learn series continues on Tuesdays and Thursdays in Bazan's meeting room; this semester a degree-earning class in Public Administration has been offered. The Academia Citizenship class continues to meet on Monday nights. Plans are underway for a holiday Open House on December 19, with a performance by the musical duo Selmers & Hymel. The Volunteer Income Tax Assistance program will offer tax help six days per week beginning in January.
BROOK HOLLOW
On November 5, Children's Librarian Rachael Barrera hosted a Play & Learn program entitled "Transportation Station: Beep-beep, honk-honk, chugga-chugga choo choo!" Many families attended and the kids had a great time with cars made out of boxes and other transportation-related props.
Therapy dogs have been visiting the branch on Friday afternoons for children to practice their early literacy skills by reading to the dogs and this has proven popular with kids of all ages.
Children's Librarian Rachael Barrera spoke on November 13 at the request of Coker Elementary Family Specialist to a group of primarily Spanish-speaking parents about the services that the public library could provide to them and their school-age children. Rachael focused on Live Homework Help and Learning Express Library, demonstrating each service to the parents. Several of the families she presented to visited the library and get library cards the very same day.
Tween Time is proving to be extremely popular and it is hard to keep the tweens to the allotted time. The tweens love playing with Legos and Straws & Connectors to build things.
Teen participation has increased to six teens and they have chosen their Teen Advisory Council, chosen a name for the teen area and posters to decorate the area. They are all very excited at being 'in charge' of programming and appreciate the fact these hours can be counted as volunteer hours.
Librarian Tapley Trudell taught a six-week course on "Fantasy: Exploring A Genre" for the Academy of Learning in Retirement (ALIR); part of the Northeast ISD Continuing Education Department. This is the second time she has been asked to teach a literature class for ALIR and the classes were very well attended and lauded by participants.
Two Native American Heritage Month programs were held this month to quite large audiences. The first on November 2 was a showing of the film A Thousand Roads followed by a discussion led by Isaac Cardenas, program director for American Indians of Texas at the Spanish Colonial Missions. Chief Ramon Vasquez y Sanchez of the Tap Pilam Coahuiltecan Nation also presented. On November 9, the Cherokee Township of San Antonio led taught participants to make corn husk dolls and bracelets, accompanying the craft tutorials with family stories and history.
CARVER
Vernon Mullens' gardening classes remained popular with senior citizens who regularly turn out for his bimonthly demonstrations and discussions. It is common to see student stroll away from the branch with plant samples that they have been encouraged to grow in their own yards.
Another popular feature at Carver is the monthly gathering of the Carver Page Tuners Book Club. The October selection was Freeman by Leonard Pitts who last year was awarded the prize for best fiction by the Black Caucus of the American Library Association. The discussion was led by Gladys Dixon.
The Friends of Carver Library hosted their annual fall book sale. Carver Friends President Antoinette V. Franklin pronounced the event a success. She is looking forward already to the spring book sale.
DL Grant performed children's outreach at the Artisan at Willow Springs Apartments, where he read stories to children and adults.
CODY
Beginner Readers Club members who met on October 15 for their monthly session were eager to share the recent book each one had read with the other members. After a couple of interactive homonym games, the children worked on their book reviews. Sheila Acosta, children's librarian, posted these reviews in the beginner reader section for others to see.
Ghost and bat mobiles, pumpkin ornaments, scary spiders, and two-dimensional Halloween cards kept the children busy at Cody's Spook-tacular Arts and Crafts event on October 16. Sheila reported that young toddlers to school-aged children were in attendance.
LEGO Club members formed teams on October 22 to compete for the BEST LEGO "scary creatures". First, second, third and fourth places were awarded, and there was one honorable mention. Sheila displayed all of the "scary LEGO creatures" for two weeks in the "new books" section.
Cody's annual Boo! parades for babies, toddlers and preschoolers were held on October 28 and 30 following the story times for each age group. Children had an opportunity to wear their favorite costumes, and parade through the library and children's area, receiving treats at the end. Group pictures were taken at the end of each parade.
Sheila reported that over 120 people attended the Family Fun Halloween Party on October 29. Children won prizes at two of the game stations- tossing the rings over the witch's hat, and throwing the eyeballs in the pumpkin's mouth. Children also enjoyed getting Halloween tattoos, creating Halloween ornaments, and posing with the monster at the photo op station. Candy treats were given to everyone who attended. Chabad Center for Children invited Sheila to visit three classes on October 31 and read books about fall, and the changes in nature, and how animals adapt to the cold. Ms. Sheila invited the children to visit the library for more books they can check out and take home.
On November 5, Sheila spoke to about 800 children when she visited Thornton Elementary. Sheila was there to promote the Young Pegasus Poetry Contest and to invite the children from first to fifth grades to enter the contest. After demonstrating how easy it is to enter, Sheila said that many of the children from each grade level appeared excited about it and told her they were going to try it.
Sheila said that pilgrims' hats, and Native American headdresses, as well as bookmarks, and corn magnets attracted many of the children to the Thanksgiving Arts and Crafts program on Nov.13. The Transportation Station Play and Learn event on November 15 was a big success. Over 18 families attended this event and interacted with their young children at the various stations. Sheila reported that this event was very well-received and parents expressed their appreciation for the hard work that went into planning such events.
Teen Leaders did tons of things this month. Two teen-curated listening parties happened at Cody Library. Picture a stacks of music CDs, a boombox, cups of hot chocolate, and people listening to and talking about music. Teen Leader Ariel selected music from the stacks for the first listening party, next other teens added to the mix during the second party. Ariel also made a playlist on the citywide blog, featuring many of her choice grunge selections. Teen Leaders also met twice to plan their next events. These meetings consist of facilitator and Teen Services Librarian David Gallin-Parisi carrying around a calendar of dates and a bunch of teen leaders deciding what will happen next at the library. Events on the calendar include, but are not limited to: Hallows Giving (a scary Thanksgiving), Teen Curated Classic Movie Night (The Outsiders), and a watercolors plus gift making holiday event. Finally Teen Leaders were profiled by the local neighborhood group Vance Jackson Views.
Tuesday's Teen Time switched up the schedule. Now teens can do what they will from 4:00 to 5:30 on Tuesdays. This time is different from the teen leaders' events in a couple of ways. First many teens from nearby schools come and go during the time to hang out and be with friends. Second many of the teens aren't quite old enough to be volunteers. That's not to say some overlapping could happen among the Teen Leaders and Tuesday Teen Time regulars. The Tuesday folks are hard at work on the Fall 2013 issue of the teen zine. The issue features photos, drawings, and music playlists made by teens and documenting teen programs at Cody Library.
Ariel's playlist: http://210teenlibrary.wordpress.com/2013/11/08/teen-created-playlist/ Vance Jackson Views profile: http://www.neighborhoodnews.com/CurrentNewsletters/VJ_CN.pdf
The Cody chapter of the Friends of the San Antonio Public Library (FOSAPL) held its Fall Book Sale the weekend of November 8. The Friends reported record-breaking earnings for the Preview Sale which kicked off the book sale and is open only to FOSAPL members.
COLLINS GARDEN
Halloween was a fun event at Collins Garden. Plenty of crafts and treats were available and both children and their parents had a good time.
Collins Garden is celebrating November with displays on cooking and Native American Heritage. Both adult and children's books are being featured and public interest has been considerable.
Librarian II, Cristiane Yamada-Lokensgard reports that a customer she helped with computer job access returned to the branch at a later date to let her know he had gotten a job and that he was very grateful for her assistance in using the computer for his search.
Collins Garden was an early voting site and an election On October 15 local photography historian David Haynes gave a presentation to Igo's genealogy group on "Nineteenth Century Photography: Identification and Conservation." As usual, an interested group of eighteen participated.
Deborah Countess visited Maverick on October 19, giving a presentation to thirteen participants on how to begin their family history research. On November 5, Ms Countess introduced "FamilySearch.org" to twelve individuals in the Connect Space. Then, on November 14, she gave a "Beginning Genealogy" class to ten SAISD librarians aimed at use in the classroom.
On October 26, Sylvia Reyna hosted Maria Pfeiffer at the Eastside cemeteries as Maria led a tour of some of the cemeteries in the complex. Thirty persons joined the tour as they discussed the history of the area and some of those buried there.
The Bexarenos Genealogical and Historical Society met in the auditorium on November 2. Sergio and Melinda Iruegas spoke on "The Historic La Bahia Road from San Antonio to Goliad" to a full house.
Frank Faulkner discussed "Beginning Genealogy" with a group of fifteen at Northwest Vista College on November 8.
On November 9, Rudy Purificato, former historian at Brooks Air Force Base, talked to fifteen interested people about President Kennedy's visit to Brooks the day before he was shot in Dallas, in the auditorium.
Finally, Texana/Genealogy is hosting a display of five panels illustrating the life of Bernardo de Galvez. Born in Malaga, Spain, Galvez was responsible for supplying George Washington's troops with approximately ten thousand head of cattle for food from ranches from Texas. Galvez also assisted with other forms of support to the American cause during the American Revolution.
CORTEZ
Volunteers from the Cognosante organization are providing customers with information about the Affordable Care Act and assisting them with their questions about the Marketplace.
Children's Librarian Connie Hejl designed an informative display about events and programs scheduled in celebration of Thanksgiving.
The book and media display featured Native American Heritage Month and Veterans Day.
Interim Branch Manager, Pamela Longoria, Librarian Jerry Madrigal, and Circulation Attendant, Charlotte Espinosa continued processing birth certificates and immunization records for sale at the library through the month of October.
Zombie Meet, hosted by Library Aide Madeline Vasquez, continues to be a popular monthly program.
Cortez continued to offer its weekly Teen Time program on Thursdays. Loyal patrons regularly attend this program, which offers teens a chance to play video games, use the Internet on laptops, participate in craft activities, and socialize with friends. The teenagers especially appreciate the snacks and refreshments provided by the Friends of Cortez Library. On average, around 9-12 teenagers attended this program. Library Assistant, Jo Ann Paredes, designed an eye catching display promoting Young Adult reading.
Cortez continues offering ESL weekly. The class remains popular. Attendance for Saturday ESL classes continues to steadily increase.
Cortez continued its regular slate of programming for children including offering two new popular monthly programs for children and teens. Children's librarian Connie Hejl hosted the LEGO club and the Teen Brony/Anime club.
FOREST HILLS
The Forest Hills Branch offered a number of relevant services to the community during the reporting period.
The Alamo Area Council of Governments (AACOG) provided services to assist patrons in their annual Medicare enrollment on October 18. This service was offered at a number of SAPL locations as part of a Live Well, Age Smart programming tract. A number of patrons were able to conveniently enroll for benefits at the Forest Hills location. The Forest Hills location was selected specifically for its large base of patrons who exist with Medicare assistance. Deadline for Medicare enrollment is December 7.
Volunteers from Cognosante have been stationed at the branch to provide assistance to patrons seeking help in signing up for healthcare plans through the Affordable Care Act. Interest in this service has gained momentum over the past few weeks. Laptops have been made available to patrons who wish to sign up online.
The SNAP mobile clinic used the Forest Hills parking lot to offer free and reduced-cost spay and neuter services on November 14.
On November 2, Children's Librarian Valerie Shelley hosted a Play and Learn session for children under 5. Toddlers were engaged in activities focused on developmental skills related to literacy including playing, singing, listening, reading, and writing. The Transportation theme was popular with the toddlers as they interacted with different types of vehicles in their activities.
Valerie continues to provide outreach to a number of schools and daycares in the area. Her visits to these locations serve to promote literacy in the community and foster relations with outside agencies. Many children who visit the library recognize her from her recent visit to their school or care center.
In other news, Mary Naylor has been named as chair of the Live Well, Age Smart committee. This committee designs programming specifically for seniors.
The Friends of Forest Hills held a successful book sale on November 16. The Friends have had success in generating revenue through the book sale cart which has allowed for more programming supported by their funds.
GREAT NORTHWEST
Adults
The Great Northwest Thursday Book Group met and discussed the Journal of Best Practices: A Memoir of Marriage, Asperger Syndrome, and One Man's Quest to be a Better Husband by David Finch.
Veronica Ramirez from City of San Antonio Metropolitan Health District contacted Cindy Moreno, Adult Services Librarian, to set up a six week workshop for Diabetes Self-Management Program starting in November. The participants will learn how to manage diabetes through healthy living.
Children's
Children's Story Times continue to bring large crowds and Cari Raley, our Children's Librarian, is actively finding activities and stories for the holiday season.
Events
Stephanie Vazquez, our Teen Librarian, attended two outreach events. She spoke to the PTA members of Northwest Crossing Elementary on November 12 and to Driggers Elementary PTA about the benefits of using live homework help.
Roberto Zapata, our Manager, attended an outreach event at NISD Military Family Resource Fair on November 12.
Other
Cindy Moreno participated in the Webjunction webinar for Grace Under Pressure.
Teens
Teen Read Week was celebrated with making caramel apples and watching a horror movie. The anime and gaming club met.
GUERRA
Library patrons, District 6 Council Representative Ray Lopez, Library Friends representatives Delores Huber and Lora Devlon Eckler, and representatives from Library Administration including Dale McNeill, Assistant Director for Public Services, Kate Gray, Branch Services Coordinator, Jessica Ramos, Executive Assistant, Caitlan Cowart, Community and Public Relations Manager, and Marcie Hernandez, Public Information Officer attended an Open House on October 29 showcasing the extreme makeover. Attendees were pleased with the new carpet and furniture and shelving reconfiguration. The Guerra Friends provided refreshments. The branch served as a polling site on November 5. On November 12, Leslie Burcheit with the Baptist House System presented a program about breast cancer. Anne Schuette, Library Assistant/Brook Hollow, has been temporarily assigned to Guerra through the end of the calendar year to help fill coverage needs.
Branch Manager Dexter Katzman attended COLS on October 24. He provided a tour to ten Cub Scouts and leaders on the evening of the Open House. He attended the Safety Security Work Group meeting on November 6 and hosted the Branch Managers meeting on November 7. On November 9, he joined Ignacio Albarracin, Digital Services Coordinator, for a panel held at Tobin about the Peace Corps. Dexter served in Honduras in the 1970's and Ignacio some 30 years later, also in Honduras. On November 14, he held the Thursday Evening Book Club; five participants discussed Julia by Anne Fortier. During the reporting period, he met with Luis Lopez with the Texas Workforce Commission whose office is near the branch to discuss ideas for collaboration.
During the reporting period, Children's Librarian Arlene Richardson-Gibbs planned and presented four Toddler Times and four Story Times--October 16, 23, 30 and November 6. With help from Library Assistant Leticia Guerra, she planned and presented one Tween Time, on October 22. On October 26, she hosted a Family Fun Halloween Party. Children came dressed in Halloween costumes and enjoyed books, crafts, activities, and treats with their parents. On October 18, Arlene delivered books and presented Story Times to 50 at The Greatest Gifts Daycare, and to 90 at Lackland Village Headstart. On October 25, she presented Story Times to 47 at Temple of Praise Early Childhood Development Center. On October 31, Arlene viewed two archived webinars from the Texas State Library and Archives Commission: Hacking, making and creating at the library-technology innovation and customer created content (David Lee King) and Early STEM Learning in Library Programs for young children (Christine E. McNew). Arlene participated in the District 2 Staff input program requirements meeting on November 2. On November 13, Arlene presented a special Play and Learn Program for children and their caregivers--Transportation Station. Mrs. Richardson-Gibbs installed two displays, one for children and one for adults, both highlighting Native American Heritage month.
On October 19, Stephen Jackson, Adult Services Librarian, volunteered for the graffiti wipeout at Normoyle Park. His contribution helped SAPL place second in terms of the number of departmental volunteers. On October 17 and 31 and November 7 and 14, he coordinated and supervised teen video games (Game-Ra). He screened Pacific Rim for the teens on October 24. The following Thursday, he moderated the Spanish-language book club (Club de Lectura). Participants discussed El bosque de los pigmeos (The Forest of the Pigmies) by Isabel Allende. On November 10, he staffed a booth at the
Sundance Owners Association fall festival. In addition to informing attendees about SAPL, he also gave a story time presentation and a puppet show.
IGO
Children's
In addition to regular early literacy programs, the Igo Branch children's librarian, Nancy Rodriguez, hosted the annual Halloween Party for community children and their caregivers. Visitors to the branch on Saturday, October 26, were trick-or-treated by princesses, witches, skeletons, ghouls, goblins, and super heroes at this two-hour program. Party attendees enjoyed not-too-scary Halloween favorites, games, crafts, and treats.
In keeping with San Antonio Public Library's commitment to early learning enrichment, preschoolers were invited to explore Math at Home activities at the November 6, session of Discovery Time. Following a group story time, young guests introduced to the concepts of graphing, measuring, and counting through activities like the Starburst Candy Graph, a Pom-Pom Toss Set Building game, and use nonstandard measurement tools to gain understanding of "how tall I am". The increasing attendance numbers for this offering continue to demonstrate our patrons' enthusiasm for enriching, educational children's programs for at their local branch libraries.
Teens
Teen Services Librarian, Barbara Kwiatkowski, at Igo presented five programs this month. The highlight was a Rick Riordan book release celebration, presented by the teens themselves for the Igo community. This multigenerational program was attended by 75 Rick Riordan fans.
The Teen Halloween Eve Party brought 48 teens. They enjoyed healthy snacks which they prepared themselves. "Ghost hunting" stories were presented by special guests Sixth Sense Paranormal. The teens will plan a costume showcase for next year's Teen Halloween party.
On November 10, Barbara hosted the live stream interview with the author of The Book Thief, Markus Zusak, and Brian Percival, the director of the film adaptation. Attendees enjoyed the experience and very lively discussion moderated by the Chairman of the Igo Teen Book Club.
Adults
On October 15, the Igo Genealogy Club hosted local photo historian David Haynes and his workshop 19th Century Photographs: Identification and Conservation. A lively group of 18 attendees were on hand to solve the mystery of their own family photos.
The Igo Creative Writing Series presented the second workshop in the series on October 19, entitled Genreflecting: What is Your Genre? 13 attendees worked in groups to hash out their genres and work further toward their ultimate goal of writing a novel.
In honor of Native American Heritage Month, Igo Library hosted The Cherokee Township of San Antonio on November 2. The group provided an informative cultural program which included discussion of family history and how the Cherokee honor language and culture in contemporary urban society, as well as making tribal crafts of corn husk dolls and friendship bracelets. 28 attendees got experience with making corn husk dolls and friendship bracelets and learned the Cherokee greeting "Osiyo!"
The Igo Elderberries met on November 4, 2013. Deborah Wagner, UTSA Anthropology Professor, gave a slide show presentation on her research on "Roadside Memorials: An Emerging Death-Ritual Complex". A lively discussion followed with the 21 attendees.
JOHNSTON
The Johnston Branch Library passed its first full month back in operation after having been shuttered for a lengthy renovation. Door count numbers indicate that more people are visiting the branch than before it closed. Patrons, both long-time who have returned as well as those new to the branch, have been very pleased with the library's new look.
Adult Services Librarian Monica Bustillo transferred from the Great Northwest Library to Johnston on November 4. Monica is a welcome addition to the Johnston staff, bringing energy and enthusiasm to her job. She attended numerous committee meetings during the reporting period.
Public Services Manager Raymond Villarreal closed out an astounding 43 years with the library system by serving a brief stint as interim manager at Johnston. Branch staff threw a party and luncheon for him on Friday, November 8, his last working day with the system. Raymond's expertise, professionalism, and kindness will be missed by those who knew and worked with him.
Now that the Johnston Library's interior has been made over, the branch's parking lot is next. Extensive renovation of the lot has begun; it will include both a resurfacing of the existing lot as well as adding new spaces along the south side of the building.
LANDA
Over 700 children participated in Landa programs this month! In addition to the six regular programs per week, there were two special events, one group of nearly 90 preschool visitors and a monthly outreach. Landa hosted a successful Halloween party on October 30 through the combined efforts of the children's librarian, Clair Larkin, teen liaison, Beatrice Canales and her fantastic group of teen volunteers. Just over 100, mostly costumed, attendees participated in making crafts, playing carnival-type games and enjoying some sweet treats. One week later, on November 8, Clair hosted the Transportation Station Play & Learn outside the Log Cabin. There were cars, blocks and play dough to make license plates, graphs to chart our favorite big rig color and a car wash to crawl through, plus books, lots of books. Fifty-five caregivers and children were thrilled with the stations and with being outside. Higgs, Carter, King Charter School's nearly 90 preschoolers visited a short while later and listened to stories in the Log Cabin, toured the library and played on the playground. Clair is also busy continuing her professional development through a series of early literacy webinars, including using STEM in early literacy programs. Staff is now turning their attention to readying displays and gathering books for the rapidly approaching holiday season.
Landa Teens continue to chart new territories for each other and the community. The Landa Teen Library Leadership Council (TLLC) is moving forward with its Teen Advocacy efforts. On November 10 most of the teens entered a Vine video, Animoto video and pictures depicting a life "Without Libraries" for the Young Adult Library Services Association (YALSA) Teen Advocacy campaign. The International Teen blogger, Ale, created a blog post for this program at this link: http://210teenlibrary.wordpress.com/2013/11/12/yalsa-details-and-teen-advocacy/.
On October 23 the Cool Teens Club hosted a "Pretty in Pink" Breast Cancer Awareness event that included a survivor story from Lucie Arteaga. The idea for the program originated with Kaleigh, a Teen Council member. She created a blog post http://210teenlibrary.wordpress.com/2013/10/29/pretty-in-pinkbreast-cancer-awareness-event-at-landa-library-cool-teens-club/ that included a reply from Lucie who said: "Having done several speaking engagements in October, this one by far was my favorite--a truly respectful and amazing group of people."
On October 20 The International Teen Club had a special Skype talk and interview with a teen council member, Rubi, in Japan. Teen blogger, Ale, had this blog post interview http://210teenlibrary.wordpress.com/2013/10/27/interview-with-rubi-from-japan/ on the SAPL Facebook page.
The Teen Tutoring for Young Children project will debut science experiment demonstrations in the next few weeks. During this reporting period, the teens chose what experiments to do and the calendar of events. On October 19 Bea Canales, library assistant, participated in the worldwide, virtual conference, Library 2.013 Conference. She "attended" the "Ideas for Internationalizing Your Library" session. Bea was recently selected as one of SAPL's recognized employees for her outstanding service to the community.
The Adult Programs at Landa are thriving. The Seniors Mystery Book Club read Susan Wittig Albert's Spanish Dagger, a who-dun-it set in Central Texas, home of the author. The monthly Silver Screens Classic Movies featured All Quiet on the Western Front, based on the novel by Erich Maria Remarque. This Academy Award Winner (Best Picture, Best Director in 1930) tells the viewpoint of a German soldier during the waning months of World War I. It was selected to coincide with the Winds and Words of War currently on display at Central Library and in conjunction with Armistice Day, November 18, now observed as Veteran's Day.
Adult Librarian Karen Sebesta continues to provide programming at the DeMatel Nursing Home at the Village of the Incarnate Word. She has now opened a relationship with the Chandler Campus of the Morningside Ministries to have a monthly program at their residence facility. The first program was a book talk in early November.
LAS PALMAS
Las Palmas staff members spent the month of October training to process Birth Certificate and Vital Records applications, in anticipation of inaugurating this important community service on November 4. As of November 15, staff have issued a total of 46 Birth Certificates and 21 Immunization Records. We are fortunate to have on staff Ms. Melissa Perez, former Las Palmas Link Center staff member, whose expertise has assisted staff at all Vital Records libraries.
Librarian III Rebecca Alvarez was on hand on November 16 as District 5 Councilwoman Ms. Shirley Gonzales held an Open House for her community, welcoming them to her district office in the Las Palmas Shopping Center. Becky is also presenting the Adult Book Club; the title for November is The Hypnotist's Love Story, by Liane Moriarty.
Children's Librarian Gina Brudi continues her outreach to Madonna, Mirasol, and Burleson day care centers to present story times and leave book collections. This month, in addition to her classroom visits, she met with parents at the Burleson center and with Winston Elementary School parents, speaking to the importance of early literacy. Her Family Fun Time and Tween Time programs continue to draw a small but loyal group.
The three most attended events presented for Teens by Teen Services Librarian I Sylvia Pachecano were the Mutual UFO Network program for Teen Read Week, and the two programs (to create decorations and then construct an altar) for Día de Los Muertos.
MAVERICK
During this time period, Maverick was once again both an early voting and Election Day site. Early voting was from October 21 to November 1 and Election Day was on November 5. Thank you to all the staff who came in early and stayed late.
Training was a priority this month for many at Maverick. Branch Manager, Jef Martin attended Holdings Editor training. Children's Librarian, Amy Roberts, took two webinars via the Texas State Library dealing with Early Literacy. A large number of Maverick staff attended training on Microsoft Office 2010 on October 8. Tricia Masterson, Andrea Silva, and Jennifer Jennings, colleagues from Central Library conducted the training. Also, Librarian II Ben Longoria attended training for volunteer coordinators on November 13.
Programming this month included programs for many ages. On October 17, Ms. Roberts conducted a tour and storytime for 8 2 nd grade Cub Scouts and their parents. Frank Faulkner, from Texana at Central, conducted a genealogy program for 3 patrons on October 19. Teen liaison, Audrey McPherson, conducted a pumpkin painting program on October 22. Finally, another Gerald and Piggie puppet show took place on Saturday November 9. Twenty-one lively children and adults enjoyed a craft, story, and then the show itself. Thanks to Library Aides Raina Oster, Elizabeth Santos, and Sarah Borque for creating and doing the program.
MCCRELESS
Five Story Times, two Play & Learn and two Family Fun events were held at McCreless during this time period.
Preschoolers learned about animal behaviors, tree cycles, and fall harvests during Story Time. They made autumn pictures and paper bag puppets with a variety of materials and enjoyed playing with blocks, letters and other educational toys.
Children and Caregivers also had the opportunity to attend two Play & Learn events. In conjunction with Little Red Wagon, McCreless library presented a Hats and Tools Play & Learn session. Kids and adults had a great time role-playing and finding out about different jobs. At the "Transportation Station," children built a transportation system, created a traffic light, and practiced counting, sorting and graphing, among other activities.
Due to the use of the meeting room for elections the Teens were bumped out into the public areas and had a great time with board games instead of electronic games this month. They were so enthusiastic about the experience they have asked for board games even when the meeting room is available. The attendance was consistently high through this reporting period.
MEMORIAL
The families of the Memorial branch library were pleasantly entertained by Donnabelle the Clown who presented magic tricks and emphasized the importance of reading. Three HeadStart classes of Cardenas Early Childhood Education Center listened to a bilingual story about the Day of the Dead, and books in English by Eric Carle, author of The Very Hungry Caterpillar.
The children's Halloween celebration was enjoyed by many in costumes with not-too-scary tricks, treats and crafts. A big thank you to the Memorial Amigos, Friends of the Memorial Branch, for their contribution to purchase additional treats for our wonderful and grateful attendees. Children's Librarian, Trina Smith, was invited to attend the HeadStart Fair at Cardenas Early Childhood Center where over 200 families enjoyed games, refreshments, face-painting, and received information about library services, resources, and programs.
The Pre-K students of Madison Elementary School listened to fiction and non-fiction stories for their weekly unit about man-made giants such as the Statue of Liberty, skyscrapers, and other wonders of the world. Families and caretakers of children five years old and younger enjoyed a special Play and Learn program titled, Transportation Station, by listening to stories, playing games and interacting with hands-on activities about cars, buses, planes, trains, and boats. Story time attendees enjoyed listening to stories, singing songs, and making a craft about dance, mud, and pigs.
An exhibit featuring popular quilts by nationally recognized quilter, Alicia Avila, was on display in October and November. Along with other quilters, her works were part of a traveling exhibit in China and have also been featured on the cover of popular quilting magazines. The original designs have vibrant colors, highlight Hispanic themes, and are skillfully crafted. The highlight of the exhibit was a quilt dedicated to a young Marine veteran who tragically died shortly after returning home from his tour in Afghanistan. The exhibit will run through December.
On October 17, Memorial hosted the Sixth Sense Paranormal ghost investigators who presented real life stories about local ghost phenomenon in San Antonio. At the close of the presentation, attendees had the opportunity to share their own experiences with ghostly apparitions. The group is a regular visitor at the branch during the Halloween season.
A Day of the Dead embroidery class and beginner embroidery class was held on October 22. The designs for this event featured Day of Dead icons, such as dancing skeletons, candles and related Hispanic themes.
Also in celebration of The Day of the Dead, an altar was erected by Abril Lynn Garcia and her family. The traditional altar honored and celebrated family members who had passed. The community was encouraged to add their own pictures and remembrances of their loved ones.
The "Things to Know before You Go" program held on October 24 featured a non-profit organization, the Funeral Alliance of San Antonio, who presented practical information on the details of planning the last passage of life. While the topic may be taboo, it offered valuable information that patrons need when faced with a death in the family or of a loved one.
MISSION
English as a Second Language classes, Citizenship classes, early voting, Open Mic Night, and a weekly Embroidery & Craft Group met at the library this month. On October 15 SAWS offered patrons tips for getting discounts on their water bills.
District 3 Councilwoman Rebecca Viagran hosted a meeting for young leaders at Mission. Approximately 25 area students were invited to meet and participate in a workshop to gain leadership skills. The councilwoman provided opening remarks before the half day seminar.
Mission celebrated Native American Heritage Month by inviting local Native-American community members to share their stories. The interviews provide a powerful look at the lives and personal histories of those who live in the area. The recorded pieces will be archived at the Mission Library and in the near future will be offered to the public. The library hopes to offer more opportunities for community members to share their stories.
Several outreach opportunities presented themselves this month. On October 23 Librarian Oscar Gonzalez provided outreach during Red Ribbon Week with the Bexar County Juvenile Probation Department.
On Friday, November 1, TWU library student, Cindy Cruz, and Teen Librarian Sarah Weinblatt spoke to 75 8 th graders at Mission Academy regarding library services. The students were also given the opportunity to sign up for library cards. Ms. Cruz and Ms. Weinblatt also provided outreach at Career Fair at the Frank Tejeda Academy. There they spoke with approximately 100 students and faculty. Their efforts resulted in 50 new library card sign ups.
One of the highlights of the month for Mission Children's Services was the Halloween Party on October 31st. The weather was beautiful and Mission's lovely patio area was the perfect setting for games, crafts and snacks. Many enthusiastic families enjoyed the indoor and outdoor festivities. The children's programs are thriving, with families who are "regulars" and many new families this fall.
Installation of the Mission Library Donor Tree was completed on November 14. The tree features leaves, bells, movie reels and birds engraved with the names of Mission's generous sponsors.
PAN AMERICAN
Things are going well at the branch. The number of visitors has increased even though children and teens are back to school.
PARMAN
Much of October was spent in preparation of Parman's annual Spooky Walk and Halloween Party. This year more than 1,000 people took the Spooky Walk (an outdoor haunted house) which featured Dracula, a Jane Austen zombie tearoom, and Arkham's Asylum (including the Joker, Catwoman, Poison Ivy, Harley Quinn, the Scarecrow, and the Penguin). The Friends of Parman provided much of the decorations, and Mr. Parman donated some of the building material and generators for the evening. A DJ played music for the Halloween Party which included stories, crafts, snacks, and games. Several SAPL staff from other branches helped at the event including Rebekah Corley (Tobin), Robin Alcorta (Igo),
Barbara Kwiatkowski (Igo), and Luanne Bloom (Cody). The entire staff helped plan the event and worked tirelessly to make sure every detail was perfect.
Children's Librarian Carrie Vance and Library Assistant Christina Hess represented Parman at the Paint the Parkway Pink race in Stone Oak. They hosted several story times and made numerous new cards. Assistant Manager Tim Johnson and Library Assistant Tyler Lutz represented SAPL at the ZombieCon Convention held in San Antonio.
Parman Library partnered with the McNay Museum for their family fun day on November 18 th ,a free event where families could enjoy the new exhibit of movie costumes, play dress up, make crafts, and play games. Shuttle service was provided to and from the museum by the McNay. To advertise the event, Branch Manager Haley Holmes created a book and dvd display on costumes including a life size replica of a pirate costume drawing attention to the Johnny Depp Pirates of the Caribbean costume currently at the museum.
The Friends of the Parman Library held their annual book sale in November. The Alamo Area Woodcarvers donated several pieces to aid in raising money for the branch. The Friends group has provided the branch with funds to hold all of the major events during the year as well as materials for weekly programs.
Assistant Manager Tim Johnson hosted a Risk Tournament in honor of International Games Day. Eleven participants battled for a trophy inscribed "Supreme Overlord of the Parman Library."
Children's Librarian Carrie Vance has been asked to join the Campus Improvement Committee at Stone Oak Elementary and attended her first meeting in October.
PRUITT
October events at the Molly Pruitt Library were fun filled. The library was host to the Human Rights Campaign's First Annual Trunk or Treat on October 26. 150 attendees played games, ate heartily, and enjoyed socializing. Children's librarian Cynthia Saenz planned a Book or Treat event. Children listened to stories, made crafts and enjoyed a treat on Halloween.
Teen librarian Rae Downen enlisted the help of teens to plan craft activities such as glitter disco balls, Gatsby style headbands, and zombie felt creatures. Outreach was conducted at East Terrell Hills Elementary and Ed White Middle School.
Chess master Alex Weinberg continues to conduct lessons during the Thursday Family Chess Nights. Teens from the Team Chess have participated in Rackspace's first Chess Tournament held at Rackspace on October 26.
SAN PEDRO
San Pedro Branch Library's Children's Librarian Betsy Dalton presented monthly story times to children at the VIA Child Development Center, Educare Child Care Center, Monte Vista Montessori and a kindergarten class at Bonham Academy. Fifteen books are also delivered to each child care class for their use during the month.
During this period, Betsy facilitated monthly book discussions for fourth-graders at Montevista Montessori and for fourth- and fifth-graders at Hawthorne Academy. The book clubs have 12 members each. The book clubs meet during the students' lunch period in the school library where the books read the previous month are discussed.
Monte Vista Montessori brings 25 students on a biweekly basis to the library. These students range in age from 8 to 13, grades 2 through 8. When the classes come to the library, the Children's Librarian spends approximately 30 minutes with the students, suggesting books and helping them navigate the Dewey Decimal system, place holds, use the catalog and databases, and locate materials.
The Children's Librarian presents a weekly Kids Time for Kindergarten through third grade students.
On October 19, Betsy staffed a table at a Community Health Fair held at Wonderland of America. She spoke with more than 200 people and handed out various library materials.
Monty Holcomb, Librarian I and teen liaison, hosted five informal Tuesday chess events. Mr. Holcomb also held five Tuesday teen events in the afternoon using the Wii.
SEMMES
The Semmes Branch Library hosted Early Voting from October 21 through November 1. Voter turnout was fairly light for this election, but Semmes was one of the top five voting sites.
Because Early Voting was taking place in the meeting room, all story times and other library programming took place out in the main part of the library. This was good advertising for story times, since some patrons did not realize the library offered these weekly programs. Other patrons enjoyed hearing the children singing and participating in the programs.
On November 6, the Friends of the Semmes Branch Library held their quarterly meeting. The Friends decided on the days they will set up and take down the December holiday decorations. They also approved buying staff appreciation gift cards for the holidays. The group also voted to buy a new microwave oven and microphone for the PA system at the branch.
Dr. Jennifer Mathews from Trinity University gave a presentation at the branch on Thursday, November 7. Her topic was "In the Wild, Wild West of Mexico: Chicle, Rum and Sugar." Eight people attended the presentation.
THOUSAND OAKS
Book Groups
On October 17, the Thousand Oaks Thursday Book Group had an interesting discussion about their latest read, Headhunters by Norwegian crime author Jo Nesbo. Though reactions to the book were mixed, the group appreciated the detailed sense of place in the novel, and the intricate plotting.
On November 4, the Monday Evening Book Group discussed The Secret Garden by Frances Hodgson Burnett. Overall the group members enjoyed this classic of English children's literature, as it presented a change of pace from past selections. The members especially enjoyed the way the struggle between common sense and the accepted wisdom of the times was handled, and were in agreement with the notion that this is a true classic of literature.
Teen Time
A busy month for Teen Time, as new Teen Time leader Rhonda Woolhouse continues to wow the teens with exciting programs and fun activities. The always popular Eclectic Electric program was held on November 13, with Teen Library Assistant J.D. Elizondo teaching teens how to play the guitar. The showing of the feature film The Hunger Games was also a hit with the teens, as they all get geared up for Catching Fire when it opens on November 22.
Special Events
Halloween Party
With over 150 participants in attendance, Thousand Oaks once again had an incredibly successful and immensely popular Halloween Party on October 31. The staff had loads to offer the kids: two face painting stations (a huge thanks to Circulation Attendant Brenda Ramos, whose daughter and a friend made this possible), three spooky crafts, a bean bag toss game, a haunted meeting room, and multiple trick or treat stations with yummy candy available for the kids. Children's Librarian Leslie Elsasser completed a massive amount of work to make the party a reality, as did Librarian II Jorge Chavez, who created the haunted room. Overall, it was a good event for the branch and the Thousand Oaks community.
Voting
Thousand Oaks was an official site for General Election on November 5. The branch was open from 7:00 am until 7:00 pm, with a steady number of individuals performing their civic duty and voting at the branch. Like all ancillary activities the branch hosts, staff members provided assistance and information for all who visited, and encouraged folks to stay and check out the services the library provides.
Outreach/Programs
Branch Manager Troy Hoyles, along with staff members from the Tobin @ Oakwell branch, hosted a Thanksgiving-themed Trivia Time at the NE Senior Center on November 12. With over 30 people participants joining in, it was a good time for all, and everyone received a chocolate prize afterwards no matter how many questions their team got right or wrong.
The branch was host to a Medicare Annual Enrollment assistance program on November 9, which drew in a fair number of individuals seeking help with Medicare. Part of a larger system-wide effort, the branch was pleased to be able to offer this program to the members of the Thousand Oaks area.
Training
On November 13, Troy Hoyles attended an Advanced Overdrive Training, which qualifies him to teach EReader U clinics. It was a nice refresher session, and allowed Troy to continue to learn about the latest aspects of Overdrive and eReaders.
Displays
A Doctor Who display for an upcoming Doctor Who 50 th Anniversary Celebration later in November was created by Librarian I Rhonda Woolhouse at the beginning of the month. Featuring a miniature, but extremely accurate, TARDIS time machine, and everything Doctor Who the library has to offer, library users are getting ready for the celebration. The branch also continues to feature Express titles front and center, as the extended check-out period for books continues to introduce the special popular collection to patrons looking for titles that normally feature long hold lists.
TOBIN
Tobin Library hosted Early Voting October 21 through November 1, in addition to Election Day on November 5. On October 26, The Order of Granaderos y Damas de Galvez presented a Revolutionary War Reenactment, in full costume with music. The local group talked about their impressive display of Colonial coins, toys and artifacts as well.
Librarian Keri Mozygemba has led the Lifelong Learning Committee's coordination of John F. Kennedy Memorial events system wide for SAPL. Keri compiled a discussion group of returning Peace Corp members to talk at Tobin about their experience with the humanitarian group that JFK established.
Ariel Cummins, Children's Librarian continues with original toddler and family programming with themes of space, monsters and spooky science this period. The Come and Go crafts on Saturdays are gaining popularity with kids and families as well. Teen Librarian, Betsey Leitko was able to accommodate the teens' request for a Halloween fall dance by holding it early on October 17 before voting. Over 50 kids enjoyed lively music with a local teen DJ. In addition, nearly a dozen teen volunteers showed up after school on November 17 to help the Tobin Friends set up for the upcoming book sale. The Tobin Friends' President remarked this was one of the best and easiest set ups.
Keri has diligently trained the library aides and utilized the re-vamped Digital Library Assistant to scan half the adult non-fiction collection for accuracy and problem items. Recent displays include Vegetarian Month, Breast Cancer Awareness, and Get in the Spooky Spirit by Keri. B. Leitko featured "Tales of Fright" in the Young Adult area and Library Assistant, Elvia Ramos, highlighted Spanish materials for American Diabetes Month. The latest book club selections are Every Last One by Anna Quindlen and Greg Andrew Hurwitz's You're Next as these groups continue with steady interest.
Ariel initiated monthly outreach at YMCA's Preschool Children's Greenhouse where she presents a story time to three classes. Ariel continues regular monthly outreach at three other schools and day cares as well. Keri and Library Assistant, Terry Verner, held a successful outreach at the Northeast Senior Center by playing Trivia Time with various categories to 42 seniors. On October 17, Keri and Library Assistant, E. Ramos, helped market library services to 85 seniors at Alamo Heights United Methodist Church's senior fair and luncheon. Library Aide, Rebekah Corley, dressed up and helped with Parman Library's Spooky Walk for Halloween.
WESTFALL
Westfall Branch Library participated in National Food Day by putting up a decorative poster designed by Library Aide Ashley Cortinez and by handing out bookmarks. Food Day is a nationwide celebration and a movement for healthy, affordable, and sustainable food. Bookmarks of public domain recipes were given out.
Children's Librarian Imelda Merino hosted five Story Times and five Kids Times that explored the world of night animals and celebrated Halloween. Mrs. Merino also enjoyed sharing stories with the always lively and appreciative Career Point Institute Daycare children on two Fridays. The total number in attendance for this group was 30. The children's librarian also visited Woodlawn Elementary November 4 to share stories about Landforms and Make-Believe with one of the PreK classes. The Discovery School firstgraders also visited Westfall to hear stories about birds and to check out books.
On October 23, teens, led by Librarian I Karen Sagun had fun making delicious Dirt Cake from instant pudding, Oreo cookie crumbs, and gummy worms. On October 30, they watched a screening of the supernatural comedy Ghostbusters, and also tried making some "Horrorgami" -- Halloween-themed origami, including bats and ghosts. Teens had so much fun with the origami they decided to keep practicing their paper-folding skills. On November 6, they practiced making a Sonobe cube, a six-part modular origami creation. They also tried out some more complex origami animals, including ducks, cranes, and other birds. On November 13, it was time for more cooking. Teens made their own individual crisp rice cereal treats in the microwave and were able to customize them by experimenting with different cereals and mix-ins.
|
1 Corinthians 10:1-12 Moreover, brethren, I do not want you to be unaware that all our fathers were under the cloud, all passed through the sea, all were baptized into Moses in the cloud and in the sea, all ate 2 3 the same spiritual food, and all drank the same spiritual drink. For they 4 drank of that spiritual Rock that followed them, and that Rock was Christ. But with most of them God was not well pleased, for their bodies were 5 scattered in the wilderness. Now these things became our examples, 6 to the intent that we should not lust after evil things as they also lusted. 7 And do not become idolaters as were some of them. As it is written, "The people sat down to eat and drink, and rose up to play." Nor let us 8 commit sexual immorality, as some of them did, and in one day twentythree thousand fell; nor let us tempt Christ, as some of them also 9 tempted, and were destroyed by serpents; nor complain, as some of 10 them also complained, and were destroyed by the destroyer. Now all 11 these things happened to them as examples, and they were written for our admonition, upon whom the ends of the ages have come. 12 Therefore let him who thinks he stands take heed lest he fall.
Christ is our Rock!
What is evil? That is a question that this text should make us all ask. What did the Children of Israel do that so displeased God that He killed them off in the desert. What is so evil that God would kill us, leaving our souls to hell and not enter the promised land that Christ won for us on the Cross?
Well let's look at the examples God provides us. What do they all have in common? In all of them, Israel forsook God. The first example in verse 7 comes from the incident with the golden calf. The people couldn't patiently wait for God to send Moses back down the mountain so they made a calf of gold and proclaimed "this is our god that brought us out of Egypt" and had a drunken party. They forsook the only true God who had delivered them with many mighty miracles out of Egypt because they were kind of scared and impatient? That is evil!
The next example in verse 8 comes from the incident with the women of Moab. Remember several months ago we looked at Balak king of Moab hiring Balaam to curse Israel and advise him how to defeat them. Finally Balaam told Balak that he couldn't get God to abandon His people, Balak would have to get God's people to abandon God. So the women of Moab came sashaying out and invited the people of Isreal to join them in the worship of a Canaanite fertility goddess. In their lust for some passing moments of pleasure, Israel forsook their God again. God would give them eternal peace and joy and they forsook that and Him for a few moments of sinful pleasure?! That is evil!
The next two examples in verses 9 and 10 are two of numerous times that the Israelites complained about the food or the water or Moses or the meat they had in Egypt. Do you realize how evil complaining is? Them complaining about God and Moses
wasn't like us being not satisfied with our government which messes up all the time and wastes money etc... Their complaining was sheer evil. It was unbelief and distrust of God almighty. What reason had God ever given them to doubt that He would provide for them? None! He had graciously and amazingly provided them good food and plenty of it and water enough for all of them, 4 million some in a desert where there were no farms, no supermarkets, and springs, were few and far between. There wasn't enough food and water in that desert to keep a company of 400 people alive together and yet God had provided them food and water every day, and caused their sandals and clothes to not wear out for over 40 years. Their complaining was blasphemy. It was evil so great I can't think of a word to describe it. It was forsaking their God.
What is evil? What is the conclusion God wants us to come to after studying this text? We should conclude to ourselves "What is evil? "I am evil" . Yes, adultery is evil and drunken debauchery is evil, but it is men, it is us who take the wonderful beautiful thing that is the attraction between men and women and twist and befoul it as Hebrews 13:4 says " Marriage is honorable among all, and the bed undefiled; but fornicators and adulterers God will judge." It is men who take wine and beer, which are delicious and should be enjoyed and used with thanks to God, and uses them to excess so that people end up spending all their money, become homeless, participate in drunk bar fights where a father gets knifed and killed, or driving home impaired and running down a child in the street. Every day on average, 28 people die from drunk driving. It's not God who does that. It is man because we are evil and think somehow it is fun or funny to get hammered or because we can't face our problems or the knowledge of our evil so we look to the bottle to quiet that whispering voice.
What is evil? I am evil. At its heart, complaining and discontent with the things you have is unbelief and mistrust that God your heavenly father is doing what is right for you. Worrying is mistrust that God will provide all that you need for body and life. And yet how often do we worry and complain? God calls a
spade a spade and worry and complaining from God's children is evil.
What is evil? I am evil. We too have turned to idols of gold. The desire to feel secure and safe is natural and fine, but we evil people when we feel impatient or a little afraid or that God isn't doing things the way we would, just like the Children of Israel, turn from the Lord our God who delivered us from slavery to sin and Satan and turn to gold (money), or ourselves or other sinful people to feel safe and secure. Once again, what a slap to God's face! What evil we are!
Why is the Holy Spirit here so adamant in crushing us? He is systematically destroying your self-confidence because when it comes to spiritual things, self-confidence is a death trap. It will leave you dead in the desert. It will leave you out of heaven. He who thinks His stand beware lest you fall.
We should never say to ourselves "I have been baptized I don't need to go to church". " I don't need to have personal devotions at home". "I don't need other Christians correcting me or telling me what to do". That is exactly what Israel thought and did. The Holy Spirit points out here that crossing through the Red Sea was their equivalent of baptism. They rightly looked upon it as proof of their salvation and that God would save them from all adversaries till He got them to the promised land. What did Israel do with that knowledge? In their great evil they used that as an excuse to forsake the Lord. "God delivered us from Egypt. He is going to stick with us even if we do nothing but complain and rebel against him." God showed them and us that is not true.
We should never say to ourselves "I go to church once a week, I will be fine." "my marriage is just fine I don't need counseling from God's Word"."I don't need direction from God's Word to raise my children." "I have forgiveness in Christ I am going to go live in sin for awhile because I want to, forgiveness in Christ will still be there. I will go to the Lord's Supper and it will all be good." That is pretty much exactly what Israel, who died in the desert, thought. The Holy Spirit makes the comparison here between the Lord's Supper and the cloud that went before them at
day to shield them from the burning sun. Israel took God's Presence in that cloud for granted and thought "yeah I am going to go join myself to these Moab harlots and worship a nonexistent Canaanite fertility goddess because it sounds fun and God will still be there to shield me from the harsh sun when I get back". They kept forsaking God, neglecting God, and testing His grace and eventually God forsook them. Can you think of anything more evil than testing the patient mercy and love of God? That is like a son who knows his parents love him, killing his brother to see if they still love him after killing his brother. Then seeing they do so killing another brother to see if we can get away with that too. That is what we are doing when we knowingly do what is wrong. That kind of evil dwells in our hearts. Have no confidence in yourself to become a believer or to stay a believer.
Perhaps you are good with music or math? Good, have self confidence in your ability to sing or do equations. Do not have self-confidence in your mind, your heart, your hands when it comes to morality, to spiritual things, to salvation. That is what
God is telling us today, because He loves you and does not want you dead in the desert outside the promised land.
If we can't rely on ourselves or things of this world for salvation, what can you stand on? You can stand on Christ! There is only one solid ground. That solid rock is Christ. God wants us to know this too.
The Jews had this legend that the first rock that Moses struck and from which water poured for Israel to drink, rolled around behind Israel providing them water the whole way through the desert. You read through the Exodus account and you see that wasn't the case. But Paul uses that legend to let them know that while a physical rock did not follow them the whole way, a spiritual one did. A Rock was always there for them to stand on and protect them from the burning sun. A Rock was always there to provide them with water to drink from day after day and that rock was Christ.
It is not sin that condemns us to hell. No, scripture assures us it is not. Since Christ died for my sin, for all sin, it is not sin that
condemns us to hell. It is unbelief that condemns a person to hell because unbelief rejects the forgiveness of sins and salvation Christ earned on the cross. So do we go sin freely since our sin is forgiven? Can we be negligent with our God given faith? That is exactly what the Holy Spirit is warning against here. That is what the Israelites, that died in the desert, did in the evilness of their hearts and had forsaken God and were forsaken by Him.
We have that same evil heart in our flesh. We should have no confidence in ourselves to come to faith or stay in the faith! So what should we have confidence in? In Christ, He follows us, always, continually. His death on the cross continually shades us from the harsh condemnation of the law. His blood shed on the altar of eternal justice washes away our sin the minute it is committed. It is forgiven, not it will be forgiven, or well it may be forgiven. It is forgiven. His Gospel keeps us under the Rock and the Cloud where we do not die but live. His Gospel prevents our evil heart from leading us astray. What joy this knowledge brings us. What peace and safety we possess when we dwell in the shadow of the cross under the flowing spring of the Rock of Christ. Have absolute confidence in Him to get you through the desert to the promised land. Philippians 1:6 "being confident of this very thing, that He who has begun a good work in you will complete it until the day of Jesus Christ; "
You have a rock upon which to stand. By it, by Him, our sin is continually forgiven. By Him, our faith is sustained. By Him, our evil hearts our continually conquered so that we aren't led astray. By Him, you will come into the promised land! Amen
Pastor Aaron Ude
Good Shepherd Lutheran Church
|
merlin: Mixed effects regression for linear, non-linear and user-defined models
Stata Nordic and Baltic Meeting Oslo, 12th September 2018
Michael J. Crowther
Biostatistics Research Group, Department of Health Sciences, University of Leicester, UK, firstname.lastname@example.org
@Crowther MJ Funding: MRC (MR/P015433/1)
merlin
12th September 2018
Michael J. Crowther
1 / 43
the plan
* the motivation
* the past
* the goal
* the example
* the family
* the surprise (at least it was last week)
* the future
Michael J. Crowther merlin
12th September 2018
2 / 43
the motivation
* More data → more questions
* need for appropriate statistical modelling techniques, and implementations
Michael J. Crowther merlin
12th September 2018
3 / 43
the motivation
* More data → more questions
* need for appropriate statistical modelling techniques, and implementations
* Growth in access to EHR
* biomarkers < patients < GP practice area < geographical regions...
Michael J. Crowther merlin
12th September 2018
the future
3 / 43
the motivation
* More data → more questions
* need for appropriate statistical modelling techniques, and implementations
* Growth in access to EHR
* biomarkers < patients < GP practice area < geographical regions...
* The standard challenges
* time-dependent effects, non-linear covariate effects
Michael J. Crowther merlin
12th September 2018
3 / 43
the motivation
* More data → more questions
* need for appropriate statistical modelling techniques, and implementations
* Growth in access to EHR
* biomarkers < patients < GP practice area < geographical regions...
* The standard challenges
* time-dependent effects, non-linear covariate effects
* The neglected challenges
* Within-patient variability
* Informative observations times
Michael J. Crowther merlin
12th September 2018
3 / 43
the motivation
* More data → more questions
* need for appropriate statistical modelling techniques, and implementations
* Growth in access to EHR
* biomarkers < patients < GP practice area < geographical regions...
* The standard challenges
* time-dependent effects, non-linear covariate effects
* The neglected challenges
* Within-patient variability
* Informative observations times
We need modelling frameworks that can accommodate a lot of different things
Michael J. Crowther merlin
12th September 2018
3 / 43
Joint longitudinal-survival models
Linking via - current value, gradient, AUC, random effects...
Michael J. Crowther merlin
12th September 2018
4 / 43
Joint longitudinal-survival models - extensions
* Competing risks
* Different types of outcomes
* Multiple continuous outcomes
* Delayed entry
* Recurrent events and a terminal event
* Prediction
* Many others...
Michael J. Crowther merlin
12th September 2018
5 / 43
Joint longitudinal-survival models - software
* stjm in Stata
* gsem in Stata
* frailtypack in R
* joineR in R
* JM and JMBayes in R
* Many others...
Michael J. Crowther merlin
12th September 2018
6 / 43
(My) Methods development - software
* stjm - joint longitudinal-survival models
* stmixed - multilevel survival models
* stgenreg - general parametric survival models
*...
Michael J. Crowther merlin
12th September 2018
7 / 43
(My) Methods development - software
* stjm - joint longitudinal-survival models
* stmixed - multilevel survival models
* stgenreg - general parametric survival models
*...
Each new project brings a new code base to maintain...could I make my life easier?
Michael J. Crowther merlin
12th September 2018
7 / 43
the past
* last year I introduced megenreg
* megenreg fitted mixed effects generalised regression models
* megenreg was awesome...but
Michael J. Crowther merlin
12th September 2018
8 / 43
the past
* last year I introduced megenreg
* megenreg fitted mixed effects generalised regression models
* megenreg was awesome...but
I really hated the name
Michael J. Crowther merlin
12th September 2018
8 / 43
Michael J. Crowther merlin
12th September 2018
9 / 43
Some people were not so keen...
Michael J. Crowther merlin
12th September 2018
Mixed Effects Regression for LInear, Non-linear and user-defined models merlin
Michael J. Crowther merlin
12th September 2018
the goal
* multiple outcomes of varying types
* measurement schedule can vary across outcomes
* any number of levels and random effects
* sharing and linking random effects between outcomes
* sharing functions of the expected value of other outcomes
* a reliable estimation engine
* easily extendable by the user
*...
a unified framework for data analysis and methods development
Michael J. Crowther merlin
12th September 2018
the example
* there's no equations in this talk
* there's 14 models
* each of them is applied to the same dataset
* most of them can be considered new models
* we can fit all of them with a single line of code
Michael J. Crowther merlin
12th September 2018
the family
* data from 312 patients with PBC collected at the Mayo Clinic 1974-1984 (Murtaugh et al. (1994))
* 158 randomised to receive D-penicillamine and 154 to placebo
* survival outcome is all-cause death, with 140 events observed
* we're going to pretend we have competing causes of death - cancer and other causes
* 1945 measurements of serum bilirubin, among other things
Michael J. Crowther merlin
12th September 2018
the data
Michael J. Crowther merlin
12th September 2018
a model
```
merlin (logb )
```
Michael J. Crowther
```
/// log serum bilirubin
```
```
time /// covariate , /// options family(gaussian) /// distribution
```
merlin
12th September 2018
a model
```
/// log serum bilirubin
```
```
merlin (logb time /// covariate time#trt /// interaction , /// options family(gaussian) /// distribution ) ///
```
Michael J. Crowther merlin
12th September 2018
a model
```
merlin (logb /// log serum bilirubin time /// covariate time#trt /// interaction M1[id]@1 /// random intercept , /// options family(gaussian) /// distribution ) ///
```
Michael J. Crowther merlin
12th September 2018
a model
```
merlin (logb time time#trt M1[id]@1 time#M2[id]@1 , family(gaussian)
```
```
/// log serum bilirubin /// covariate /// interaction /// random intercept /// random slope /// options
```
```
/// distribution )
```
Michael J. Crowther merlin
12th September 2018
a model
```
/// log serum bilirubin /// covariate /// interaction /// random intercept /// random slope /// options /// distribution /// /// prothrombin index /// covariate /// distribution
```
```
merlin (logb time time#trt M1[id]@1 time#M2[id]@1 , family(gaussian) ) (pro rcs(time, df(3)) , family(gamma) ) ///
```
Michael J. Crowther merlin
12th September 2018
a model
```
/// log serum bilirubin /// covariate /// interaction /// random intercept /// random slope /// options /// distribution /// /// prothrombin index /// covariate /// random effect /// distribution
```
```
merlin (logb time time#trt M1[id]@1 time#M2[id]@1 , family(gaussian) ) (pro rcs(time, df(3)) M3[id]@1 , family(gamma) ) ///
```
Michael J. Crowther merlin
12th September 2018
a model
```
/// log serum bilirubin /// covariate /// interaction /// random intercept /// random slope /// options /// distribution /// /// prothrombin index /// covariate /// random effect /// distribution /// /// main options
```
```
merlin (logb time time#trt M1[id]@1 time#M2[id]@1 , family(gaussian) ) (pro rcs(time, df(3)) M3[id]@1 , family(gamma) ) , covariance(unstructured) // vcv
```
Michael J. Crowther merlin
12th September 2018
a model
```
merlin (logb time
```
```
redistribution(t) df(5) // re dist.
```
```
time#trt M1[id]@1 time#M2[id]@1 , family(gaussian) ) (pro rcs(time, df(3)) M3[id]@1 , family(gamma) ) , covariance(unstructured)
```
Michael J. Crowther merlin
```
/// log serum bilirubin /// covariate /// interaction /// random intercept /// random slope /// options /// distribution /// /// prothrombin index /// covariate /// random effect /// distribution /// /// main options /// vcv
```
12th September 2018
a model
```
merlin (logb /// log serum bilirubin time /// covariate time#trt /// interaction M1[id]@1 /// random intercept time#M2[id]@1 /// random slope , /// options family(gaussian) /// distribution ) /// (pro /// prothrombin index rcs(time, df(3)) /// covariate M3[id]@1 /// random effect , family(gamma) /// distribution ) /// (stime trt /// response + covariate , family(rp, df(3) /// distribution failure(other)) /// event indicator ) /// , /// main options covariance(unstructured) /// vcv redistribution(t) df(5) // re dist.
```
Michael J. Crowther merlin
12th September 2018
a model
```
merlin (logb /// log serum bilirubin time /// covariate time#trt /// interaction M1[id]@1 /// random intercept time#M2[id]@1 /// random slope , /// options family(gaussian) /// distribution ) /// (pro /// prothrombin index rcs(time, df(3)) /// covariate M3[id]@1 /// random effect , family(gamma) /// distribution ) /// (stime trt /// response + covariate dEV[logb] EV[pro] /// associations , family(rp, df(3) /// distribution failure(other)) /// event indicator ) /// , /// main options covariance(unstructured) /// vcv redistribution(t) df(5) // re dist.
```
Michael J. Crowther merlin
12th September 2018
a model
```
merlin (logb /// log serum bilirubin time /// covariate time#trt /// interaction M1[id]@1 /// random intercept time#M2[id]@1 /// random slope , /// options family(gaussian) /// distribution ) /// (pro /// prothrombin index rcs(time, df(3)) /// covariate M3[id]@1 /// random effect , family(gamma) /// distribution ) /// (stime trt /// response + covariate trt#fp(stime, power(0)) /// tde dEV[logb] EV[pro] /// associations , family(rp, df(3) /// distribution failure(other)) /// event indicator ) /// , /// main options covariance(unstructured) /// vcv redistribution(t) df(5) // re dist.
```
Michael J. Crowther merlin
12th September 2018
a model
```
merlin (logb time time#trt M1[id]@1 /// model 1 time#M2[id]@1 , /// family(gaussian) /// ) /// (pro rcs(time, df(3)) M3[id]@1 /// model 2 , family(gamma) /// ) /// (stime trt /// trt#fp(stime, power(0)) /// model 3 - cause 1 dEV[logb] EV[pro] /// tde , family(rp, df(3) /// distribution failure(other)) /// event indicator ) /// (stime trt /// model 4 - cause 2 trt#rcs(stime, df(3) log) /// tde EV[logb] iEV[pro] /// associations , family(weibull, /// distribution failure(cancer)) /// event indicator ) /// , /// covariance(unstructured)
```
Michael J. Crowther merlin
12th September 2018
predictions
predict cif1, cif marginal outcome(3) at(trt 0) predict cif1, cif marginal outcome(4) at(trt 0)
Michael J. Crowther merlin
12th September 2018
a user-defined model
```
real matrix gauss logl(gml) { y = merlin util depvar(gml) // dep. var. linpred = merlin util xzb(gml) // lin. pred. sdre = exp(merlin util ap(gml,1)) // anc. param. return(lnnormalden(y,linpred,sdre)) // logl } merlin (logb ... , family(user, llfunction(gauss logl) nap(1))) ...
```
Michael J. Crowther merlin
12th September 2018
a user-defined model
```
real matrix gauss logl(gml) { y = merlin util depvar(gml) // dep. var. linpred = merlin util xzb(gml) // lin. pred. sdre = exp(merlin util xzb_mod(gml,2)) // anc. param. return(lnnormalden(y,linpred,sdre)) // logl } merlin (logb ... , family(user, llfunction(gauss logl))) (age M1[id]@1, family(null)) ...
```
Michael J. Crowther merlin
12th September 2018
a user-defined nonlinear model - Yulia's talk
```
webuse orange, clear menl circumf = (b1+U1[tree])/(1+exp(-(age-b2)/b3)) mata: real matrix logl(transmorphic gml) { y = merlin_util_depvar(gml) b1 = merlin_util_xzb(gml) b2 = merlin_util_xzb_mod(gml,2) b3 = merlin_util_xzb_mod(gml,3) sdre = exp(merlin_util_ap(gml,1)) xb = b1 :/ (1 :+ exp(-b2 :/ b3)) return(lnnormalden(y,xb,sdre)) } end merlin (circumf M1[tree]@1, family(user, llf(logl) nap(1))) ( age@1 , family(null)) ( , family(null))
```
Michael J. Crowther merlin
12th September 2018
stuffI didn't show
* random effects at arbitrary levels - M4[centre>id]@1
* B-splines - bs(time, df(3) order(4))
* d2EV[], ?XB[]
* linterval(varname) - interval censoring
* ltruncated(varname) - left-truncation
* 9 (so far) other inbuilt families, e.g. beta, ologit
* bhazard(varname) - relative survival
* mf(func name) - user-defined element function
Michael J. Crowther merlin
12th September 2018
the family
* merlin's syntax is not simple
* we can develop more user-friendly shell files to allow a simpler syntax for special cases
* merlin's minions...
* excalibur (stmixed) for multilevel survival analysis (SJ under revision)
* lancelot - meta-analysis
* arthur - to be revealed next!
* galahad - maybe next year
* ...
Michael J. Crowther merlin
12th September 2018
the surprise
Two useful features of merlin are:
* EV[depvar/#] element type
* implemented for their use in joint longitudinal-survival models
* family(null)
* implemented for use with user-defined models
their combination gives merlin some new capabilities
Michael J. Crowther merlin
12th September 2018
the surprise
```
merlin (y x1 x2 EV[2] EV[3], family(bernoulli) link(logit)) (x1 x2, family(null) link(logit))
```
any idea what this is?
Michael J. Crowther merlin
12th September 2018
the surprise
```
merlin (y x1 x2 EV[2] EV[3], family(bernoulli) link(logit)) (x1 x2, family(null) link(logit))
```
any idea what this is?
It's an artificial neural network!
merlin
12th September 2018
Michael J. Crowther
Michael J. Crowther merlin
12th September 2018
the surprise
```
merlin (y x1 x2 EV[2] EV[3], family(bernoulli) link(logit)) (x1 x2, family(null) link(logit)) neuralnet x1 x2, output1(y, family(bernoulli) link(logit)) hlayers(1) hlink(logit) hnodes(2) penalty(ridge) lambda(1e-07)
```
Michael J. Crowther merlin
12th September 2018
the surprise
```
merlin (y x1_nn x2_nn EV[4] EV[5] EV[6] , family(bernoulli) link(logit)) (x1_nn x2_nn, family(null) link(atanh)) (EV[2] EV[3], family(null) link(atanh)) neuralnet x1 x2, output1(y, family(bernoulli) link(logit)) hlink(atanh) hlayers(2) hnodes(2 3) penalty(lasso) lambda(1e-07)
```
Michael J. Crowther merlin
12th September 2018
. nnplot , inputs(10) outputs(5) hlayers(3) hnodes(8 3 4)
Michael J. Crowther merlin
12th September 2018
From my website - I'm now a data scientist!
Michael J. Crowther merlin
12th September 2018
the future
* merlin can do a lot of things, hopefully in a usable way
* merlin is easily extended
* I continue to discover more and more things it can do
* arthur (neuralnet)
* It's a rubbish implementation of neural networks
* Needs analytic gradients to be useful
* penalisation
* But - all capabilities of merlin can be used in a neural network, and vice versa
* predict newvar, statistic ci
www.mjcrowther.co.uk/software/merlin
Michael J. Crowther merlin
12th September 2018
the papers
* Extended multivariate generalised linear and non-linear mixed effects models. https://arxiv.org/abs/1710.02223
* merlin - a unified framework for data analysis and methods development in Stata. https://arxiv.org/abs/1806.01615
* Multilevel mixed effects parametric survival analysis. https://arxiv.org/abs/1709.06633
* Deep learning neural networks and regression modelling: A general penalised likelihood framework for estimation, prediction and quantifying uncertainty. (In Prep.)
Michael J. Crowther merlin
12th September 2018
the reversal
Michael J. Crowther merlin
12th September 2018
|
Are You Sure You Want to Do That? Fostering the Responsible Conduct of Medical Education Research
Lauren A. Maggio, PhD, Anthony R. Artino Jr, PhD, Katherine Picho, PhD, and Erik W. Driessen, PhD
Abstract
Engaging in questionable research practices (QRPs) is a noted problem across many disciplines, including medical education. While QRPs are rarely discussed in the context of medical education, that does not mean that medical education researchers are immune. Therefore, the authors seek to raise medical educators' awareness of the responsible conduct of research (RCR) and call the community to action before QRPs negatively affect the field.
The authors define QRPs and introduce examples that could easily happen in medical education research because
Failure to engage in the responsible conduct of research (RCR), or failure to conduct research with integrity, is a concern across disciplines and with good reason. A comprehensive study published in 2009 1 indicated that approximately 2% of scientists report falsifying or modifying data, and that 34% have admitted to other forms of research misconduct. In 2011, Diederik Stapel, a Dutch psychologist, was denounced as a fraudster for fabricating and manipulating research data disseminated in over 50 publications. 2 Stapel's research misconduct led to his dismissal from the university; had an impact on multiple careers, including those of his graduate students; and
Please see the end of this article for information about the authors.
Correspondence should be addressed to Lauren Maggio, Uniformed Services University of the Health Sciences, 4301 Jones Bridge Rd., Bethesda, MD 20814-4799; e-mail: firstname.lastname@example.org.
Written work prepared by employees of the Federal Government as part of their official duties is, under the U.S. Copyright Act, a "work of the United States Government" for which copyright protection under Title 17 of the United States Code is not available. As such, copyright does not extend to the contributions of employees of the Federal Government.
Acad Med. 2017;XX:00–00. First published online doi: 10.1097/ACM.0000000000001805
Academic Medicine, Vol. XX, No. X / XX XXXX
of vulnerabilities particular to the field. The authors suggest that efforts in research, including medical education research, should focus on facilitating a change in the culture of research to foster RCR, and that these efforts should make explicit both the individual and system factors that ultimately influence researcher behavior. They propose a set of approaches within medical education training initiatives to foster such a culture: empowering research mentors as role models, open airing of research conduct dilemmas and infractions, protecting whistle blowers, establishing mechanisms for facilitating responsibly damaged the public's trust in science. Research misconduct is defined as the "fabrication, falsification, or plagiarism in proposing, performing or reviewing research, or in reporting research results." 3 While instances of research misconduct are clearly the most serious of violations, the more prevalent form of irresponsible research conduct is probably engaging in questionable research practices (QRPs). 4
QRPs are generally described in the psychology literature as the selective reporting of variables, rounding of P values, and failure to disclose study conditions. 4 While we agree that these research practices are indeed questionable, we propose that QRPs also encompass a broader spectrum of irresponsible research conduct. Thus, we define QRPs as poor data practices and inadequate data management, inappropriate research procedures—including questionable procedures for obtaining informed consent— insufficient respect and care for participants in the research, improper research design, carelessness in observation and analysis, suboptimal trainee and mentor partnerships, unsuitable authorship or publishing practices, and derelictions in reviewing and editing. 5
conducted research, and rewarding responsible researchers.
The authors recommend that efforts at culture change be focused on the growing graduate programs, fellowships, and faculty academies in medical education to ensure that RCR training is an integral component for both students and faculty. They encourage medical education researchers to think creatively about solutions to the challenges they face and to act together as an international community to avoid wasting research efforts, damaging careers, and stunting medical education research through QRPs.
QRPs have been recognized as an important issue broadly in the biomedical and social sciences 4 ; however, they have received less attention in medical education research. Although outright fraud may seem relatively unlikely and is obviously wrong and unthinkable to most medical education researchers, instances of QRPs are not as unlikely and certainly are not as clear-cut.
Instead, when it comes to QRPs, medical education researchers often find themselves faced with dilemmas that have no simple solutions or perfect outcomes. Such situations can be characterized as colored in shades of gray, not black and white. Also, researchers may not even be aware that they are engaging in QRPs because of a lack of training and knowledge about what constitutes a QRP. QRPs can lead to publication results that are dangerous for use in patient care and ineffective for education, misinform policy, result in a scientific record that is unable to be replicated or built upon, and waste funds that could more appropriately support other research endeavors. 3,6
With these issues in mind, we wrote this Perspective to raise awareness of RCR in medical education research and
1
to call the community to action before QRPs negatively affect our field (if they have not done so already). To frame this Perspective, we introduce an example of a research dilemma that could easily happen in medical education. We next describe why QRPs occur so often, in general, and highlight potential vulnerabilities particular to medical education research. We then recommend five approaches to promoting responsible research conduct in medical education drawn from tactics used in other fields. These approaches are intended to inform research training and culture. We propose them in relation to the growth of graduate programs, 7 fellowships, 8 and faculty academies 9 in medical education, which underscores the timeliness of this call to action.
What Do QRPs Look Like?
Consider the following dilemma:
For his dissertation, doctoral student Rogers measured the relation between first-year students' metacognitive skills and their grades. He divided the scores on the metacognitive skills questionnaire as originally planned, but was disappointed that analyses of the results did not show a significant relation. He discussed the findings with his supervisor. His supervisor tried some alternatives for dividing the questionnaire scores until he found one that produced statistically significant associations with the grade variable. The supervisor advised student Rogers to write up the study with this alternative score division. What should the student do?
This dilemma is just one of many that medical education researchers may face, often on a fairly regular basis. Although the scenario itself has several interpretations, at the very least, the supervisor's manipulation of the questionnaire results and testing of several statistical models likely represents a fairly common analysis technique often referred to as P hacking. For more examples of such dilemmas, see Box 1. Each of these dilemmas crosses several RCR issues (e.g., authorship and publication practices, data ownership, data collection and analysis, collaboration management) that can arise in medical education. As readers will note, there are no easy or perfect answers for how a researcher should proceed in these situations. Furthermore, there are limited guidelines and resources to consult when dealing with such dilemmas.
2
Why Do Researchers Sometimes Engage in QRPs?
There are a variety of reasons that researchers, including those in medical education, may engage in QRPs. First, researchers are under incredible pressure to publish original research in an effort to earn promotion and tenure. Additionally, there is pressure to publish innovative research with positive, statistically significant results. 10 Moreover, researchers often are unaware of the "rules" for RCR because of a lack of knowledge of what constitutes a QRP. In medical education, this problem is especially relevant because many researchers have received their training in other disciplines (e.g., biomedicine, psychology). Furthermore, in the United States, much of RCR training is driven by federal funding mandates. However, besides very basic (typically online) institutional review board (IRB) training (see, for example, the Collaborative Institutional Training Initiative 11 ), RCR training is not generally compulsory for unfunded researchers and, in many cases, is required only for graduate students. 12 Therefore, it is quite possible that faculty and students engaging in nonfederally funded research, including medical education research, may not receive RCR training and thus may be ignorant of the issues therein.
While researchers in any discipline might engage in QRPs, medical educators should consider certain specific characteristics of medical education and how these characteristics may raise the susceptibility of its researchers. To start, medical education is a multidisciplinary field that includes scholars from a variety of backgrounds (e.g., clinical medicine, psychology, education, anthropology) and with varying levels of experience in conducting medical education research. 13 For example, a U.S. clinician scientist working on his first medical education project may be unaware that it is a questionable practice to randomly query student evaluation data—looking for a particular, statistically significant finding— without first formulating a research question and obtaining IRB approval.
Additionally, interdisciplinary (and often global) sharing and adopting of methods, methodologies, and research traditions are increasingly common in medical education, making it quite possible that researchers are unaware of methodological requirements and responsible research practices in other disciplines and countries, which may differ from their own. 14,15 For example, there are differences in how disciplines determine the inclusion of an author on a manuscript or decide author order. What is more, there are differences in how disciplines define the meaning and value of specific authorship positions. For instance, in medical education, the last position is typically the "senior author," whereas in other fields, like psychology and education, no such senior author position is acknowledged. Although not immediately apparent to some, lack of knowledge regarding author order may be related to other unsuitable author practices, like "honorary authorship" for a researcher who has not met established authorship criteria. 16
Finally, learners may become lured into QRPs as they follow the examples set by senior faculty or in response to the power dynamics between graduate students and their supervisors (as in the dilemma described above), which puts students at a significant disadvantage and may make them hesitant to speak up. In the case of Stapel, 2 a researcher who coauthored many articles with his graduate students, it was discovered later that his trainees often did not raise concerns when Stapel independently ran experiments for them. 17 In medical education, a field with a growing number of graduate programs, 7 this power dynamic is an important concern. Furthermore, even if graduate students or fellows have been exposed to research ethics training in their roles as physicians or clinical researchers, they may not necessarily make the connection or have considered how to transfer that knowledge over to medical education research. 18
These examples of QRPs demonstrate a few critical points. First, QRPs often are not the result of an unethical researcher looking to make his or her scholarly mark on the field. Instead, like most complex social phenomena, irresponsible research conduct occurs from the multifactorial effects of both personal factors (e.g., knowledge, beliefs, attitudes) and environmental or contextual factors (e.g., social norms, power dynamics, intuitional policies). Thus, there is a need for both individual and systemic approaches to fostering RCR. Discussions about
Academic Medicine, Vol. XX, No. X / XX XXXX
Box 1
Potential Dilemmas in Medical Education Research
a
Dilemma 1
Dr. Flynn teaches a course for clerkship students on medical ethics. Early in the term, she learns that her students are sharing incidents they consider ethics violations on Twitter using #ethicsfailXU. Dr. Flynn joins Twitter as @ethicsmd and begins following her students' tweets out of curiosity and to improve her course. After the term, Dr. Flynn analyzes the students' tweets and publishes a related journal article. The article does not identify individual students, but does include verbatim tweets. Shortly after the article is published, an outraged student tweets: "Monitoring and publishing student tweets! WHAT??? Creepy example of #ethicsfailXU by @ethicsmd ." How should Dr. Flynn respond?
Potential responsible conduct of research issue:
* Here, the issue is who owns the contested tweets?
Potential approaches:
* Dr. Flynn could acknowledge that because of this uncertainty about data ownership, it would have been prudent for her to have obtained permission from the students to use their tweets, and if there had been any objection to a particular tweet being quoted, to either not use it or to revise it sufficiently so it could not be identified. She could then move on to a wider discussion of research dilemmas and infractions, and how, when these occur, these must be openly aired by all parties if possible to help prevent future problems.
* Dr. Flynn could explain that obtaining permission from the students to use their tweets is an example of a mechanism for facilitating responsibly conducted research. She could then move on to a wider discussion of various mechanisms of this type and about the public nature of content posted to the Web.
Dilemma 2
PhD student Green circulates a final draft of a manuscript to her research advisors for their sign-off. She receives back a comment that recommends adding Professor Karr, a senior professor in her department, as a coauthor. Her primary advisor suggests that it would garner departmental goodwill and that Professor Karr's reputation may help get the manuscript published. Since Professor Karr has not contributed to the article, PhD student Green feels uncomfortable with the inclusion but is unsure how to proceed.
Potential responsible conduct of research issues:
* Here, the issue is what qualifies someone for authorship? In addition, there are important power and control issues that relate to the trainee– mentor partnership.
Potential approaches:
* Fortunately, the rules regarding authorship are fairly straightforward, although as this vignette suggests, researchers may not always strictly adhere to those requirements. Most medical education journals follow the International Committee of Medical Journal Editors' (ICMJE's) Recommendations for the Conduct, Reporting, Editing and Publication of Scholarly Work in Medical Journals (http://www.icmje.org/icmjerecommendations.pdf) for determining authorship. According to these recommendations, authorship is based on (1) making substantial contributions to conception and design, or acquisition of data, or analysis and interpretation of data; (2) drafting the article or revising it critically for important intellectual content; (3) giving final approval of the version to be published; and (4) agreeing to be accountable for all aspects of the work. Authors must meet all of these conditions. Thus, it is clear that Professor Karr does not meet the criteria for authorship defined above.
* The challenge in this scenario, however, is the unequal power distribution between the PhD student and her primary advisor. The advisor has the power; the student does not. Nonetheless, it is incumbent upon the student to voice her concerns to the advisor. If the advisor still insists, the student should approach a trusted colleague or ombudsman (i.e., an independent, student advocate), who can be an advocate for her. Importantly, the institution should have policies in place for handing such situations; if necessary, they should protect the student as a whistleblower. Finally, the institution should consider handling the situation at the lowest possible level, as well as educating the advisor by reiterating his role and empowering him as a research role model.
Dilemma 3
Dr. Bond advises doctoral candidates from around the globe in health professions education and serves as a coauthor on the manuscripts produced. One of his students plans to publish a qualitative study, based on interviews in the student's native language. Dr. Bond is unable to speak or read this language. The student presents to Dr. Bond a list of themes in English that he has identified from his transcript analysis. How should Dr. Bond proceed?
Potential responsible conduct of research issues:
* Here, the issue is how should trainees and advisors effectively and ethically collaborate? Additionally, there are issues related to qualifications for authorship.
Potential approaches:
* Dr. Bond could engage the student in a conversation about the importance of data transparency and state that, based on ICMJE guidelines, it is important for Dr. Bond, as a coauthor, to substantially contribute to the analysis and interpretation of the data. In the conversation, he could request that the student provide a sample of his interview transcripts, translated.
* In the future, to establish mechanisms for facilitating responsibly conducted research, Dr. Bond could work with his department to craft policies related to data sharing between advisors and students. He could also be an advocate for providing students resources for data translation if their data are not collected in a language readily understandable to the advisor.
aThe dilemmas presented above are only a few of the many that medical education researchers face, often frequently. There are no easy or perfect answers for how a researcher should proceed in these situations. Furthermore, there are limited guidelines and resources to consult when dealing with such dilemmas.
Academic Medicine, Vol. XX, No. X / XX XXXX
3
and efforts to improve RCR have been increasingly promoted in biomedicine and psychology. However, on the basis of our experiences as medical education researchers, journal editors, and faculty members in graduate programs, RCR efforts in medical education have been less robust, often focusing solely on the individual, as opposed to focusing on the individual functioning in a complex learning and health care environment. 19
What Can Medical Education Do?
As medical education continues to establish itself as a discipline, including through the growth of graduate degree and other educational programs, it is necessary to amplify the conversation about RCR and ensure that our community members are prepared to act as responsible researchers and, moreover, that our systems and institutional policies support them. An instinctive way to guard against QRPs might be to create regulations and/or require standardization of research practices. However, this approach has been tried with limited success in other fields. 6 Additionally, the regulations approach often focuses on producing a list of "what not to do" instead of providing researchers with advice for how to deal with difficult, complex situations and dilemmas when they occur.
Therefore, we suggest that efforts in research, including medical education research, focus on facilitating a change in the culture of research, and we propose a (likely noncomprehensive) set of potential approaches to foster a culture of RCR in medical education. To facilitate this culture change, we recommend focusing on the growing training programs and faculty academies in medical education. The time is ripe to shape these programs and to ensure that RCR training is an integral component for both students and faculty. For example, international efforts to improve the quality of master's programs in health professions education would do well to include knowledge and skill in RCR issues as a foundational competency. What is more, such efforts might also encourage programs to have in place structures and procedures for dealing with RCR issues. Even so, such efforts cannot stand alone. As mentioned above, educational efforts in other fields, such as the biomedical sciences, have demonstrated that training
4
and additional requirements alone do not work. 20 Instead, educators must create a research culture within their programs that supports RCR efforts and makes explicit the system effects that ultimately influence researcher behavior. Therefore, we encourage the integration of the following five approaches within medical education research training initiatives.
Empower research mentors as role models
Mentors are important for the socialization of junior researchers into RCR. 21 They can support this socialization in a variety of ways. First, they can teach or discuss RCR with their students (e.g., by explaining concepts like the role of ethical review committees and, if available, bringing to the attention of students the code of conduct for researchers and issues relating to authorship, transparency, and other areas). Of course, it is one thing for mentors to explain RCR to their students, but it is another, much more important task for them to influence their students by what they do in their daily research practices. In other words, a mentor is first and foremost a role model. Supervisors, therefore, need to behave as responsible researchers. For example, this could mean not accepting coauthorship on a mentee's article without first contributing in a meaningful way to the article. The effect of role modeling becomes even stronger when role models make explicit the motives behind the choices they have made.
Mentors can also support students' socialization into RCR by helping students reflect on their research behavior during progress meetings. The mentor can initiate this reflection by asking questions about motives for, and confronting students with consequences of, planned behavior. 22 Last, it is not only the students' supervisors who can provide mentorship. Other faculty with whom students have relationships, as well as peers (i.e., other graduate students), offer the potential for research mentoring. Peers and faculty outside the supervisory team typically have little to no power relationship with students, which could make it easier for them to discuss with their peers more sensitive ethical topics.
Openly air RCR dilemmas and infractions
An open and honest research culture should include an environment in which dilemmas and issues are openly discussed in research teams early and often in the research process. Such an environment would encourage and provide trainees and faculty a safe space to report dilemmas and infractions or to integrate the concept of a research "morbidity and mortality" conference. Following the example set by the Committee on Publication Ethics (COPE), 23 we have provided three dilemmas in Box 1, which could be used to facilitate ethical conversations, could be integrated into medical education training programs, and could be added to by researchers as they experience or learn of additional dilemmas.
Protect whistleblowers
In addition to openly airing RCR dilemmas, it is incumbent on institutions and training programs to both empower and protect whistleblowers. As Kornfeld 24 has argued, because the total prevention of research misconduct is impossible, the scientific community must depend on whistleblowers to minimize the presence and/or persistence of flawed data in the scientific literature.
At the same time, however, we believe in the importance of dealing with whistleblower allegations at the lowest level possible within an organization, and doing so with due diligence. Not all RCR dilemmas or infractions warrant punitive action, and we suspect that awareness of most infractions likely does not need to go beyond departmental walls. Thus, research and training institutions are obligated to create mechanisms that protect the interests of all those involved in accusations of research misconduct and to communicate the existence of such mechanisms to their community. 24 Much like in the U.S. legal system, those accused must be treated fairly and considered innocent until proven guilty, not the other way around. Academic careers take a lifetime to build and only one mishandled accusation to destroy. What is more, we believe that by not escalating all alleged infractions to the highest level, institutions further encourage the openness and frank discussions recommended in the paragraph above.
Establish mechanisms for facilitating responsibly conducted research
Institutions must ensure mechanisms are in place to facilitate researchers'
Academic Medicine, Vol. XX, No. X / XX XXXX
overcoming barriers to responsibly conducting medical education research. For example, medical education researchers have raised concerns about the review of medical education research protocols by IRBs whose members may be unfamiliar with or inexperienced in reviewing these types of protocols. 25 To mitigate researcher concerns, medical educators at Duke University designed a medical-education-specific template for researchers to submit medical education protocols to their IRBs. 26 Going a step further, the Netherlands Association for Medical Education has created a nationwide ethics review board specifically intended to review medical education protocols for its members. 27
Additionally, because current IRB processes are primarily meant to protect research subjects rather than to provide oversight of the quality of the research, we also suggest that institutions consider supplemental supports for RCR and to safeguard research quality. Potential approaches might include forming groups or peer networks in which members would have opportunities to present and discuss RCR in relation to ongoing and future projects and within the published literature (e.g., an RCR journal club). Institutions might also consider potential RCR issues in the formal assessment of research proposals, including thesis and dissertation proposals.
Reward responsible researchers
Medical education researchers should be rewarded for conducting systematic and transparent research. To encourage researchers, programs might consider adapting promotion and tenure guidelines to specifically welcome types of publications that demonstrate responsible research practices, such as the publication of research protocols for education projects and replication studies. Research practices in both of these types encourage rigorous, programmatic approaches to science, which in turn further develop and strengthen research methods and theories.
In addition to encouraging such practices, research rewards could be tied to funding. For example, the Netherlands Organization for Scientific Research, that nation's largest funder, recently pledged several million euros to support replication studies. 28 Other institutions
Academic Medicine, Vol. XX, No. X / XX XXXX
and agencies that provide funding for medical education research could follow suit, encouraging researchers to not only undertake replication studies but also partake in other responsible research practices, such as providing open access to study materials, depositing their data for potential reanalysis by other researchers, preregistering their studies, and publishing research with negative findings. 29 Of course, this last suggestion—publishing negative findings—also requires a commitment from journal editors. But as journals continue to move away from paper issues and toward online publication, page limits are potentially becoming less of a factor, thereby making space for negative studies.
The Need for Greater Understanding of RCR
The above five approaches are suggestions for how medical education might move forward in creating a culture of RCR. We are aware that at this time there is limited evidence that these approaches would work. Furthermore, we recognize the need to gauge the prevalence of QRPs in medical education research. We hypothesize that QRPs are a serious problem, based on incidents reported by journal editors 19,30,31 and literature from other domains, 2,32 but currently we do not have a concrete sense for the magnitude or nature of the problem. This gap in our understanding makes it difficult to know what approaches to take, and it suggests the need for future research that assesses the nature (e.g., prevalence, causes, effects) of QRPs in medical education. 33 An understanding of key RCR issues would facilitate clearer thinking about future approaches and may help delineate the most appropriate behavior or systems change models.
Summing Up
In this Perspective, our purpose was to raise awareness of the need for responsible research conduct in medical education research. In addition, we have called on our community to take action before QRPs become a major issue in the field (assuming they have not already). To help them answer this call, we proposed five approaches to improve the research culture and promote RCR within graduate programs, fellowships, and faculty academies in medical education, in light of their growth in recent years. We hope, however, that this Perspective is only the beginning of the conversation. Furthermore, we encourage medical education researchers to think creatively about solutions to the challenges we face and to act together as an international community to avoid wasting research efforts, damaging careers, and stunting medical education research through QRPs.
Funding/Support: None reported.
Other disclosures: None reported.
Ethical approval: Reported as not applicable.
Disclaimer: The views expressed in this article are those of the authors and do not necessarily reflect the official policy or position of the Uniformed Services University of the Health Sciences, the Department of Defense, or the U.S. Government.
L.A. Maggio is associate professor of medicine, Uniformed Services University of the Health Sciences, Bethesda, Maryland.
A.R. Artino is professor of medicine, Uniformed Services University of the Health Sciences, Bethesda, Maryland.
K. Picho is assistant professor of medicine, Uniformed Services University of the Health Sciences, Bethesda, Maryland.
E.W. Driessen is professor of medical education, Faculty of Health, Medicine and Life Science, Maastricht University, the Netherlands.
References
1 Fanelli D. How many scientists fabricate and falsify research? A systematic review and meta-analysis of survey data. PLoS One. 2009;4:e5738.
2 Levelt WJ, Drenth P, Noort E. Flawed science: The fraudulent research practices of social psychologist Diederik Stapel. http://www. mpi.nl/publications/escidoc-1569964. Accessed April 12, 2017.
3 Steneck NH. Office of Research Integrity: Introduction to the Responsible Conduct of Research. Bethesda, MD: Government Printing Office; 2007.
4 John LK, Loewenstein G, Prelec D. Measuring the prevalence of questionable research practices with incentives for truth telling. Psychol Sci. 2012;23:524–532.
5 ALLEA Permanent Working Group on Science and Ethics. The European Code of Conduct for Research Integrity, Revised Edition. Berlin, Germany: ALLEA–All European Academies; 2017.
6 Ioannidis JP. Why most published research findings are false. PLoS Med. August 30, 2005. http://journals.plos.org/plosmedicine/ article?id=10.1371/journal.pmed.0020124. Accessed April 12, 2017.
7 Tekian A, Harris I. Preparing health professions education leaders worldwide: A description of masters-level programs. Med Teach. 2012;34:52–58.
8 Thompson BM, Searle NS, Gruppen LD, Hatem CJ, Nelson EA. A national survey
5
of medical education fellowships. Med Educ Online. 2011;16. doi: 10.3402/meo. v16i0.5642.
9 Searle NS, Thompson BM, Friedland JA, et al. The prevalence and practice of academies of medical educators: A survey of U.S. medical schools. Acad Med. 2010;85:48–56.
10 Martinson BC, Anderson MS, de Vries R. Scientists behaving badly. Nature. 2005;435:737–738.
11 Braunschweiger P, Goodman KW. The CITI program: An international online resource for education in human subjects protection and the responsible conduct of research. Acad Med. 2007;82:861–864.
12 Resnik DB, Dinse GE. Do U.S. research institutions meet or exceed federal mandates for instruction in responsible conduct of research? A national survey. Acad Med. 2012;87:1237–1242.
13 Peeraer G, Stalmeijer RE. Research fraud and its combat: What to do in the case of qualitative research. Med Educ. 2014;48:333–334.
14 Bulger RE, Heitman E. Expanding responsible conduct of research instruction across the university. Acad Med. 2007;82:876–878.
15 Steneck NH, Bulger RE. The history, purpose, and future of instruction in the responsible conduct of research. Acad Med. 2007;82: 829–834.
16 International Committee of Medical Journal Editors. Defining the roles of authors and contributors. http://www.icmje.org/ recommendations/browse/roles-andresponsibilities/defining-the-role-of-authors-
6
and-contributors.html. Accessed January 13, 2017.
17 Stemwedel J. Failing the scientists-in-training inside the frauds of Diederik Stapel (part 2). https://blogs.scientificamerican.com/ doing-good-science/failing-the-scientistsin-training-inside-the-frauds-of-diederikstapel-part-2/. Accessed January 13, 2017.
18 Blanchard RD, Artino AR Jr, Visintainer PF. Applying clinical research skills to conduct education research: Important recommendations for success. J Grad Med Educ. 2014;6:619–622.
19 ten Cate O, Brewster D, Cruess R, et al. Research fraud and its combat: What can a journal do? Med Educ. 2013;47:638–640.
20 Kalichman M. Responsible conduct of research education (what, why, and does it work). Acad Med. 2016;91:e10.
21 Fisher CB, Fried AL, Feldman LG. Graduate socialization in the responsible conduct of research: A national survey on the research ethics training experiences of psychology doctoral students. Ethics Behav. 2009;19:496–518.
22 Driessen E, Overeem K. Mentoring. In: Walsh K. Oxford Textbook of Medical Education. London, UK: Oxford University Press; 2013.
23 Committee on Publication Ethics. COPE Cases. 2016. http://publicationethics.org/ cases. Accessed January 13, 2017.
24 Kornfeld DS. Perspective: Research misconduct: The search for a remedy. Acad Med. 2012;87:877–882.
25 Dyrbye LN, Thomas MR, Papp KK, Durning SJ. Clinician educators' experiences with
institutional review boards: Results of a national survey. Acad Med. 2008;83:590–595.
26 DeMeo SD, Nagler A, Heflin MT. Development of a health professions education research-specific institutional review board template. Acad Med. 2016;91:229–232.
27 Eikelboom JI, ten Cate OT, Jaarsma D, Raat JA, Schuwirth L, van Delden JJ. A framework for the ethics review of education research. Med Educ. 2012;46:731–733.
28 Baker M. Dutch agency launches first grants programme dedicated to replication. http:// www.nature.com/news/dutch-agencylaunches-first-grants-programme-dedicated-toreplication-1.20287. Accessed January 13, 2017.
29 Munafo MR, Nosek B, Bishop D, et al. A manifesto for reproducible science. Nat Hum Behav. 2017;1. doi: 10.1038/s41562-0160021.
30 Brice J, Bligh J, Bordage G, et al. Publishing ethics in medical education journals. Acad Med. 2009;84(10 suppl):S132–S134.
31 Norman G. Data dredging, salami-slicing, and other successful strategies to ensure rejection: Twelve tips on how to not get your paper published. Adv Health Sci Educ Theory Pract. 2014;19:1–5.
32 Ioannidis JP. How to make more published research true. PLoS Med. 2014;11:e1001747.
33 Fanelli D, Costas R, Larivière V. Misconduct policies, academic culture and career stage, not gender or pressures to publish, affect scientific integrity. PLoS One. 2015;10:e0127556.
Academic Medicine, Vol. XX, No. X / XX XXXX
|
Supplier Quality Manual
Table of Contents
Forward/ Introduction
The goal of Senneca's Supplier Quality Manual is to clearly communicate the conditions for doing business with Senneca and to develop systems that drive continual improvement, prevent defects, and reduce variation and waste in the entire supply chain. Information presented in this manual takes precedence, unless officially notified by authorized Senneca personnel.
Suppliers are responsible for the quality of their products and services.
Our suppliers are expected to have zero incidents and zero disruptions, provide products with zero defects, flawless delivery, performance, and timely responsiveness to issues.
The original copy of this manual is a controlled document. Copies of the Senneca Supplier Quality Manual distributed to suppliers, printed or downloaded are considered uncontrolled and will not be automatically updated.
Suppliers are required to check the website periodically for revisions www.Senneca.com.
Mission
At Senneca Holdings, we embrace the entrepreneurial spirit of the innovators that created our brands from traffic doors, to cold storage doors to fiberglass doors and beyond. We are committed to exceeding our customers' expectations and to provide doors that offer safety and protection to our customer's most important assets…people, products, capital investments, and processes.
Vision
Our vision is to be a worldwide specialty door leader that differentiates itself by being a single point of contact for all customer door needs including: selling, installing and servicing all doors in our customers' place of business.
Standard Requirements – Quality
To be a supplier to Senneca, you must meet our requirements for quality.
As an overview, our standard requirements include the following but are more detailed in subsequent pages:
1. Advanced Product Quality Planning (APQP): As requested, the Supplier must have resources available and capable of participating in APQP, including such efforts as Feasibility Reviews, FMEAs, Design Reviews, Prototype Production, and Production Part Approval Process.
2. Hazardous Materials: Suppliers must supply all information related to Hazardous Materials and satisfy all governmental and safety requirements. Suppliers will be required to submit Safety Data Sheets (SDS) for all identified items. Registration to IMDS is recommended.
3. Managing Change: Suppliers must agree to notify Senneca of any intended process change and obtain Senneca approval prior to implementation. Suppliers must also make this a condition of their own entire supply chain. In some cases, samples and documentation will be required as part of the approval process.
4. Material and Process Specifications: Suppliers must produce Senneca products to the specific material and process specifications. In certain cases, we will require approval of sub-tier suppliers.
5. Engineering Source Approval: When Senneca specifies specific material (typically trade name or proprietary) or sources, Senneca must approve all material or source changes.
6. Non-Conforming Product: Suppliers must only ship product that meets specification or obtain a written deviation prior to shipment for any nonconforming product.
7. Supplier Cost Recovery and "Charge-back Process": A supplier shall comply with Senneca's process to recover costs associated with a supplier's unacceptable performance.
8. Corrective Action: In the event of a quality issue related to a supplier's products, the supplier will be required to provide a written corrective action report, in the Supplier Corrective Actions Report (SCAR) - 8D form, see Supplier Toolbox link on website: www.Senneca.com.
9. Quality System: Suppliers must have a documented quality system and agree to on-site assessments. Suppliers are preferred to be registered to ISO 9001 or in process of achieving the certification.
10. Records: Suppliers must maintain quality records for defined periods of time as applicable regulations.
11. Shipment and Packaging Requirements: Suppliers must comply with specifications for shipping and packaging. This includes labeling specifications or requirements.
12. Supply Chain Management: Suppliers must be willing to identify and manage their own entire supply chain. It is a supplier's responsibility to ensure that its own suppliers meet Senneca product requirements.
13. Traceability: Product traceability is a requirement. Suppliers must provide unique identification of product batches/lots as required.
14. Verification of Purchased Product: Suppliers must allow on-site product or process verification by Senneca or its customer.
15. The supplier is responsible for ensuring that all material/product delivered to Senneca shall be clean and free of contamination from debris and packaged in such a manner to assure material cleanliness.
1.0 Specific Requirements
1.1 Purpose
The purpose of this document is to communicate Senneca Holdings ("Senneca") requirements for quality systems of companies that provide prototype, preproduction and production goods or services to Senneca. Suppliers to Senneca are responsible for periodically checking that they are using the current revision and following this document via the Senneca website at www.Senneca.com.
1.2 General
Suppliers should be registered to the latest version of ISO 9001 or in process of obtaining the certification or demonstrate process control by providing enough evidence to ensure process and product meet specifications outlined in this manual and engineering records for sourced product and/or processes.
For new suppliers, a self-assessment questionnaire (see 2.2) will be furnished so you can assess yourself then return it to Senneca. This self-assessment is normally a precursor to an on-site appraisal.
1.3 Supporting Documents
The Supporting Documents section referenced in this manual, along with their sources, shall be used as references. A current document version can be downloaded from the Senneca website as needed. It is the responsibility of all Senneca suppliers, both current and prospective, to obtain and maintain a current issue of these documents.
1.4 Additional Requirements
The supplier may expect other specific requirements in addition to the requirements of this Manual. If applicable, these requirements shall be communicated to the supplier through Senneca's Global Supply Chain Management.
If a supplier perceives a conflict between the needs of two or more Senneca facilities, the supplier shall contact Senneca's Global Supply Chain Management and request a determination of the applicable Senneca Standard.
2.0 Requirements for Supplier Approval
2.1 Global Supply Chain Management Contact
All requests to become a supplier to Senneca must go through Global Supply Chain. The pertinent Commodity Manager will initially assess any business opportunities that are of mutual interest and will initiate the approval process within Senneca.
Senneca Holdings
2.2 Supplier Quality System Site Self-Assessment
A supplier or potential supplier should have completed the Supplier Site Assessment Questionnaire to provide Senneca with a general understanding of their quality management system. If you have not done so, contact your Senneca Supplier Quality Engineer (SQE) for assistance. The Supplier Site Assessment Questionnaire Form can be accessed via the Senneca website at www.Senneca.com.
2.3 On-Site Quality System Site Assessment
An on-site quality system assessment will be required prior to issuance of any initial purchasing agreement. The assessment will be conducted by a Senneca representative(s) and will verify the existence of a quality system and the disciplines necessary to meet Senneca's requirements.
Senneca reserves the right to re-assess current suppliers prior to placement of new business, because of a supplier's overall performance, when there is a change in the supplier's facility or processes, a change in ownership, a significant change in the nature of the product previously supplied, or as part of Senneca's Supplier Quality Surveillance Program (also applies to Tier 2 suppliers).
2.4 Special or Key Characteristics
Special or Key Characteristics shown or identified on Senneca drawings are supplier's responsibility to incorporate them into the Control Plans, PFMEAs, and Work Instructions of all products supplied to Senneca. Other important characteristics shall be conveyed by the receiving plant's Quality Manager or Engineering.
Suppliers are expected to have their key processes under statistical control or 100% inspection to achieve Zero Defect target.
2.5 Advanced Product Quality Planning (APQP)
Suppliers are required to have a fully implemented APQP process as defined by the Senneca SQE based on component complexity and criticality. This assures new products or processes for prototype, pre-production and production achieve the intended results by a date agreed upon with Senneca.
2.6 Part Approval Process
An approval is required for all submissions unless specified otherwise by the Supplier Quality Engineering for the facility accepting delivery of the material or as otherwise identified on the purchase order and specified in the Quality Approval Checklist (QAC) at the time of sourcing (see Supplier Toolbox for forms).
Production Part Approval Dimensional Inspection Report (DIR) with supporting data and Part Approval requests are to be submitted directly to the Supplier Quality Contact of the receiving plant or as shown on the purchase order. Copy of QAC and DIR form can be found under Supplier Toolbox.
2.6.1 Enhanced Launch Control Plan (GP-12)
For major new product launches, Senneca implements an enhanced launch control plan as an extra precaution to insure there are no issues during a major production launch. The length of time and specific details are developed in conjunction with our customer. Senneca expects that our suppliers also implement an enhanced launch control plan for the same length of time that is required by our customer. Our SQE will work with you on the specific details and characteristics to be controlled utilizing GP-12 process.
2.7 Label Identification Requirements – 1 st Production Shipment and PPAP the initial PPAP submission to Senneca shall be clearly identified on all four sides of the shipping container using the Special Notification Label (SNL) found on the Senneca website. This labeling requirement also applies for shipping products under approved deviations. Any deviations to this requirement must be approved by your SQE. The Supporting Documents section shows an example of the label. To view and download this label, go to www.Senneca.com. Find it under the Supplier Toolbox section through the website link.
NOTE: Any shipment of first production lots shall be preceded by a PPAP submittal and approval. Any deviation to this requirement must be approved by your SQE.
2.8 Material/Product Deviation
The supplier shall not deviate from Senneca's engineering drawings, specifications or other Senneca requirements without written approval and/or deviation authorization from Product Engineering.
The supplier is responsible for the quality level of all material and/or product delivered to Senneca. If the supplier detects a non-conforming condition, he must immediately contain all non-conforming material and not allow it into the value stream. If the supplier feels the non-conformance will not affect form, fit, or function of the final assembly, they may submit a Supplier Request for Deviation (SRD) for review of product acceptance. The Supporting Documents section shows an example of a Supplier Request for Deviation (SRD) form and instructions. To view and download this form, go to www.Senneca.com. The written request shall be submitted through Senneca's Supplier Quality Assurance Department of the receiving facility along with the following information:
* Part number and latest engineering change letter
* Quantity of parts affected
* Specification(s) involved
* Statistical analysis of the non-conforming characteristic(s), as applicable
* A statement of the requested deviation
* The containment plan to be implemented
* Corrective/preventative action to be taken along with the timeline for implementation
A Non-Conformance Report (NCR) or Product Deviation will be issued. Reference to the NCR or Product Deviation shall be clearly noted on the Special Notification Label (SNL) and other documentation of the non-conforming shipment.
2.9 Traceability
Product traceability is a Senneca and customer requirement. Suppliers must provide unique identification of batches/lots or individual component parts as required. In most instances' components should be traceable to the raw material.
2.10 Supplier Evaluations
Senneca maintains records to evaluate suppliers. Consideration for the continuation, expansion, or termination of business is based on these evaluations. Examples of such records are:
* PPM of non-conforming material (The goal is 0 PPM)
* Non-Conforming Material Reports (NCRs)
* Stop shipment due to quality concerns
* Supplier responsiveness to quality issues
* Effectiveness of corrective action
* Warranty performance
* 100% on-time delivery with required quantities
* Cost reduction proposals
* Competitiveness and ability to meet marketplace pricing
Key suppliers shall be issued monthly scorecards. Written corrective actions shall be required if a supplier's performance fails to meet expectations for both quality and delivery. Supplier and/or sub-supplier audits may be conducted by Senneca to re-evaluate their status as approved suppliers to Senneca. An example of the Supplier Scorecard is shown in Supporting Documents section.
2.11 Cleanliness Requirements
Senneca requires that all material shall be clean and free of contamination including debris. The supplier is responsible for ensuring that all material/product delivered to Senneca shall be clean and free of contamination from debris and packaged in such a manner to assure material cleanliness
2.12 Packaging Requirements
Senneca requires that all suppliers provide packaging that is adequate to protect material/product from damage and contamination. Senneca reserves the right to require specific packaging practices such as, packing materials, bag-in-bag packaging, and restrictions on packaging size. These requirements shall be communicated through engineering specifications, drawings, and/or purchase order requirements.
2.13 Raw Material Requirements – Applies Only To Raw Material Suppliers
These requirements are applicable only for raw material that is procured for the purpose of manufacturing components within Senneca.
This does not apply to component suppliers. Component suppliers will reference the component part drawing for material requirements.
Senneca requirements for raw materials are conveyed to the supplier with the Request for Quote through Raw Material Specification Drawing "RXXX" where "X" represents a numeric character.
3.0 Supplier Support Procedures
3.1 Engineering Change Request
There shall be no change to the Engineering Specifications, Part Drawings, and Purchase Order Requirements or to the Process without written approval from Senneca.
If the supplier has an improvement or concern that can only be resolved with Engineering's assistance, a Supplier Change Request containing a complete description of the change with the reason accompanied by supporting documentation, should be submitted to the Senneca Purchasing Department. Supporting Documents Section shows an example of a Supplier Change Request (SCR) form and instructions. To view and download this form, go to www.Senneca.com.
3.2 Non-Conforming Product
If product is found to be non-conforming at Senneca, the supplier is expected to provide the resources necessary to contain, evaluate, sort and/or scrap the nonconforming product. Costs associated with processing an NCR/SCAR for confirmed nonconforming product will be debited to the supplier's account ($150.00 USD).
A Non-Conformance Report (NCR) and Supplier Corrective Action Request (SCAR) shall be issued to the supplier when a Senneca facility detects nonconforming product. The supplier's initial response including containment plan, shall be provided to Senneca SQE within 24 hours (one working day) from the date the supplier receives notification of the non-conformance.
Senneca and the supplier shall determine if the product can be inspected to remove defects from the "lot" that has been contained. It will be determined whether product is sorted on site or returned to the supplier. If time does not allow the supplier's personnel time to sort, then the supplier must contract with a 3 rd party inspection service. If it is determined that inspection alone cannot detect the defect, the product will be returned to the supplier or scrapped as agreed.
If the purchased product is needed for urgent production at a Senneca facility, the supplier shall provide a rapid inspection team to Senneca's production facility for inspection or provide a third-party inspection service with the cost of service being assumed by the supplier. The use of a third party to sort defective product does not relieve the supplier of their responsibility for the quality or delivery of product.
A written preliminary corrective action must be sent to the Senneca Supplier Quality Assurance Department within ten (10) days identifying the root cause. Final resolution of the corrective action should be made within thirty (30) days of the supplier's submittal. A Supplier Corrective Action Report (SCAR) must be furnished that outlines the problem using a formal problem resolution method, such as an 8D Methodology.
Any request for additional time should be directed to the appropriate Supplier Quality Engineer in writing. The written request shall include the action plan and timeline for implementation. If the supplier fails to fulfill the requirements for complaint responsiveness and effectiveness of problem resolution, they may have Controlled Shipping invoked and be put on new business hold until resolved.
3.3 Controlled Shipping
Controlled Shipping Level 1 (CS1) - Controlled Shipping CS1 is a demand by Senneca that a supplier put in place a redundant inspection process at the supplying location to 100% sort for a specific and specified nonconformance to isolate Senneca from receipt of nonconforming parts/material. The redundant inspection must be in addition to the normal process controls.
Implementation criteria for Controlled Shipping Level 1:
* Repetitive issue
* Suppliers current controls are not sufficient to ensure conformance to requirements
* Duration, quality, and/or severity of the concern
* Major disruptions
* Quality concern at a customer
Exit criteria for Controlled Shipping:
* Twenty working days of data (from implementation of corrective action) verifying that the normal production controls are effective for controlling the discrepancy identified in the Controlled Shipping activity. Note: Volume to be determined by Senneca where suppliers use batch processes.
* Senneca Supplier Quality has the option to alter the timeframe.
* Documentation showing root cause was identified and verified.
* Documentation indicating that corrective action was implemented and validated.
* Copies of all documentation revised as required (Control Plan, PFMEA, operator instructions, etc.)
* Request exit from Controlled Shipping Level 1 and provide supporting documentation and assessments on performance and corrective actions to the appropriate Customer representative.
Note: Senneca's approval must be given prior to Supplier stopping Controlled Shipping. An audit by Senneca may be required prior to approval.
3.4 Supplier Cost Recovery Process
If non-conforming products enter Senneca or become a warranty problem, it shall be the supplier's responsibility to aid Senneca in evaluating and correcting the problem. Senneca shall be entitled to recover from the supplier all costs and expenses reasonably incurred in taking corrective action.
3.5 Error – Proofing
Senneca's expectation is zero defects.
Achieving this level of quality requires capable processes combined with statistical process control techniques and the utilization of error-proofing methodology.
When causes of non-conformance are determined, the supplier shall employ solutions in the process to prevent or detect these non-conformances. These solutions shall be independent of operator's actions.
Solutions shall be designed and installed integral to the process to prevent or detect defects.
3.6 Continuous Improvement Process
The supplier should promote and implement a continuous improvement philosophy applying proven methodology and processes.
These methods and processes shall be used throughout the Supplier organization to continually improve the quality, delivery, cost and service of supplier products.
Recommended tools of the continuous improvement process are:
* Benchmarking
* Brainstorming
* Pareto Analysis
* 5-Way Analysis
* Decision Tree Charts
* Cause and Effect
* Process Capability/Performance
* Cost Benefit Analysis
* Process Mapping, etc.
3.7 Statistical Techniques
Suppliers will be requested to monitor process performance using the appropriate statistical techniques in accordance with AIAG Statistical Process Control manual if applicable. The determination of need is based on the ability to control and verify the process capability and product characteristics. Statistical monitoring (SPC) shall be used for any key characteristics on the drawing and submitted to your Senneca SQE. The use of quality planning tools such as Design Failure Mode and Effects Analysis (DFMEA) and/or Process Failure Mode and Effects Analysis (PFMEA) is essential.
Suppliers are encouraged to use statistical techniques including:
* Gauge R&R Study
* Defect Analysis
* Predictive Maintenance
* Process Analysis with Control Charting Methods
* Sampling and Process Analysis
* And other Graphical Methods
3.7.1 Cp/Cpk Information
Senneca will monitor process Cp/Cpk indices for all Major, Significant and Critical characteristics on our drawings identified by engineering and SQE. All key characteristics should be under statistical process control and results demonstrated upon request.
3.8 Packaging and Shipping Identification
Products are to be packaged in such a manner to provide adequate protection against subsequent product degradation and contamination. Each container shall be clearly marked and identified as outlined in Senneca's "Labeling Standards for Inbound Shipments" manual. A copy of this manual is located at www.Senneca.com (found under the Supplier Toolbox).
3.9 Record Retention Guidelines
All quality records should be retained a minimum of three years unless otherwise specified in the supplier's quality manual and agreed to by Senneca. These records shall be stored in an environment that does not allow document deterioration and are readily accessible upon request by a Senneca representative. It is also expected that the supply chain records pertaining to Senneca products shall be retained in the same manner. Section 3.13 lists examples of typical records.
3.10 Cost Reduction and Continuous Improvement
Cost reductions are viewed as an essential aspect of maintaining a competitive position for both the supplier and Senneca. The supplier shall endeavor to provide cost reduction and continuous improvement suggestions to Senneca. All proposals shall be submitted to the Purchasing Department. A supplier may be asked to provide a commercial review for a cost or continuous improvement proposal. See also 3.6.
3.11 Governmental and Safety Constraints
All materials and products must satisfy current governmental and safety constraints. This shall include, as a minimum, certification of material content. It is required that suppliers be compliant to the following:
* IMDS (International Material Data System)
o Since 2000, the International Material Data System (IMDS) is a collective, computer-based material data system used primarily by automotive OEMs to manage environmentally relevant aspects of the different parts used in vehicles. It has been adopted as the global standard for reporting material content in the automotive industry. Link: http://www.mdsystem.com/
* REACH (Registration, Evaluation, Authorization, and Restriction of Chemicals)
o The main aims of REACH are to ensure a high level of protection of human health and the environment from the risks that can be posed by chemicals, the promotion of alternative test methods, and the free circulation of substances on the internal market and enhancing competitiveness and innovation. It entered into force on June 1, 2007.
o Link: http//ec.europa.eu/enterprise/sectors/chemicals/reach/index_en.htm
* RoHS (Restriction of the Use of Certain Hazardous Substances)
o The restriction of the Use of Certain Hazardous Substances in Electrical and Electronic Equipment Regulations 2012 (SI 2012 No. 3032), ("the RoHS Regulations 2012") will implement the provisions of European Parliament and Council Directive on the Restrictions of the use of certain Hazardous Substances in electrical and electronic equipment (2011/65/EU5 ("RoHS 2"). The original RoHS
Regulations have restricted the placing on the UK market of new Electrical and Electronic Equipment (EEE) containing more than the permitted levels of lead, cadmium, mercury, hexavalent chromium and both polybrominated biphenyl (PBB) and polybrominated diphenyl ether (PBDE) flame retardants in certain products since July 1, 2006.
o Link: http://ec.europa.eu/environment/waste/rohs_eee/
* Conflict Minerals
o Link: http://www.sec.gov/spotlight/dodd-frank/speccorpdisclosure.html
o Under Dodd-Frank, SEC-registered companies are required to report annually to the SEC on (a) their worldwide use of conflict minerals in products they manufacture or contract to manufacture, and (b) the cooperation of their supply chains in identifying the use of conflict minerals; identifying the country of origin for any tantalum, tin, tungsten, and gold; and determining whether conflict minerals from the DCR region are "conflict free" (that is, they do not directly or indirectly finance armed groups through mining or mineral trading in the DCR region).
* Packaging & Waste Materials
o Link: http://www.epa.gov/oswer/international/factsheets/200610- packagingdirectives.htm
o This directive harmonized actions taken by EU nations to promote reuse and recycling and to manage packaging and packaging wastes. The 1994 Packaging Directive focuses on prevention, reuse, recycling, and other forms of recovery, and establishes the rudiments of extended producer responsibility principles. These principles require manufacturers to play a role in mitigating the post-consumer environmental impacts of products from which they profit.
3.12 Prototype Components
Prototype components serve a critical function towards qualifying products for the market. Manufacturing components from a process similar to the intended production process and having documentation of that process will affect the success of a program. At a minimum, a prototype supplier should have in place a Process Flow Chart and Control Plan to support Advanced Product Quality Planning. The AIAG Control Plan works best. The supplier is not restricted to using the forms that are found in the AIAG manuals. A supplier may, at their discretion, use any suitable means to document their processes used to produce a prototype part or assembly, provided it has been reviewed and approved by a Senneca SQE. The Supporting Documents section shows an example of a Control Plan Worksheet. To view and download this form, go to www.Senneca.com.
A PROTOTYPE Control Plan should consider at a minimum, the following:
* Characteristics - Process characteristics determined by the supplier or product characteristics as defined on the Senneca drawing.
* Special Characteristics - Classification such as Critical, Major, Significant Process Significant, or High Impact - (to be agreed with Engineering and SQE)
* Evaluation & Measurement Technique – Identify the measurement system being used. Gauge type and accuracy of gauge for the tolerance being measured.
* Gauges and test equipment identified on the Control Plan.
* Sample size and frequency of taking measurements.
* Plan policy should state re-work or repair requires Senneca approval.
* Senneca may request the opportunity to approve the prototype-build Control Plan.
Process Flow Charts serve to identify strategic functions and sequence of operations within the process flow. A process flow chart should be submitted with the first sample of prototype parts.
After producing components, the supplier shall provide a Sample Inspection Report (SIR) which lists all of the characteristics identified on the Senneca print. The Supporting Documents section shows an example of a Sample Inspection Report (SIR). To view and download this form, go to www.Senneca.com. All documentation supplied to Senneca should reference "Prototype Parts" in the header. The supplier must utilize the balloon numbering assigned to dimensions by Senneca if they apply. If the Senneca print does not relate the dimensions with balloons, then the supplier shall do so and submit a copy of that ballooned print along with the matching first article inspection results to Senneca. A copy of the inspection results must be submitted with the parts shipment regardless of the quantity. In addition to the above, each supplier of prototype product shall be required to provide certification for material and any special processes, (heat treat, coating, etc.) when it is applicable.
3.13 Record Retention
Examples of records for retention may include, but are not limited to:
* Measurement Data
* Measurement System Analysis Data
* Gauge Calibration and Maintenance Records
* Capability and SPC Data
* Heat Treatment Processing Data
* Destructive and Non-Destructive Testing Data
* Functional and Performance Test Data
* Quality Rejections and Disposition Records
* Corrective Action Requests and Responses
* Major Process Change data
* Production Lot Control Data
o Product ID / Traceability
* Initial Sample Inspection Report
4.0 Supporting Documents
The supplier must have the current editions of the following documents and any other reference documents available for review at all appropriate manufacturing locations.
* Advanced Product Quality Planning (APQP) and Control Plan Manual
* Production Part Approval Process (PPAP) Manual
* Failure Mode and Effects Analysis (FMEA) Manual
* Measurement Systems Analysis (MSA) Reference Manual
* Statistical Process Control (SPC) Reference Manual
16
4.2 Nonconformance Report (NCR)
4.3 Supplier Request for Deviation (SRD)
4.4 Supplier Change Request
20
|
An Unresponsive Woman Found Down
Murliya Gowda MD, PGY-3 Internal Medicine
A middle-aged unidentified female presented by fire rescue to the emergency department after being found unconscious in the snow. Her identity, familiar contacts, and medical history were not known, but the patient was presumed to be homeless.
On examination, the patient was found to have a core body temperature of 75 F, an accucheck of 75, a palpable systolic blood pressure of 60, heart rate of 39, and shallow but spontaneous respirations. Pulse oximetry was not obtainable secondary to her cold peripheral extremities. In general, she was a thin disheveled female dressed in multiple layers of clothes with damp boots, and unresponsive to voice and tactile stimulus. The patient had a dry oropharynx, anicteric sclera, but equal and reactive pupils bilaterally. There was no evidence of facial droop, jugular venous distension, or thyromegaly. Her heart rate was slow but regular and there were no audible murmurs. Lung exam revealed mostly clear breath sounds, although decreased at the bases. Abdomen was nontender and soft, with mild to moderate distention and no organomegaly. Extremities were cold, with severe sloughing of the skin over both feet and ankles (trench foot and wet gangrene). Dorsalis pedis pulses were intact by Dopplers. Neurological exam revealed symmetric reflexes throughout with downgoing plantar reflexes. She was immediately intubated for airway protection and started on warmed intravenous fluids, with warming blankets and warmed oxygen. She was taken to the CCU for further monitoring and care.
Laboratory data revealed a WBC 6,000/ml3, hemoglobin 9.5 grams/dL, and 154,000 platelets. Coagulation profile was abnormal with a PTT of 60, PT of 27.7, and INR of 2.42. Urinalysis was significant for 4+ blood and 20 RBCs. A post-intubation arterial blood gas revealed a serum pH of 7.45, pCO2 of 34, PO2 of 150 and 100 % oxygen saturation. BUN was elevated at 36 with a normal creatinine, and both blood alcohol and urine drug screens were negative. Amylase, lipase, and chemistries were normal. Chest x-ray revealed a normal cardiomediastinal silhouette and no consolidation. Head CT on admission showed no acute intracranial abnormalities. Echocardiogram showed normal right and left ventricular function, no pericardial effusion and trace mitral regurgitation, tricuspid regurgitation and mild
pulmonary regurgitation. ECG showed sinus bradycardia with a heart rate of 44, borderline intraventricular conduction delay, prolonged QT interval, and Osborne waves (J waves).
The patient was later identified as a 55 year-old homeless female with past medical history significant for schizophrenia, HIV, alcohol and tobacco abuse. The patient was treated for severe hypothermia compounded by MSSA bacteremia, sepsis, frostbite and wet gangrene of the lower extremities, eventually requiring bilateral below the knee amputations.
Brief Discussion
Approximately 700 people die in the United States each year as a result of hypothermia. Risk factors include homelessness, mental illness, older age, and alcohol and drug addiction. Hypothermia is a core body temperature less than 35 C (95 F). It can be additionally categorized into mild hypothermia (32 C to 35 C or 90 F to 95 F), moderate hypothermia (28 C to 32 C or 82 F to 90 F), and severe hypothermia (below 28 C or 82 F). At these temperatures, the systems responsible for thermoregulation begin to fail. Temperature regulation includes the balance between heat production and loss. Heat is generated through various cellular mechanism and is lost through evaporation, radiation, conduction (transfer of heat to another object) or convection (transfer of heat to air currents). Temperature is regulated in the nuclei of the preoptic anterior hypothalamus. Activation of thermostats in the nuclei and peripheral cold receptors initiate compensatory mechanisms, which eventually leads to progressive depression of metabolism in each organ system. In cold temperatures, the hypothalamus stimulates heat production through shivering and
33
(Continued from previous page)
increases catecholamine, thyroid and adrenal activity. Other compensatory mechanisms include vasoconstriction, which reduces heat loss by decreasing flow to peripheral tissues. As metabolism in each organ system slows, complications such as cardiac arrhythmias, confusion, lethargy, hypoventilation, pulmonary edema, muscle rigidity, metabolic derangements, and bleeding diatheses, including DIC, can ensue.
Cold exposure is the most obvious cause of hypothermia, but there are also many other conditions that can exacerbate or precipitate it. Altered pituitary/adrenal/thyroid axes can predispose, along with hypoglycemia, sepsis, pancreatitis, uremia, and neurological diseases. Illicit drugs or iatrogenic medications can also alter body temperature fairly rapidly.
Medical approach for hypothermic patients primarily focuses on airway protection, volume resuscitation, careful monitoring of core body temperature, rewarming techniques, and management of complications. Endotracheal intubation is important in these patients for airway protection, particularly in those with altered mental status or a diminished cough reflex. Many develop bronchorrhea with copious secretions, progressing to frank pulmonary edema in some patients. Volume resuscitation and pressor support are also important elements in the management of hypothermic patients. As core temperature rises, peripheral vasodilatation occurs, leading to profound hypotension. Aggressive intravenous hydration with warmed saline is crucial.
Hypotension can contribute to cardiac arrhythmias, which can be refractory to conventional therapies. Specifically, the bradyarrhythmias are typically unresponsive to atropine and pacing is not indicated, unless they persist after adequate rewarming. Classic ECG findings show a sinus bradycardia with elevation of the J-point (J or Osborne wave), representing distortion of membrane repolarization. Ventricular arrhythmias occur when core temperature is less than 82 to 90 F (28 to 32 C). At these temperatures, the myocardium becomes more susceptible to hypoxia, movement, and hypovolemia. Caution must be taken not to jostle the patient, as sudden movement can predispose them to instantaneous arrhythmias. Often, ventricular arrhythmias are treatment-refractory until core body temperature has returned to normal. Standard ACLS protocol is quickly initiated (defibrillation and appropriate pharmacological agents); if initially unsuccessful, rewarming techniques with CPR must be instituted first, and after core body temperature has reached 86 F to 90 F (30 C to 32 C), defibrillation should be reattempted. In some studies, ventricular arrhythmias in animal models have shown a response to bretylium, which has even been used prophylactically at some institutions. Life-supporting measures are continued, unless the body is completely frozen and chest compressions cannot be performed adequately, or there is ice in the airways. There have been case reports describing resuscitation efforts lasting several hours, until the patient has been sufficiently rewarmed.
Monitoring core body temperature is a crucial element in the management of hypothermic patients. The goal is to increase core body temperature 1 to 2 degrees per hour, and temperature should be monitored at more than one site. Standard thermometers can give readings as low as 93 F, and in these situations cannot reliably be used. It should also be noted that rectal and bladder probes have temperature readings that tend to lag behind true core body temperature, while esophageal temperature probes can be falsely elevated due to inhalation of warmed air. Rewarming techniques include intrinsic heat production (shivering), removal of wet clothing, and the use of heating blankets and pads/insulation. Active internal warming techniques, including pleural, peritoneal, and bladder irrigation with warm saline, continuous veno-veno or arterio-veno hemodialysis, and cardiopulmonary bypass with warmed oxygen are more invasive options. Pleural and peritoneal lavage is recommended only in patients with a normal cardiac rhythm and a stable blood pressure. During the rewarming process, a unique phenomenon known as afterdrops can occur. Afterdrop occurs when the extremities and trunk are warmed simultaneously and cold acidotic blood from the periphery returns to core circulation, causing acute temperature drops.
Complications of hypothermia are of particular concern. Skin damage from both cold exposure (i.e. frostbite and trenchfoot) or from heating pads are common. Care must
(Continued from previous page)
be taken not to rub or massage the skin and induce further friction-related injuries. Compartment syndrome and gangrene are frequently seen, which can lead to limb or digit amputation. Metabolic derangements such as rhabdomylosis, acidosis, hyperglycemia, hypoglycemia, and adrenal suppression can also occur. In severe progression, renal failure, DIC, pancreatitis, sepsis and shock liver can lead to death. Initial work up should always consist of chest x-rays, ECG and complete laboratory studies including TSH, cortisol, electrolytes, CBC, LFTs, pancreatic enzymes, serial arterial blood gases, and coagulation studies. Head CT, urine drug screen and blood alcohol level in the unresponsive patient can help rule out other etiologies of syncope. Empiric antibiotics, thiamine, dextrose, and naloxone for patients with altered mental status should also be considered.
In summary, the management of the hypothermic patients focuses on combined resuscitative and rewarming techniques. Resuscitation efforts should be continued until the patient is adequately rewarmed, as arrhythmias can be refractory to standard therapies until the core body temperature is reached. The low temperatures do have a protective effect on neurological function, allowing for patients to recover after a prolonged arrest. Complications can still occur long after rewarming, and careful monitoring of the patient in a critical care setting is essential.
References
1 Antretter, H., Bonatti, J., Dapunt, O. E., Hernández, E., Praga, M., Alcázar, J. M., Murray, P. T., Fellner, S. K., Mülleneisen, N., Danzl, D. F., Pozos, R. S. (1995). Accidental Hypothermia. NEJM 332:1033-1035.
2 Danzl, D. & Pozos, R. S. (1994). Accidental hypothermia. NEJM 331:1756-1760.
3 Grinspoon, S. K., Hedley-White, E. T. (2001). Case 352001 81 year-old male with hypothermia, bradycardia, and confusion . NEJM 2001 345:1483-1488.
4 Jolly, B., Ghezzi, K. (1992). Accidental hypothermia. Emergency Medical Clinics of North America 10:311-327.
5 Lazal. H. L. (1997). The treatment of hypothermia. NEJM 337:1545-1547.
6 McInerney, J., Breakell, A., Madira, W., Davies, T., Evans, P. (2002). Accidental hypothermia and active rewarming: the metabolic and inflammatory changes observed above and below 32{degrees}C. Emergency Medical Journal 19: 219-223.
7 Mechem, C., Accidental Hypothermia. Up to Date 2003.
8 Offenstadt, G., Harries, M., MacKenzie, M. A., Walpoth, B. H., Mattle, H. P., Althaus, U. (1998). Accidental Deep Hypothermia. NEJM 338:1160-1162.
35
|
May 29, 2007
Via Electronic Delivery
Nancy M. Morris Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549-1090
Re: File Number S7-09-07: Model Privacy Form
Dear Ms. Morris:
The Securities Industry and Financial Markets Association ("SIFMA") 1 appreciates the opportunity to comment on the Interagency Proposed Rule for Model Privacy Form (the "Model Form") under the Gramm-Leach-Bliley Act ("GLB Act") jointly issued by the Securities and Exchange Commission (the "Commission") and the other Federal agencies 2 (the "Agencies"). The Agencies' proposal responds to Congress's direction in the Financial Services Regulatory Relief Act of 2006 (the "Regulatory Relief Act") to jointly develop a model form that may be used at the option of financial institutions to provide initial and annual privacy notices under section 503 of the GLB Act. 3
I. SUMMARY
SIFMA recognizes the importance of respecting customer information and strongly supports the GLB Act privacy provisions. Our member firms have worked hard to provide consumers with accurate and meaningful information about their privacy policies in order to make informed choices. We commend the Commission and the Agencies on their efforts to develop a model form that provides clear and conspicuous disclosures, is comprehensible to consumers and is succinct.
1 The Securities Industry and Financial Markets Association ("SIFMA") brings together the shared interests of more than 650 securities firms, banks and asset managers. SIFMA's mission is to promote policies and practices that work to expand and perfect markets, foster the development of new products and services and create efficiencies for member firms, while preserving and enhancing the public's trust and confidence in the markets and the industry. SIFMA works to represent its members' interests locally and globally. It has offices in New York, Washington D.C., and London and its associated firm, the Asia Securities Industry and Financial Markets Association, is based in Hong Kong.
3 Section 728 of the Financial Services Regulatory Relief Act of 2006, Pub. L. 109-351, 120 Stat. 1966.
2 Comptroller of the Currency, Board of Governors of the Federal Reserve System, Federal Trade Commission, Office of Thrift Supervision, Federal Deposit Insurance Corporation, National Credit Union Administration and the Commodity Futures Trading Commission.
SIFMA believes that a model disclosure form can serve consumers and financial institutions. We also believe the structure of the proposed Model Form establishes a format that could potentially make privacy notices clearer and more useful to consumers.
However, because of the rigidity and prescriptive nature of the proposed Model Form many firms will not be able to accurately reflect their practices in the form as proposed. Therefore, in order to make the Model Form applicable to actual firm policies as well as useful and meaningful to consumers, SIFMA recommends that the Commission and the Agencies provide financial institutions with flexibility to modify certain items contained in the Model Form to reflect institutions' actual information collection practices and disclosure policies. We present below various ways in which this flexibility may be accomplished.
In addition, SIFMA believes that certain operational aspects of the proposal are needlessly burdensome. Providing additional flexibility in the areas presented below will improve the usefulness and comprehension of the Model Form to consumers without diminishing its importance. SIFMA member firms indicate that it is more likely that they will use the Model Form if the Agencies provide additional flexibility which enables them to more accurately describe their privacy and information sharing policies to consumers.
Accordingly, we are pleased to present the following comments.
II. PROPOSED MODEL FORM
We appreciate that the Commission's proposed rule provides that use of the Model Form constitutes compliance with the notice content requirements of Regulation S-P. While the Model Form provides consumers with a simple presentation, SIFMA is concerned that in some sections, the Model Form is overly simplistic. We believe that the format may not enable financial institutions to adequately convey certain details of their information-sharing practices. For example, institutions may adopt different sharing practices depending upon the sensitivity of the information. Accordingly, we request the Agencies provide financial institutions with flexibility to modify the language of the Model Form as indicated below without affecting their ability to continue to fall within the safe harbor provided in the proposal.
A. Page One
i. Affiliates
The proposed rule states that page one permits an institution to include on the form the name of the financial institution or a group of affiliated institutions providing the notice on the form. SIFMA agrees that affiliated institutions should be permitted to adopt a single privacy notice for affiliated institutions. However, given the limited space available and the fact that in many instances the names of affiliates are not similar, SIFMA is concerned that consumers may not comprehend to which institutions the notices apply. To alleviate this concern, SIFMA believes that financial institutions should be permitted to indicate on the Model Form the names of the
institutions covered by the policy. This could be accomplished through the use of a footnote, a listing on the reverse side of the form, or provision for expansion of the definition of the term "affiliates" on page 2 of the Model Form.
Financial institutions often have sharing practices that differ among affiliated entities, divisions and lines of business. If such organizations desire to use a single Model Form for all their affiliated entities, divisions and lines of business, the form must reflect the sharing practices of each business unit. For example, the department that administers customer retirement accounts may have a sharing policy that differs from that of the related retail brokerage operation. The proposed Model Form does not currently accommodate differing disclosures. Accordingly, in order to facilitate the ability of institutions to send a single Model Form that accurately reflects the sharing policies of affiliates, divisions and business lines, SIFMA requests the Agencies permit firms to indicate the sharing practices of each affiliate, division or business line in the disclosure frame on page 1 of the Model Form if appropriate to reflect varying sharing policies among such business units.
If the Commission and the Agencies provide this flexibility, affiliated financial institutions and separate business units will be able to deliver a single Model Form to customers. This will avoid having consumers receive the same Model Form from companies and business units that are part of the same enterprise. Receiving the same form multiple times from the same enterprise could prove confusing and frustrating to consumers, who will wonder why they are receiving so many notices from the same organization. Avoiding the need to send multiple forms to the same customer has the added benefit of conserving resources and reducing costs incurred by financial institutions. Such flexibility also benefits the environment because fewer forms means using fewer natural resources to prepare Model Forms and attend to their disposal.
The Agencies also ask whether an institution regulated by the Commission and an affiliated institution regulated by one of the Agencies that intend to provide a joint privacy notice should be able to rely on the Commission Model Form or the form proposed by the other Agencies. SIFMA believes that affiliated financial institutions should have the ability to rely upon either Model Form. The differences between the two Model Forms are already slight. If the Agencies provide the flexibility as described below, institutions will strive to achieve even greater uniformity and consistency among affiliates. Accordingly, providing affiliated financial institutions with the ability to use either form should provide meaningful disclosure to consumers.
ii. Information Collected
The key frame entitled "What?" sets forth the type of information financial institutions collect and share. Financial institutions may not alter the language in this frame. SIFMA believes that the inability to indicate what information the institution actually collects has the potential to mislead and cause confusion among consumers. For example, the key frame applicable to securities firms indicates that they may collect and share credit history and credit scores. Many securities firms do not collect such information. It is likely that securities firms will receive
numerous inquiries from consumers expressing concern as to why such information is collected. Our member firms believe that their ability to disclose their information collection and sharing practices will be more meaningful to consumers and better enable them to compare privacy policies among financial institutions. Accordingly, in order to provide more accurate disclosure and avoid needless confusion, SIFMA believes that financial institutions should have the flexibility to modify this frame to reflect the types or categories of information institutions actually collect and share.
iii. Account Closure
The key frame entitled "What?" also contains the statement that the institution will continue to share information about a customer when the account is closed. SIFMA requests that the Commission and the Agencies clarify that financial institutions are not required to provide a statement regarding sharing of information relating to closed accounts if the institution does not share information after an account is closed.
In addition, SIFMA is concerned that this statement is placed in an incorrect location and could be easily overlooked. In order to make this disclosure more meaningful to consumers, SIFMA suggests that the statement should not appear in the "What?" frame but rather in the "How?" frame, which relates more directly to information-sharing practices rather than the type of information collected and shared.
iv. Disclosure Table
SIFMA agrees with the Agencies that the disclosure table is the heart of the Model Form. Accordingly, it is important to ensure that the information contained in the table accurately reflects an institution's sharing practices. The Agencies state that the first column entitled "Does [name] share?" permits only a "yes" or "no" answer. SIFMA is concerned that the rigid structure of the permitted responses in the first column does not provide financial institutions with sufficient flexibility to accurately describe their actual privacy and information sharing policies. For example, a financial institution should be permitted to indicate in the column that it shares with certain affiliates, including the name of specific affiliates with which it shares, or types of institutions. This additional flexibility will provide additional clarity to consumers and will not weaken the goal of making the disclosures clear and understandable.
SIFMA also believes that the first row of the Disclosure Table is unnecessary because it repeats virtually the same information that is in the frame entitled "How?" There is simply no reason why the Model Form should contain precisely the same information in two consecutive sections. SIFMA questions the need to mention in the Disclosure Table that financial companies share information for everyday business purposes. As the Model Form indicates, all financial companies need to share personal information to process transactions and maintain accounts. No institution could possibly provide consumers with an opportunity to opt-out from such sharing because an opt-out would thwart the ability of the company to deliver the products and services consumers have
contracted for. Providing a consumer with the opportunity to opt-out from sharing for everyday business purposes is inconsistent with a company's responsibility to provide products and services in a timely, efficient manner. Retaining this provision in the Disclosure Table runs the risk that customers will conclude that the company has chosen not to give them a choice when, in reality, there is no logical or practical reason for providing customers with the opportunity to opt out under these circumstances. Eliminating this row from the Disclosure Table does not affect the ability of consumers to compare sharing policies across financial institutions because, as the Model Form clearly states, "[a]ll financial institutions need to share customers' personal information to run their everyday business . . ." To us, this means that no institution will provide consumers with an opportunity to opt out from such sharing. Accordingly, SIFMA recommends that this row of the Disclosure Table be deleted because it is unnecessary and provides no additional information to customers. In this regard, SIFMA also suggests that the language in the "How?" section be modified to inform customers that they may not limit sharing of information for everyday business purposes.
v. State and Global Requirements
As the Commission and the Agencies are aware, as permitted by the GLB Act, several states have adopted additional privacy and disclosure requirements. Institutions have modified their privacy policies to accommodate the additional requirements that are applicable to customers in the affected states. In addition, some member firms have modified their GLB Act privacy policies to comply with privacy requirements of foreign countries. The rigid nature of the Model Form does not allow for alteration to address these unique state and international requirements. Accordingly, SIFMA requests that the Commission and the Agencies permit financial institutions to modify the language of the Model Form to incorporate changes that affect consumers in states that have altered the GLB Act requirements as well as other privacy laws of states and foreign countries that have differing requirements for their residents.
vi. Contact Information
The contact information section permits financial institutions to provide a telephone number or a web address. Actual practices of member firms differ based upon customer preferences and business needs. SIFMA recommends that financial institutions should be permitted to provide contact information based upon their actual practices rather than simply a telephone number or website address.
B. Page 2
i. Frequently Asked Questions on Sharing Practices
The Agencies state that the language contained in the section entitled "Frequently Asked Questions" may not be altered. SIFMA believes that the inability to modify the FAQs to reflect an institution's actual sharing practices has the potential to mislead and cause confusion among consumers. For example, the FAQ which indicates that a firm collects personal information when the customer uses a credit or debit card may have no relation to a particular company's business. It is likely that such information will result in numerous inquiries from consumers expressing concern as to what this FAQ means. It would be more meaningful to consumers and better enable them to compare privacy policies among financial institutions if information in the FAQs reflected an institution's actual sharing practices. Accordingly, SIFMA recommends that the Agencies provide institutions with flexibility to modify the FAQs to reflect an institution's actual sharing policy.
SIFMA also believes that it may prove confusing to consumers to have a FAQ regarding information collection practices in the section entitled "sharing practices." The collection of information would appear to have little reason to appear in the "sharing practices" section. Accordingly, SIFMA recommends that the FAQ regarding information collection be moved to a more appropriate section.
SIFMA also believes that the response to the first FAQ does not accurately reflect when financial institutions are required to provide information to customers. The Model Form states that institutions "must notify [customers] about [their] sharing practices when [the customer] opens an account and each year while [the customer] is a customer." The GLB Act and Agencies' regulations provide that the initial notice that reflects the institution's privacy policies and practices are to be provided when the person becomes a customer and annually thereafter. 4 If the customer obtains an additional product or service, no additional notice is required if the prior notice delivered to the customer was accurate with respect to the new product or service. 5 Accordingly, SIFMA recommends that the Model Form be changed to state that institutions must notify customers about their sharing practices when the person becomes a customer and each year while he or she is a customer.
ii. Definitions – Everyday Business Purposes
The definition of "everyday business purposes" provides short examples of instances where institutions routinely share information. SIFMA believes that the three examples provided do not adequately convey the range of circumstances under which information may be shared for everyday business purposes across the numerous types of financial institutions subject to the GLB Act. SIFMA believes that it would be more meaningful to consumers if financial institutions could expand this disclosure to include additional instances in which they share information. For example, a financial institution's sale of assets or a sale of a business may involve the transfer of customer information to the purchaser. This constitutes an everyday business purpose, yet is not included in the definition. Further, the definition includes disclosure of information to credit bureaus. This has the potential to confuse customers if an institution is not providing information to credit bureaus. SIFMA believes that institutions should be permitted to modify the definition of everyday business purposes to reflect the institution's actual practices.
4 See, e.g., 12 C.F.R. § 216.4(a)(1); 216.5(a)(1).
5 See, e.g., 12 C.F.R. § 216.4(d).
C. Page 3
i. 30 Day Delay
The third page of the Model Form provides that institutions are required to delay sharing for 30 days from the date of the Model Form. Because the Model Form will be sent each year, this seems to suggest that every year a financial institution is required to cease sharing a customer's nonpublic personal information for 30 days from the date of the annual notice. SIFMA believes that this is not what Regulation S-P intends or requires. SIFMA believes that the Commission did not intend to impose a 30-day moratorium on sharing each year. See 17 C.F.R. § 248.10. Such a moratorium may be contrary to the wishes of customers who have previously chosen not to opt out because it may prevent them from receiving information about products and services offered by third parties. Moreover, as a practical matter, institutions cannot possibly implement a 30-day moratorium on information sharing each year. Accordingly, SIFMA request that the Model Form be modified to indicate that the 30 day waiting period applies only to the initial optout opportunity provided to consumers when they first become customers, as set forth in Regulation S-P.
ii. Partial Opt-out
Regulation S-P permits firms to allow a consumer to select certain nonpublic personal information or certain nonaffiliated third parties with respect to which the consumer wishes to opt-out. See 17 C.F.R. § 248.11(c). The Model Form does not appear to permit institutions to offer partial opt-outs to consumers. Because the Commission's Regulation S-P permits partial opt-out, in order to ensure that institutions are able to accurately describe to customers their available opt-out options, SIFMA requests that firms be provided such flexibility in the Model Form. SIFMA also suggests that the Agencies permit financial institutions to modify the disclosure table on page 1 of the proposed Model Form to reflect these options.
iii. Affiliate Opt-Out
The opt-out form provides a choice that permits a consumer to prohibit the institution from allowing its affiliates to use the customer's information to market to the customer. SIFMA is concerned that this statement does not accurately convey the fact that Section 624 of the Fair Credit Reporting Act ("FCRA"), 6 as amended by section 214 of the Fair and Accurate Credit Transactions Act of 2003 ("FACT Act"), permits a company to use information of an affiliate to market to a customer under a variety of circumstances without providing customers the opportunity to opt out. For example, a company may use information of an affiliate for marketing purposes if the person is a customer of both institutions, or if the person authorized or requested the solicitation. Accordingly, SIFMA requests that financial institutions be permitted to modify the Model Form to indicate that consumers do not have the right to prevent an institution from using an affiliate's information if the consumer is a customer of both institutions.
6 15 U.S.C. § 624(a)(4).
III. OPERATIONAL ISSUES
As the Commission and the Agencies are aware, financial institutions incur considerable expenses in connection with compliance with the initial and annual GLB Act privacy notice requirements. Institutions have adopted policies and procedures that enable them to provide privacy notices in an efficient and economical manner. SIFMA member firms have advised us that several aspects of the proposed Model Form will require them to implement dramatic changes to their existing procedures and will impose significant additional burdens and expenses on them. The following presents our views on important operational effects of several proposed requirements.
A. Size of Paper
The proposal requires that the Model Form be printed on 8 ½" by 11" paper. SIFMA does not believe that it is necessary for the Agencies to specify the paper size in order for the Model Form to accomplish the objectives set forth in the Regulatory Relief Act. SIFMA believes that consumers will be able to comprehend the information in the Model Form without having to specify the size of the paper on which the form is printed. In this regard, we note that the Agencies tested the Model Form only on 8 ½" by 11" paper. As a result, the test results do not indicate whether the Model Form would be just as effective if it were printed on smaller or larger-sized paper. Member firms have found that the size of the paper is not as significant as how information is presented and the nature of the information the document contains. Using different-sized paper also enables financial institutions to economize on paper costs. This means that less paper will be used and fewer natural resources will be consumed in meeting the requirements of the GLB Act and in disposing of forms not retained by consumers. This will help conserve the environment, which we believe is a worthy objective. In light of this, we recommend that no paper size requirement be established.
B. Number of Pages
The proposal provides that the Model Form appear on two pages, and, if applicable, the opt-out form appear on a separate page. The Agencies propose to require that each page be printed on a separate sheet of paper because consumers stated a preference for the model that allowed them to view the information on pages one and two side-by-side. SIFMA objects to the requirement that pages one and two be printed on separate pages. Such a requirement will significantly increase an institution's cost for paper, handling and processing. Moreover, a requirement of a multipage Model Form does not materially increase consumer comprehension and usability because, as the Agencies concede, the research they conducted indicated that page one alone was adequate for consumer comprehension and usability. 7
7 72 Fed. Reg. at 14944. See, also, "Evolution of a Prototype Financial Privacy Notice," Kleimann Communication Group, Inc. at 7 (February 28, 2006) ("The Secondary Frame is page 2 of the prototype. . . Testing did not show this information as essential for consumers to have, . . .")
Permitting a financial institution to print the Model Form on one sheet of paper will save an enormous amount of natural resources and reduce expenses. We estimate that requiring an additional sheet of paper will increase the cost by approximately $7,500 per million notices. As a result, a financial institution that sends 5 million notices per year could save $37,500 per year if the Model Form could be printed on two sides of a sheet of paper. Given the billions of notices sent each year, permitting the Model Form to be printed on two sides of a sheet of paper could reduce costs by $7.5 million per billion notices. Accordingly, we request that the Agencies permit financial institutions to print the Model Form on two sides of one piece of paper. This will enable institutions to send the Model Form on as many pages as required to describe their sharing practices.
C. Delivery of Model Form
Many firms find it efficient to include their annual privacy notices with periodic statements sent to customers. We find that customers pay attention to important documents such as periodic statements. Sending the notice along with a periodic statement insures that consumers will focus on the material because of the significance of the accompanying document. However, the proposed 8 ½" x 11" paper size requirement will preclude many firms from being able to send the Model Form with a periodic statement because many periodic statements are often smaller than 8 ½" x 11". As a result, the Model Form will not fit in the same envelope as the periodic statement. Accordingly, many institutions would be unable to make use of existing mailings and will find it necessary to send the form in a separate mailing unless the Agencies permit the Model Form to be printed on smaller-sized paper. Sending the privacy notice in a separate mailing will impose significant costs on financial institutions with very little benefit to consumers. We estimate that the printing, preparation and mailing cost of sending the Model Form in a separate mailing is approximately $0.41 per notice. 8 A financial institution that sends 10 million notices per year could save $4.1 million per year if the Model Form could be sent with other material in the same mailing. Accordingly, SIFMA requests that the Agencies permit financial institutions to print the Model Form on paper sized to enable the form to be sent with periodic statements.
The requirement that the Model Form appear on separate pages will also increase mailing costs for financial institutions. Three 8 ½" x 11" pages weigh 0.5 oz. Adding this weight to a statement will force the total weight of the mailing to exceed 1 oz. and will require additional postage of approximately $0.12 per notice (presorted). Accordingly, a financial institution that sends 10 million notices per year could save $1.2 million per year if a smaller, lighter version of the Model Form could be sent in the same mailing with other material.
The Agencies propose that financial institutions not be permitted to incorporate the Model Form into any other document. SIFMA believes that this restriction is unduly harsh and strongly objects to it. There is no evidence that incorporating the privacy notice into another document dilutes the effectiveness of the notice. In fact, many institutions provide consumers with privacy notices as part of a booklet that describes the terms and conditions relating to the consumers'
8 $0.31 postage (pre-sorted); $0.05 paper and envelope; $0.05 mailing preparation and addressing.
account relationships with the institutions. Because of their importance and comprehensiveness, consumers typically review and retain these booklets. SIFMA believes that it is highly likely that a consumer will review the institution's privacy policy when it is part of a booklet containing comprehensive terms and conditions relating to the consumer's relationship with the institution. Being part of the booklet in fact highlights the importance of the notice. Prohibiting institutions from incorporating the Model Form into a brochure or booklet will not make the Model Form more comprehensible to consumers, will not cause the disclosures to be clearer or more conspicuous and will not enable consumers to better identify and compare institution sharing practices. Accordingly, SIFMA requests that the Agencies provide institutions the flexibility to incorporate the Model Form with other documents such as in a booklet which conveys account terms and conditions.
Given the billions of privacy notices that are sent to customers each year, if the Agencies adopt the above recommendations we believe that it would result in cost savings of more than $75 million for financial institutions as well as have considerable benefits for the environment.
D. Web-Based Notice
The Agencies state that institutions that post a pdf version of the Model Form on their Internet websites may obtain a safe harbor. The Agencies ask, however, whether they should develop a web-based design for financial institutions to use. SIFMA believes that financial institutions should have the option to use either a pdf version of the Model Form or use a web-based Model Form. A web-based Model Form may prove more convenient to consumers because it does not require them to open up a pdf document to view the institution's privacy policy. They can review the privacy policy by simply clicking on the appropriate web page. However, given the unique aspects of many firms' websites, SIFMA believes that the Agencies should leave it to financial institutions to develop web-based designs and content. Accordingly, we request that the Agencies permit financial institutions to develop web-based designs for use on their websites.
The Agencies should also be mindful that online privacy policies often include information regarding terms and conditions of website usage and other consumer issues relating to online activities. For example, many firms provide important information on their websites relating to phishing frauds and identity theft that consumers find informative and helpful. Therefore, SIFMA requests that the Commission and the Agencies not disrupt current practices and permit firms that choose to provide web-based forms to also provide additional information relating to other consumer issues. Institutions should also be permitted to include on the printed Model Form a reference to website URLs where consumers can obtain additional information which informs them of important consumer issues.
E. Notice of Changes
Financial institutions may notify consumers of changes to their privacy policies in their annual privacy notices. The Agencies ask if financial institutions should be required to highlight changes in their policies in a distinctive manner as part of the Model Form. SIFMA believes that such a requirement is unnecessary and injects the possibility of added consumer confusion. Highlighting a change is meaningful only if the consumer is informed as to what the previous policy was. Such additional information will undermine the objective of providing the institution's policy in a clear, straightforward manner that is readily understandable. Requiring that changes be highlighted will add an element of complexity that, based upon the Agencies' research, will undoubtedly confuse consumers.
F. Use of Logo and Color
The Agencies ask to what extent financial institutions will use corporate logos and color in connection with the disclosure form. Member firms use corporate logos on privacy notices in order to provide a consistent corporate identity to customers. The use of a corporate logo, which often is in color, enables member firms to present an image that customers can immediately recognize and to which they relate. Because customers are aware that the information comes from an institution with which they do business, they are more likely to read the notice. Member firms also find that the appropriate use of color also generates customer interest. Accordingly, we think it appropriate and useful to permit financial institutions to use logos and color on the Model Form.
G. Testing
The Agencies indicate that the Model Form resulted from testing an alternative privacy notice among consumers. We understand that the Agencies plan to test the next version of the Model Form with consumers. We recommend that the Agencies also test the Model Form with the modifications we recommend to determine whether they provide more useful information to consumers and if they make the Model Form more understandable. We also believe it would be useful for the Agencies to test the next version of the Model Form with privacy professionals in the private sector who are familiar with privacy laws to determine whether it conveys meaningful information about the privacy policies of financial institutions in a clear and useful manner, as intended by Congress.
H. FCRA Safe Harbor
The Model Form includes information about disclosure and information use practices relating to affiliated institutions, including the opportunity for customers to opt out from certain types of information sharing and use among affiliated companies. SIFMA believes that the Commission should provide that an institution that uses the Model Form will be deemed to be in compliance with the disclosure provisions of the FCRA and Commission rules relating to information disclosures to affiliates and use of consumer information by affiliates.
I. Burden Measurement
The Commission indicates that use of the Model Form would need little, if any, legal review by counsel. SIFMA advises that the Commission is mistaken. Use of the Model Notice will require institutions to constantly monitor their information disclosure and use practices to ensure the truncated information set forth in the Model Form is accurate. Co-ordination of information handling and disclosure practices among affiliated entities is handled typically by company attorneys who are trained in the intricacies of privacy law. Moreover, SIFMA believes that the Commission has materially underestimated the time institutions will spend on initially developing this information and reviewing it annually. Member firms estimate that each will spend at least 50 hours ensuring that the Model Form, including opt-out choices, accurately reflects their privacy practices.
* * *
SIFMA appreciates the opportunity to provide its comments to the Commission and the Agencies on the Model Form. SIFMA commends the Commission and the Agencies for the thought and effort underlying the Model Form. We believe that our comments will assist the Agencies in accomplishing the objectives Congress set out in the Regulatory Relief Act. If you have any questions, please contact the undersigned at (202) 434-8400.
Sincerely,
Alan E. Sorcher Managing Director and Associate General Counsel
cc: Via Electronic Delivery
Federal Trade Commission Office of the Secretary Room H-135 (Annex C) 600 Pennsylvania Avenue, N.W. Washington, DC 20580 FTC File No. P034815
Office of the Comptroller of the Currency 250 E Street S.W. Mail Stop 1-5 Washington, DC 20219 Re: Docket No. OCC-2007-0003
Ms. Jennifer Johnson Secretary of the Board Board of Governors of the Federal Reserve System 20th Street and Constitution Avenue, N.W. Washington, DC 20551 Re: Docket No. R-1280
Mr. Robert E. Feldman
Executive Secretary
Attention: Comments
Federal Deposit Insurance Corporation
550 17th Street N.W.
Washington, DC 20429
Re: RIN 3064-AD16
Regulation Comments
Chief Counsel's Office
Office of Thrift Supervision
1700 G Street, N.W.
Washington, DC 20552
Attention: OTS-2007-005
Re: Docket ID OTS-2007-0005
Ms. Eileen Donovan Acting Secretary of the Commission Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, DC 20581 Re: RIN 3038-AC04
Mary Rupp Secretary of the Board National Credit Union Administration 1775 Duke Street Alexandria, VA 22314 Proposed Rule Part 716 (Model Privacy Notice Form)
|
Genomic imprinting in PWS and AS
Review Article
Genomic imprinting: genetic mechanisms and phenotypic consequences in Prader-Willi and Angelman syndromes
Cintia Fridman and Célia P. Koiffmann
Abstract
Chromosomal 15q11-q13 region is of great interest in Human Genetics because many structural rearrangements have been described for it (deletions, duplications and translocations) leading to phenotypes resulting in conditions such as the Prader-Willi (PWS) and Angelman (AS) syndromes which were the first human diseases found to be related to the differential expression of parental alleles (genomic imprinting). Contrary to Mendelian laws where the parental inheritance of genetic information does not influence gene expression, genomic imprinting is characterized by DNA modifications that produce different phenotypes depending on the parental origin of the mutation. Clinical manifestation of PWS appears when the loss of paternally expressed genes occurs and AS results from the loss of a maternally expressed gene. Different genetic mechanisms can lead to PWS or AS, such as deletions, uniparental disomy or imprinting mutation. In AS patients an additional class occurs with mutations on the UBE3A gene. Studies of PWS and AS patients can help us to understand the imprinting process, so that other genomic regions with similar characteristics can be located, and different syndromes can have their genetic mechanisms elucidated.
INTRODUCTION
Genomic imprinting is defined as the differential marking of parental alleles in gametogenesis, resulting in the differential expression of maternal and paternal genes during development. Imprinting is an epigenetic process and requires three main steps, i.e., gamete DNA marking, maintenance of the marking in embryo and adult somatic tissues and resetting of marking at the beginning of gametogenesis (Hall, 1990).
first evidence of an epigenetic event and suggests that the DNA methylation may have an important function in the genomic imprinting mechanism (Nicholls, 1993a).
Since imprinting seems to be a functional inactivation process and inactive chromatin regions have been associated with hypermethylation of CpG islands, DNA methylation has been suggested as candidate to the main mechanism responsible for the marking and differentiation of individual parental alleles (Peterson and Sapienza, 1993; Razin and Cedar, 1994; Glenn et al., 1996, 1997; Brannan and Bartolomei, 1999), although it is not known if DNA methylation is involved in the maintenance or in the establishment of imprinting.
The Prader-Willi (PWS) and Angelman (AS) syndromes are neurobehavioral disorders with completely different phenotypes and were the first human diseases found to be related to genomic imprinting. These syndromes are caused by the loss of function of imprinted genes in the 15q11-q13 region, and differential methylation patterns between normal, PWS and AS individuals can be detected in this region (Driscoll et al., 1992; Clayton-Smith et al., 1993; Dittrich et al., 1993; Reis et al., 1994). This is the
Besides the methylation difference found in the 15q11-q13 region, asynchronous DNA replication also occurs in imprinted gene clusters (Izumikawa et al., 1991; Knoll et al., 1994), with non-imprinted alleles replicating earlier than imprinted alleles. It is known that condensed inactive chromatin initiates a heterochromatic state and that, in general, heterochromatin replicates later, and genes that replicate later are not able to compete for transcription factors with earlier replicating euchromatin. However, it is not known whether this asynchronous replication phenomenon is related to regulation of imprinted gene expression or if it is just a consequence of imprinting (Glenn et al., 1997).
CLINICAL FEATURES
Prader-Willi syndrome
PWS was first described in 1956 (Prader et al., 1956) and today is one of the most common microdeletion syndromes and the most frequent form of genetically caused obesity in humans (Cassidy, 1997).
The syndrome is characterized by neonatal hypotonia, hypothermia, hypogenitalism, feeding problems during infancy and some facial anomalies (Cassidy, 1984; Butler et al., 1986; Butler, 1990). When hypotonia improves, appetite improves and weight gain increases. Obesity starts to
715
occur between 1 and 6 years of age (Butler, 1990; Holm et al., 1993) and marks the second phase of the syndrome, characterized by neuropsycomotor delay, hyperphagia with obesity, short stature, short hands and feet and mental retardation with learning disabilities (Figure 1A) (q.v. Fridman, 1997). Some individuals present hypopigmentation, high pain threshold (Ledbetter et al., 1981; Butler, 1990), obsessivecompulsive disorder, depression, violent episodes and inappropriate social behavior (Holm et al., 1993; Cassidy, 1997). Einfeld et al. (1999) found that anti-social and psychopathological behavior was more frequent in PWS individuals than in a control group of mentally deficient patients. PWS patients show a higher degree of irritability, as well as stubbornness, a tendency to be argumentative, possessive, and persevering, and have a tendency to steal and to lie.
Although many clinical manifestations of PWS seem to be the result of hypothalamic deficit, no structural defect in the brain have been found, so any such deficit must be functional, but its exact nature remains unknown (Cassidy, 1997).
Genetically, PWS is caused by the absence of paternal alleles that are normally active in the 15q11-q13 region, with the maternal alleles normally being inactive due to the genomic imprinting. Paternal deletion of the 15q11q13 region (70% of cases) or maternal uniparental disomy (UPD) (20-25% of cases) can lead to the absence of paternal alleles (Robinson et al., 1991; Mascari et al., 1992). Translocations or other structural anomalies of chromosome 15 are found in about 5% of cases, resulting in paternal deletion or UPD15 (Rivera et al., 1990; Smeets et al., 1992; Qumsiyeh et al., 1992; Donnai, 1993; Freeman et al., 1993; Reeve et al., 1993; Smith et al., 1993, 1994; Vickers et al., 1994). About 1-5% of cases, including families, have imprinting center (IC) mutations (Reis et al., 1994; Sutcliffe et al., 1994; Buiting et al., 1995; Dittrich et al., 1996; Saitoh et al., 1996, 1997). The absence of patients with point mutations in a single gene suggests that PWS is a contiguous gene syndrome, caused by the loss of two or more paternally expressed genes (Nicholls, 1993b, 1994; Ohta et al., 1996).
Clinical comparisons between deleted and UPD patients have not revealed significant differences, although hypopigmentation occurs in patients with deletion and increased maternal age is a factor in UPD cases (Butler, 1989; Robinson et al., 1991; Gillessen-Kaesbach et al., 1995) due to the known correlation between maternal age and nondisjunction events (Robinson et al., 1991, 1993). The nonimprinted P gene responsible for oculocutaneous albinism (OCA2) maps on the distal part of the 15q11-q13 and is deleted in the majority of PWS cases with deletion (Spritz et al., 1997).
Angelman syndrome
AS is characterized by developmental delay, severe mental retardation, speech impairment, seizures, ataxia, hyperactivity, macrostomia and an apparently happy demeanor with outburst of laughter (Figure 1B) (Angelman, 1965; Robb et al., 1989; Fryburg et al., 1991; ClaytonSmith and Pembrey, 1992; Williams et al., 1995; Fridman, 1997). The behavioral features are very important for diagnosis in young children because the facial anomalies are not so prominent and the phenotype shows wide variability.
The genetic mechanisms responsible for this syndrome are complex and about 2/3 of the patients show a 4-Mb maternal deletion in the 15q11-q13 region (Magenis et al., 1987; Knoll et al., 1989), which is the same segment deleted in PWS cases (Magenis et al., 1990). Paternal UPD is present in 2-3% of cases (Nicholls, 1993a), a small group of patients show IC mutations (Sutcliffe et al., 1994; Buiting et al., 1995; Saitoh et al., 1996), and about 8% of cases present mutations in the UBE3A gene (Kishino et al., 1997; Matsuura et al., 1997).
Summary of genetic mechanisms
It therefore appears that there are 3 main classes of PWS patients, i.e., paternal deletion, maternal UPD and IC mutations and 4 classes of AS patients, i.e., maternal deletion, paternal UPD, IC mutations and UBE3A mutations. There are also about 5% of PWS and 15% of AS patients with no detectable cytogenetic or molecular abnormalities for whom the genetic mechanism of the condition is unknown, making genetic counseling very difficult.
THE 15q11-q13 REGION
It has been pointed out that AS patients with UPD have a milder phenotype compared to patients with deletions (Bottani et al., 1994; Gillessen-Kaesbach et al., 1995; Fridman et al., 2000), possibly because in UPD cases only the AS gene is lost while the more severe phenotype seen in patients with deletion could be caused by the loss of both the AS gene and other contiguous genes. These differences in AS severity could also be explained by recessive mutations in hemizigosity (Bottani et al., 1994). UPD cases can also manifest characteristics caused by the homozygosity state of some loci.
The 15q11-q13 region is about 5 Mb and many genes and transcripts have been mapped to this region, which can be divided into 3 subregions comprising a distal portion containing non-imprinted genes, a central portion containing the only maternally expressed gene (UBE3A-E6), and a proximal portion containing paternally expressed genes (Figure 2).
Some paternally expressed genes and trancripts mapping at the PWS/AS region are SNRPN, ZNF127, NDN, IPW, PAR1 and PAR5 (Özcelik et al., 1992; Glenn et al., 1993; Reed and Leff, 1994; Sutcliffe et al., 1994; MacDonald and Wevrick, 1997), as well as the maternally expressed transcript UBE3A which is expressed exclusively in brain tissue (Sutcliffe et al., 1997; Kishino and Wagstaff, 1998). The imprinting of these genes seems to be under the control of the IC, since familial and sporadic cases of PWS and AS with microdeletions in this region are consistent with a mutation in the imprinting process (Reis et al., 1994; Sutcliffe et al., 1994; Buiting et al., 1995; Saitoh et al., 1996).
The small nuclear ribonucleoprotein polypeptide N (SNRPN) gene is imprinted both in mice (Cattanach et al., 1992) and humans (Glenn et al., 1993; Nakao et al., 1994; Reed and Leff, 1994), and is expressed only by the paternal chromosome. In humans this gene is mapped in the shortest region of overlap (SRO) of deletion in PWS (Figure 2) (Özçelik et al., 1992) and was the first candidate gene involved in the etiology of PWS (Glenn et al., 1996). This gene has 10 exons extending over 30 kb of genomic DNA, with exon 1 and the promoter being located in a CpG island (Sutcliffe et al., 1994; Glenn et al., 1996) and showing a differential methylation pattern between the paternal and maternal alleles in all somatic tissues (Glenn et al., 1996, 1997). SNRPN methylation analysis is the best test for the diagnosis of PWS and AS, identifying patients with deletion, UPD and imprinting mutation (Figure 3) (Glenn et al., 1993; Sutcliffe et al., 1994; ASHG/ACMG, 1996; Kubota et al., 1996; Saitoh et al., 1996). The gene also encodes a protein (SmN) involved in pre-mRNA splicing, but its exact role is still unknown (Özçelik et al., 1992; Glenn et al., 1996).
Sequence analysis and evolutionary studies of the upstream exons (exons 1, 2 and 3) of the SNRPN gene have indicated that there might also exist another open reading
frame (ORF) in the SNRPN mRNA (Glenn et al., 1996, 1997) in addition to the ORF containing exons 4 to 10 previously described by Schmauss et al. (1992). This second ORF, confirmed by cDNA analysis, was named SNURF ("SNRPN upstream reading frame") and corresponds to the first 3 SNRPN exons (Gray et al., 1999). The finding that two independent proteins (SmN and SNURF) are encoded by a single mRNA renamed it as the bicistronic SNURFSNRPN locus and suggested that the SNURF cistron may participate in the imprint regulation of the 15q11-q13 region, since it is mapped in the IC (Gray et al., 1999).
Another gene within the PWS/AS region, denominated NECDIN (NDN) was identified (Jay et al., 1997; MacDonald and Wevrick, 1997) and is orthologous to mouse Necdin (Ndn). This gene is transcribed only by the paternal allele in fibroblast, amniocytes, and brain and placenta tissues, indicating that NDN is imprinted in these tissues (Jay et al., 1997; MacDonald and Wevrick, 1997). The NDN gene encodes a nuclear protein (NECDIN) expressed in all central nervous system post-mitotic neurons (Watrin et al., 1997). In agreement with the observation that imprinted genes have few and small introns (Hurst et al., 1996), the human NDN is formed by only one exon (MacDonald and Wevrick, 1997) and its cDNA has 1,592 kb. Watrin et al. (1997) have also reported that the NDN gene is imprinted, paternally expressed with the maternal allele methylated, and replicates asynchronously. The loss of expression of this gene could lead to anomalies, especially in brain development (Jay et al., 1997; MacDonald and Wevrick, 1997), and contributes to the PWS phenotype.
It has been suggested that the UBE3A mutation is the main cause of AS (Kishino et al., 1997; Matsuura et al., 1997; Malzac et al., 1998; Fang et al., 1999). This gene maps within the critical region for AS and has 16 exons extending over 120 kb of genomic DNA, with transcription being oriented from telomere to centromere (Burke et al., 1996; Kishino and Wagstaff, 1998). How mutations in the maternally inherited UBE3A gene cause AS and whether mutations in this gene can account for all AS patients in the biparental class remain to be determined (Glenn et al., 1997).
Many types of mRNA (isoforms) produced by the UBE3A gene through alternative splicing of pre-mRNA have been detected (Rougeulle et al., 1997; Yamamoto et al., 1997; Kishino and Wagstaff, 1998). Recent studies in mice and humans (Albrecht et al., 1997; Rougeulle et al., 1997) have shown imprinting and maternal-only expression of this gene in specific brain regions, especially the hippocampus and cerebellum, and it is the first gene with maternal-only expression mapped within the PWS/AS region, supporting the idea that it is a candidate gene for AS (Rougeulle et al., 1997).
The UBE3A gene encodes an E3 ubiquitin-protein ligase (E6AP) that acts in the ubiquitination process (Huibregtse et al., 1995; Yamamoto et al., 1997), the two main substrates of UBE3A being p53 and HHRAD23A, but it is not known if they are the target substrates in AS (Malzac et al., 1998).
Rearrangements within the 15q11-q13 segment such as deletions, marker chromosomes, duplications, triplications and translocations have been detected. Knoll et al. (1990) classified the AS patients with deletion into two groups according to the breakpoints located in the proximal region of 15q11-q13 (the terminal breakpoint is common to the two groups). Later it was also observed in PWS patients with deletion (Christian et al., 1995). These breakpoints (BP1, BP2 and BP3) (Figure 2) were characterized by Christian et al. (1999) as DNA regions containing pseudogenes, called duplicons. Studies using YACs have revealed the presence of 2 in tandem oriented duplicon copies at BP3 and 1 copy at BP2.
Buiting et al. (1992, 1998a) isolated a gene family (MN7) presenting many copies in the 15q11-q13 and 16p11.2 regions. The presence of many of these copies in the proximal 15q region may be related to the instability of this region. Amos-Landgraf et al. (1999) have identified new duplicons mapped at BP1, BP2 and BP3 that include MN7 sequences and represent large duplications of a new gene mapped within the 15q11-q13 region, the HERC2 (Ji et al., 1999).
All these data suggest that duplication of large DNA segments within the pericentromeric region may create the instability that is responsible for the high level of chromosomal rearrangements due to the unequal crossing over event.
THE IMPRINTING CENTER
Biparental inheritance disclosed by microsatellite analysis and uniparental methylation pattern can identify PWS and AS patients with imprinting mutations (Reis et al., 1994; Buiting et al., 1995; Dittrich et al., 1996; Glenn et al., 1993, 1997; Saitoh et al., 1996, 1997). Half of the known cases are familial and, like the sporadic cases, show the classical PWS or AS phenotype (Reis et al., 1994; Buiting et al., 1995; Dittrich et al., 1996; Saitoh et al., 1996, 1997). Most of these patients inherited microdeletions in the 5' region of SNRPN gene, indicating that this region is responsible for the imprinting process. This region, the IC (Buiting et al., 1995; Dittrich et al., 1996; Saitoh et al., 1996, 1997), maps between the loci D15S63 (Dittrich et al., 1992) and SNRPN loci (Figure 2) (Glenn et al., 1996), and is responsible for the differential allele marking, spanning its signal bidirectionally over a segment of about 2 Mb where the group of imprinted genes is located.
This IC region has been intensively studied and some transcripts are now known, including alternative SNRPN exons, mapped on the 5' end of this gene (Dittrich et al., 1996; Färber et al., 1999). Mutations in these alternative exons occur in PWS and AS patients with imprinting mutation (Dittrich et al., 1996; Färber et al., 1999). RT-PCR analysis has shown that these transcripts can use two alternative start sites, are subject to alternative splicing and use SNRPN exons at their 3' end (Dittrich et al., 1996). Färber et al. (1999) have found that the presence of more than one start site can assure IC transcript expression even if deletions occur at one of these sites.
The analysis of informative families has allowed the delineation of the IC microdeletion map, and has shown that deletions in AS patients are centromeric while deletions in PWS are more telomeric. In this way, the SRO of deletions in AS has been established and corresponds to IC exon 3 (IC3), spanning 2 kb (Saitoh et al., 1996; Ohta et al., 1999a). This seems to be the element responsible for the paternal to maternal imprinting switch (pat→mat) in the female gametogenesis. In PWS, the SRO is defined as the SNRPN exon 1 and the promoter region, corresponding to 4 kb of genomic DNA. This region is responsible for the maternal to paternal (mat→pat) imprinting switch during spermatogenesis (Figure 2) (Buiting et al., 1995; Ohta et al., 1999b). The IC seems to be a bipartite structure and the gene transcription in patients with IC mutation is altered due to a failure in the imprinting erasure and reestablishment (Reis et al., 1994; Buiting et al., 1995; Dittrich et al., 1996; Saitoh et al., 1996).
Figure 4 shows how the transmission of IC mutations occurs in males and females, and can be summarized as follow. When a male transmits a maternal imprinting mutation, the maternal epigenotype is not erased and a paternal imprinting during male gametogenesis is not established. This mutation blocks the mat→pat switch, resulting in the transmission of maternal imprinting to half of the gametes. The individual who inherits this abnormal epigenotype will be homozygous for the maternal epigenotype and, therefore, present PWS. On the other hand, the transmission of a paternal mutation by a woman results in failure of the pat→mat switch, leading to the inheritance of an abnormal paternal epigenotype. The woman's offspring will be homozygous for the paternal imprint and, therefore, present AS (Nicholls et al., 1998).
In these PWS and AS cases, the IC mutations have no direct effect on the carrier, are silenced and transmitted through the same sex of the origin of the mutation, with manifestation only occurring when the mutation passes through the gametogenesis process of the opposite sex.
A model of the functioning of IC (Dittrich et al., 1996) and how mutations can result in PWS or AS individuals has been proposed by several authors (Buiting et al., 1998b; Nicholls et al., 1998; Ohta et al., 1999a,b). The bipartite IC structure consists of two elements, the imprintor (IC exon 3) and the switch initiation site (SIS) (SNRPN exon 1). Only in the paternal chromosome does the imprintor encode a transcript that acts in cis form on the SIS, possibly by the introduction of modifications in chromatin structure. This change allows a trans factor, present only in the female germ line, to act and complete the pat→mat switch, spreading the imprint bidirectionally over the 2-Mb region of imprinted genes. This signal inactivates the imprintor activity since it now has the maternal imprint. In the male germ line, with the absence of the trans factor, the SIS erases the maternal
B
Figure 4 - Examples of families with IC mutations. A, The mutation can arise in a chromosome 15 from a female ancestor and when it passes through male gametogenesis the offspring of this male will be PWS, since the paternal chromosome has a female epigenotype. B, The mutation originates from a paternal ancestral chromosome 15 and when it passes through the female germ line results in an AS child, since the maternal chromosome has a male epigenotype. The star represents the IC mutation, and the letter in parenthesis demonstrates the corresponding epigenotype. M = Maternal, P = paternal. The chromosomes out of the symbols (squares and circles) represent the gametogenesis and then, the switch of maternal to paternal imprint and viceversa. In IC mutation cases the switch does not occur.
imprint and the paternal imprint is established, reactivating the imprintor activity (Dittrich et al., 1996).
In this way, mutations in imprintor (or IC3) lead to a failure in the erasure of the paternal imprint and to the establishment of the maternal imprint, producing an AS child, while mutations in the SIS lead to a failure in the erasure of the maternal imprint and to the establishment of the paternal imprint, resulting in a PWS child.
Both imprinting mutation cases with deletion in the IC (familial and sporadic) and sporadic cases with imprinting mutation and no structural alteration in the IC have been detected (Bürger et al., 1997; Buiting et al., 1998b).
Patients with IC deletion present the typical AS phe- notype (Williams et al. , 1995), however, some characteristics distinguish these patients from those with 15q11-q13 deletion, including absent crisis or milder seizures, absence of microcephaly, larger neonatal length, better motor control and normal pigmentation (Ohta et al. , 1999a). These differences can be explained because the non-imprinted genes, when in a haploinsufficiency state (deletion), can contribute to the complete AS phenotype (Nicholls et al. , 1998), while IC mutation or UPD15 patients may present a milder phenotype due to incomplete imprinting of the UBE3A gene in the brain (Albrecht et al. , 1997; Rougeulle et al. , 1997; Vu and Hoffman, 1997), and then a double dose of paternal expression of this gene occurs.
GENETIC COUNSELING
Genetic counseling for PWS and AS is complex since the parents of deleted or UPD patients have a low recurrence risk (<1%); but when an IC mutation is detected it is necessary to verify whether or not there is a deletion and if it is inherited or sporadic. If the deletion is de novo or there are IC mutations without deletion the risk is low (<1%). The IC deletion group includes familial (up to 50% risk) and sporadic cases, and all non-IC deletion cases are sporadic (Bürger et al., 1997; Saitoh et al., 1997; Buiting et al., 1998b). AS patients with the UBE3A mutation can be sporadic, with a low recurrence risk, or familial with a 50% risk of inheritance from a carrier mother (Stalker and Williams, 1998).
MOUSE MODEL
The central part of mouse chromosome 7 (chr 7C) is homologous with the 15q11-q13 human region, with the genes arranged in the same order but inverted in relation to the centromere (Albrecht et al., 1997; MacDonald and Wevrick, 1997; Wevrick and Francke, 1997).
Some genes with only paternal expression mapped at the PWS/AS region show homologous genes that are also imprinted in the mouse, such as Snrpn (Leff et al., 1992), Ipw (Wevrick and Francke, 1997), Ndn (MacDonald and Wevrick, 1997), and Zfp127 (review in Gabriel et al., 1998). The Ube3a gene, also mapped in the 7C, shows only maternal expression in some brain tissues, as in humans (Albrecht et al., 1997; Rougeulle et al., 1997; Vu and Hoffmann, 1997). So, not only the physical characteristics of 15q11-q13 human segment are conserved in the mouse but also the imprinting features (Gabriel et al., 1998).
Working with balanced chromosome translocations, Cattanach et al. (1992, 1997) obtained paternal and maternal Chr 7C UPD mice. Studying the phenotype of the animals they concluded that the presence of two maternal copies of this region results in the complete absence of the paternally expressed gene and that the mice died between the 2nd and 8th post-natal days because of developmental delay. These mice were considered as a model for PWS. The paternal Chr 7C UPD resulted in mice with developmental retardation, ataxia and hyperactivity - all characteristics present in AS patients, although the mouse phenotypes were milder.
Jiang et al. (1998) showed that the maternal deletion of Ube3a is sufficient to produce animals with motor delay and abnormal electroencephalogram (EEG), a phenotype similar to that of AS children (seizures, hyperactivity and learning disabilities) suggesting that it could be used as a mouse model of AS (Nicholls, 1998).
Some studies have been conducted to better define the role of Snrpn in imprinting regulation. This gene was characterized in mice and is very similar to the SNRPN hu- man gene, containing 10 exons spanning over 22 kb of genomic DNA with the promoter region showing only paternal expression (Cattanach et al. , 1992; Leff et al. , 1992).
To evaluate the role of SNRPN and IC in PWS, Yang et al. (1998) described mice with either intragenic deletion in the Snrpn region or a large deletion which included a small part of the Snrpn and the distal part of the putative mouse IC. The animals with the intragenic deletion were phenotypically normal, suggesting that SNRPN mutations are not sufficient to cause PWS. The mice with deletion in the putative IC died a few days after birth, were small and showed developmental delay with weight loss due to feeding difficulties. These animals also presented loss of expression of other paternally expressed genes such as Zfp127 (homologous to ZNF127), Ndn and Ipw, showing that the IC position and its role in imprinting regulation are conserved between humans and mice (Yang et al., 1998).
Gabriel et al. (1999) described a mouse lineage with deletion of the homologous PWS/AS region and demonstrated that the paternal deletion transmission resulted in loss of paternally imprinted gene expression while the maternal deletion transmission resulted in loss of the Ube3a expression, a situation similar to that of patients who have a 4-Mb deletion in the 15q11-q13 region. A similar phenotype including developmental delay and neonatal death was obtained in the three PWS mouse models (Cattanach et al., 1992; Yang et al., 1998; Gabriel et al., 1999).
The development of mouse models for Prader-Willi and Angelman syndromes using knockout techniques is very important, allowing investigations of gene function and the future development of therapeutic strategies for individuals with these syndromes.
ACKNOWLEDGMENTS
Publication supported by FAPESP.
RESUMO
O segmento cromossômico 15q11-q13 é de grande interesse em Genética Humana uma vez que diversos rearranjos estruturais têm sido descritos nessa região (deleções, duplicações e translocações) resultando em fenótipos diferentes como os das síndromes de Prader-Willi (PWS) e Angelman (AS), que foram as primeiras doenças humanas a serem relacionadas com a expressão diferencial de alelos parentais (imprinting genômico). Contrário às leis de Mendel onde a herança parental da informação genética não influencia a expressão gênica, o imprinting genômico é caracterizado por modificações no DNA que produzem diferentes fenótipos dependendo da origem parental da mutação. A manifestação clínica da PWS aparece quando ocorre a perda de genes com expressão exclusivamente paterna, e a AS resulta da perda do gene com expressão exclusivamente materna. Diferentes mecanismos genéticos podem resultar em PWS ou AS como deleções, dissomia uniparental ou mutações no processo de imprinting. Em pacientes com AS existe uma classe adicional de pacientes com mutação no gene UBE3A. Estudos de pacientes
com PWS e AS podem ajudar no entendimento do processo de imprinting e, assim, outras regiões do genoma com características similares podem ser localizadas, e diferentes síndromes podem ter seus mecanismos genéticos elucidados.
REFERENCES
Albrecht, U., Sutcliffe, J.S., Cattanach, B.M., Beechey, C.V., Armstrong, D., Eichele, G. and Beaudet, A.L. (1997). Imprinted expression of the murine Angelman syndrome gene, Ube3a, in hippocampal and Purkinje neurons. Nat. Genet. 17: 75-78.
Amos-Landgraf, J.M., Ji, Y., Gottlieb, W., Depinet, T., Wandstrat, A.E., Cassidy, S.B., Driscoll, D.J., Rogan, P.K., Schwartz, S. and Nicholls, R.D. (1999). Chromosome breakage in the Prader-Willi and Angelman syndromes involves recombination between large, transcribed repeats at proximal and distal breakpoints. Am. J. Hum. Genet. 65: 370-386.
Angelman, H. (1965). "Puppet" children: a report on three cases. Develop. Med. Child. Neurol. 7: 681-688.
ASHG/ACMG (1996). Report diagnostic testing for Prader-Willi and Angelman syndromes: report of the ASHG/ACMG test and technology transfer committee. Am. J. Hum. Genet. 58: 1085-1088.
Bottani, A., Robinson, W.P., DeLozier-Blanchet, C.D., Engel, E., Morris, M.A., Schmitt, B., Thun-Hohenstein, L. and Schinzel, A. (1994). Angelman syndrome due to paternal uniparental disomy of chromosome 15: A milder phenotype? Am. J. Med. Genet. 51: 35-40.
Brannan, C.I. and Bartolomei, M.S. (1999). Mechanisms of genomic imprinting. Curr. Opin. Genet. Dev. 9: 164-170.
Buiting, K., Greger, V., Brownstein, B.H., Mohr, R.M., Voiculescu, I., Winterpacht, A., Zabel, B. and Horsthemke, B. (1992). A putative gene family in 15q11-13 and 16p11.2: possible implications for PraderWilli and Angelman syndromes. Proc. Natl. Acad. Sci. USA 89: 54575461.
Buiting, K., Saitoh, S., Gross, S., Dittrich, B., Schwartz, S., Nicholls, R.D. and Horsthemke, B. (1995). Inherited microdeletions in the Angelman and Prader-Willi syndromes define an imprinting center on human chromosome 15. Nat. Genet. 9: 395-400.
Buiting, K., Grob, S., Ji, Y., Senger, G., Nicholls, R.D. and Horsthemke, B. (1998a). Expressed copies of the MN7 (D15F37) gene family map close to the common deletion breakpoints in the Prader-Willi/ Angelman syndromes. Cytogenetic. Cell Genet. 81: 247-253.
Buiting, K., Dittrich, B., Grob, S., Lich, C., Färber, C., Buchholz, T., Smith, E., Reis, A., Bürger, J., Nöthen, M.M., Barth-Witte, U., Janssen, B., Abeliovich, D., Lerer, I., van den Ouweland, A.M.W., Halley, D.J.J., Schrander-Stumpel, C., Smeets, H., Meinecke, P., Malcolm, S., Gardner, A., Lalande, M., Nicholls, R.D., Friend, K., Schulze, A., Matthijs, G., Kokkonem, H., Hilbert, P., Maldergem, L.V., Glover, G., Carbonell, P., Willems, P., Gillessen-Kaesbach, G. and Horsthemke, B. (1998b). Sporadic imprinting defects in Prader-Willi syndrome and Angelman syndrome: implications for imprint-switch models, genetic counselling, and prenatal diagnosis. Am. J. Hum. Genet. 63: 170-180.
Bürger, J., Buiting, K., Dittrich, B., Groβββββ, S., Lich, C., Sperling, K., Horsthemke, B. and Reis, A. (1997). Different mechanisms and recurrence risks of imprinting defects in Angelman syndrome. Am. J. Hum. Genet. 61: 88-93.
Burke, L.W., Wiley, J.E., Glenn, C.C., Driscoll, D.J., Loud, K.M., Smith, A.J.W. and Kushnik, T. (1996). Familial cryptic translocation resulting in Angelman syndrome: implications for imprinting or location of the Angelman gene? Am. J. Hum. Genet. 58: 777-784.
Butler, M.G. (1989). Hypopigmentation: a common feature of PraderLabhart-Willi syndrome. Am. J. Hum. Genet. 45: 140-146.
Butler, M.G. (1990). Prader-Willi syndrome: current understanding of cause and diagnosis. Am. J. Hum. Genet. 35: 319-332.
Butler, M.G., Meaney, F.J. and Palmer, C.G. (1986). Clinical and cytogenetic survey of 39 individuals with Prader-Labhart-Willi syndrome. Am. J. Med. Genet. 23: 793-809.
Cassidy, S.B. (1984). Prader-Willi syndrome. Curr. Probl. Pediatr. 14: 155.
Cassidy, S.B. (1997). Prader-Willi syndrome. J. Med. Genet. 34: 917-923.
Cattanach, B.M., Barr, J.A., Evans, E.P., Burtenshaw, M., Beechey, C.V., Leff, S.E., Brannan, C.I., Copeland, N.G., Jenkins, N.A. and Jones, J. (1992). A candidate mouse model for Prader-Willi syndrome which shows an absence of Snrpn expression. Nat. Genet. 2: 270-274.
Cattanach, B.M., Barr, J.A., Beechey, C.V., Martin, J., Noebels, J. and Jones, J. (1997). A candidate model for Angelman syndrome in the mouse. Mamm. Genome 8: 472-478.
Christian, S.L., Robinson, W.P., Huang, B., Mutirangura, A., Line, M.R., Nakao, M., Surti, U., Chakravarti, A. and Ledbetter, D.H. (1995). Molecular characterization of two proximal deletion breakpoint regions in both Prader-Willi and Angelman syndrome patients. Am. J. Hum. Genet. 57: 40-48.
Christian, S.L., Fantes, J.A., Mewborn, S.K., Huang, B. and Ledbetter, D.H. (1999). Large genomic duplicons map to sites of instability in the Prader-Willi/Angelman syndrome chromosome region (15q11-q13). Hum. Mol. Genet. 8: 1025-1037.
Clayton-Smith, J. and Pembrey, M.E. (1992). Angelman syndrome. J. Med. Genet. 29: 412-415.
Clayton-Smith, J., Driscoll, D.J., Waters, M.F., Webb, T., Andrews, T., Malcolm, S., Pembrey, M.E. and Nicholls, R.D. (1993). Difference in methylation patterns within the D15S9 region of chromosome 15q1113 in first cousins with Angelman syndrome and Prader-Willi syndrome. Am. J. Med. Genet. 47: 683-686.
Dittrich, B., Robinson, W.P., Knoblauch, H., Buiting, K., Schmidt, K., Gillessen-Kaesbach, G. and Horsthemke, B. (1992). Molecular diagnosis of Prader-Willi and Angelman syndromes by detection of parent-of-origin specific DNA methylation in 15q11-13. Hum. Genet. 90: 313-315.
Dittrich, B., Buiting, K., Grob, S. and Horsthemke, B. (1993). Characterization of a methylation imprint in the Prader-Willi syndrome region. Hum. Mol. Genet. 2: 1995-1999.
Dittrich, B., Buiting, K., Korn, B., Richard, S., Buxton, J., Saitoh, S., Nicholls, R.D., Poustra, A., Winterpacht, A., Zabel, B. and Horsthemke, B. (1996). Imprinting switching on human chromosome 15 may involve alternative transcripts of the SNRPN gene. Nat. Genet. 14: 163-170.
Donnai, D. (1993). Robertsonian translocations: clues to imprinting. Am. J. Med. Genet. 46: 681-682.
Driscoll, D.J., Waters, M.F., Williams, C.A., Zori, R.T., Glenn, C.C., Avidano, K.M. and Nicholls, R.D. (1992). A DNA methylation imprinting, determined by the sex of the parent, distinguishes the Angelman and Prader-Willi syndromes. Genomics 13: 917-924.
Einfeld, S.L., Smith, A., Durvasula, S., Florio, T. and Tonge, B.J. (1999). Behavior and emotional disturbance in Prader-Willi syndrome. Am. J. Med. Genet. 82: 123-127.
Fang, P., Lev-Lehman, E., Tsai, T.-F., Matsuura, T., Benton, C.S., Sutcliffe, J.S., Christian, S.L., Kubota, T., Halley, D.J., Meijers-Heijboer, H., Langlois, S., Graham Jr., J.M., Beuten, J., Willems, P.J., Ledbetter, D.H. and Beaudet, A.L. (1999). The spectrum of mutations in UBE3A causing Angelman syndrome. Hum. Mol. Genet. 8: 129-135.
Färber, C., Dittrich, B., Buiting, K. and Horsthemke, B. (1999). The chromosome 15 imprinting centre (IC) region has undergone multiple duplication events and contains an upstream exon of SNRPN that is deleted in all Angelman syndrome patients with an IC microdeletion. Hum. Mol. Genet. 8: 337-343.
Freeman, S.B., May, K.M., Pettay, D., Fernhoff, P.M. and Hassold, T.J. (1993). Paternal uniparental disomy in a child with a balanced 15,15 translocation and Angelman syndrome. Am. J. Med. Genet. 45: 625630.
Fridman, C. (1997). Síndrome de Prader-Willi e Síndrome de Angelman:
Imprinting Genômico na Espécie Humana. Sociedade Brasileira de
Genética, Série Monografias No.5, 1-55.
Fridman, C., Varela, M.C., Kok, F., Diament, A. and Koiffmann, C.P. (2000). Paternal UPD15: further genetic and clinical studies in four Angelman syndrome patients. Am. J. Med. Genet. 92: 322-327.
Fryburg, J.S., Breg, W.R. and Lindgren, V. (1991). Diagnosis of Angelman
syndrome in infants. Am. J. Med. Genet. 38: 58-64.
Gabriel, J.M., Gray, T.A., Stubbs, L., Saitoh, S., Ohta, T. and Nicholls, R.D. (1998). Structure and function correlations at the imprinted mouse Snrpn locus. Mamm. Genome. 9: 788-793.
Gabriel, J.M., Merchant, M., Ohta, T., Ji, Y., Caldwell, R.G., Ramsey, M.J.,
Tucker, J.D., Longnecker, R. and Nicholls, R.D. (1999). A transgene insertion creating a heritable chromosome deletion mouse model of Prader-Willi and Angelman syndrome. Proc. Natl. Acad. Sci. USA 96: 9258-9263.
Gillessen-Kaesbach, G., Albrecht, B., Passarge, E. and Horsthemke, B. (1995). Further patient with Angelman syndrome due to paternal disomy of chromosome 15 and a milder phenotype. Am. J. Med. Genet. 56: 328-329.
Glenn, C.C., Porter, K.A., Jong, M.T.C., Nicholls, R.D. and Driscoll, D.J. (1993). Functional imprinting and epigenetic modification of the human SNRPN gene. Hum. Mol. Genet. 2: 2001-2005.
Glenn, C.C., Saitoh, S., Jong, M.T.C., Filbrandt, M.M., Surti, U., Driscoll, D.J. and Nicholls, R.D. (1996). Gene structure, DNA methylation, and imprinted expression of the human SNRPN gene. Am. J. Hum. Genet. 58: 335-346.
Glenn, C.C., Driscoll, D.J., Yang, T.P. and Nicholls, R.D. (1997). Genomic imprinting: potencial function and mechanisms revealed by the PraderWilli and Angelman syndromes. Mol. Hum. Reprod. 3: 321-332.
Gray, T.A., Saitoh, S. and Nicholls, R.D. (1999). An imprinted, mammalian bicistronic transcript encodes two independent proteins. Proc. Natl. Acad. Sci. USA 96: 5616-5621.
Hall, J.G. (1990). Genomic imprinting: review and relevance to human diseases. Am. J. Hum. Genet. 46: 857-873.
Holm, V.A., Cassidy, S.B., Butler, M.G., Hanchett, J.M., Greenswag, L.R., Whitman, B.Y. and Greenberg, F. (1993). Prader-Willi syndrome: consensus diagnostic criteria. Pediatrics 91: 398-402.
Huibregtse, J.M., Scheffner, M., Beaudenon, S. and Howley, P.M. (1995). A family of proteins structurally and functionally related to the E6-AP ubiquitin-protein ligase. Proc. Natl. Acad. Sci. USA 92: 2563-2567.
Hurst, L.D., McVean, G. and Moore, T. (1996). Imprinted genes have few and small introns. Nat. Genet. 12: 234-237.
Izumikawa, Y., Natitomi, K. and Hirayama, K. (1991). Replication asynchrony between homologs 15q11.2: cytogenetic evidence for genomic imprinting. Hum. Genet. 87: 1-5.
Jay, P., Rougeulle, C., Massacrier, A., Moncla, A., Mattei, M.-G., Malzac, P., Roëckel, N., Taviaux, S., Lefranc, J.-L.B., Cau, P., Berta, P., Lalande, M. and Muscatelli, F. (1997). The human necdin gene, NDN, is maternally imprinted and located in the Prader-Willi syndrome chromosomal region. Nat. Genet. 17: 357-361.
Ji, Y., Walkowicz, M.J., Buiting, K., Johnson, D.K., Tarvin, R.E., Rinchik, E.M., Horsthemke, B., Stubbs, L. and Nicholls, R.D. (1999). The ancestral gene for transcribed, low-copy repeats in the Prader-Willi/ Angelman region encodes a large protein implicated in protein trafficking, which is deficient in mice with neuromuscular and spermiogenic abnormalities. Hum. Mol. Genet. 8: 533-542.
Jiang, Y.-h., Armstrong, D., Albrecht, U., Atkins, C.M., Noebels, J.L., Eichele, G., Sweatt, J.D. and Beaudet, A.L. (1998). Mutation of the Angelman ubiquitin ligase in mice causes increased cytoplasmic p53 and deficits of contextual learning and long-term potentiation. Neuron 21: 799-811.
Kishino, T. and Wagstaff, J. (1998). Genomic organization of the UBE3A/ E6-AP gene and related pseudogenes. Genomics 47: 101-107.
Kishino, T., Lalande, M. and Wagstaff, J. (1997). UBE3A/E6-AP mutations cause Angelman syndrome. Nat. Genet. 15: 70-73.
Knoll, J.H.M., Nicholls, R.D., Magenis, R.E., Graham Jr., J.M., Lalande, M. and Latt, S.A. (1989). Angelman and Prader-Willi syndromes shares a common chromosome 15 deletion but differ in parental origin of the deletion. Am. J. Med. Genet. 32: 285-290.
Knoll, J.H.M., Nicholls, R.D., Magenis, R.E., Glatt, K., Graham Jr., J.M., Kaplan, L. and Lalande, M. (1990). Angelman syndrome: Three molecular classes identified with chromosome 15q11-q13 specific DNA markers. Hum. Genet. 47: 149-155.
Knoll, J.H.M., Cheng, S.D. and Lalande, M. (1994). Allele specificity of DNA replication timing in the Angelman/Prader-Willi syndrome imprinted chromosomal region. Nat. Genet. 6: 41-46.
Kubota, T., Sutcliffe, J.S., Aradhya, S., Gillessen-Kaesbach, G., Christian, S.L., Horsthemke, B., Beaudet, A.L. and Ledbetter, D.H. (1996). Validation studies of SNRPN methylation as a diagnostic test for PraderWilli syndrome. Am. J. Med. Genet. 66: 77-80.
Ledbetter, D.H., Riccardi, V.M., Airhart, S.D., Strobel, R.J., Keenan, B.S. and Crawford, J.D. (1981). Deletions of chromosome 15 as a cause of
the Prader-Willi syndrome. N. Engl. J. Med. 304: 325-329.
Leff, S.E., Brannan, C.I., Reed, M.L., Özçelik, T., Francke, U., Copeland, N.G. and Jenkins, N.A. (1992). Maternal imprinting of the mouse Snrpn gene and conserved linkage homology with the human Prader-Willi syndrome region. Nat. Genet. 2: 259-264.
MacDonald, H.R. and Wevrick, R. (1997). The necdin gene is deleted in Prader-Willi syndrome and is imprinted in human and mouse. Hum. Mol. Genet. 6: 1873-1878.
Magenis, R.E., Brown, M.G., Lacy, D.A., Budden, S. and LaFranchi, S. (1987). Is Angelman syndrome an alternative result of del (15)(q11q13)? Am. J. Med. Genet. 28: 829-838.
Magenis, R.E., Toth-Fejel, S., Allen, L.J., Black, M., Brown, M.G., Budden, S., Cohen, R., Friedman, J.M., Kalousek, D., Zonana, J., Lacy, D., LaFranchi, S., Lahr, M., Macfarlane, J. and Williams, C.P.S. (1990). Comparison of the 15q deletions in Prader-Willi and Angelman syndromes: specific regions, extent of deletions, parental origin, and clinical consequences. Am. J. Med. Genet. 35: 333-349.
Malzac, P., Webber, H., Moncla, A., Graham Jr., J.M., Kukolich, M., Williams, C., Pagon, R.A., Ramsdell, L.A., Kishino, T. and Wagstaff, J. (1998). Mutation analysis of UBE3A in Angelman syndrome patients. Am. J. Hum. Genet. 62: 1353-1360.
Mascari, M.J., Gottlieb, W., Rogan, P.K., Butler, M.G., Waller, D.A., Armour, J.A.L., Jeffreys, A.J., Ladda, R.L. and Nicholls, R.D. (1992). The frequency of uniparental disomy in Prader-Willi syndrome. N. Engl. J. Med. 326: 1599-1607.
Matsuura, T., Sutcliffe, J.S., Fang, P., Galjaard, R.-J., Jiang, Y.-h., Benton, C.S., Rommens, J.M. and Beaudet, A.L. (1997). De novo truncating mutations in E6-AP ubiquitin-protein ligase gene (UBE3A) in Angelman syndrome. Nat. Genet. 15: 74-77.
Nakao, M., Sutcliffe, J.S., Durtschi, B., Mutirangura, A., Ledbetter, D.H. and Beaudet, A.L. (1994). Imprinting analysis of three genes in the Prader-Willi/Angelman region: SNRPN, E6-associated protein, and PAR-2 (D15S225E). Hum. Mol. Genet. 3: 309-315.
Nicholls, R.D. (1993a). Genomic imprinting and uniparental disomy in Angelman and Prader-Willi syndromes: a review. Am. J. Med. Genet. 46: 16-25.
Nicholls, R.D. (1993b). Genomic imprinting and candidate genes in the Prader-Willi and Angelman syndromes. Curr. Opin. Genet. Dev. 3: 445-456.
Nicholls, R.D. (1994). New insights reveal complex mechanisms involved in genomic imprinting. Am. J. Hum. Genet. 54: 733-740.
Nicholls, R.D. (1998). Strange bedfellows? Protein degradation and neurological dysfunction. Neuron 21: 647-649.
Nicholls, R.D., Saitoh, S. and Horsthemke, B. (1998). Imprinting in PraderWilli and Angelman syndromes. TIG 14: 194-200.
Ohta, T., Rogan, P.K., Saitoh, S., Deng, G., Buiting, K., Horsthemke, B., Driscoll, D.J., Weksberg, R., Ishikawa, T., Butler, M.G., Gabriel, J.M. and Nicholls, R.D. (1996). Minimal definition and function of the imprinting center for Prader-Willi syndrome. Am. J. Hum. Genet. 59 (Suppl.): A283 (Abstract).
Ohta, T., Buiting, K., Kokkonen, H., McCandless, S., Heeger, S., Leisti, H., Driscoll, D.J., Cassidy, S.B., Horsthemke, B. and Nicholls, R.D. (1999a). Molecular mechanism of Angelman syndrome in two large families involves an imprinting mutation. Am. J. Hum. Genet. 64: 385396.
Ohta, T., Gray, T.A., Rogan, P.K., Buiting, K., Gabriel, J.M., Saitoh, S., Muralighar, B., Bilenska, B., Krajewska-Walasek, M., Driscoll, D.J., Horsthemke, B., Butler, M.G. and Nicholls, R.D. (1999b). Imprintingmutation mechanisms in Prader-Willi syndrome. Am. J. Hum. Genet. 64: 397-413.
Özçelik, T., Leff, S., Robinson, W., Donlon, T., Lalande, M., Sanjines, E., Schinzel, A. and Francke, U. (1992). Small nuclear ribonucleoprotein polypeptide N (SNRPN), an expressed gene in Prader-Willi syndrome critical region. Nat. Genet. 2: 265-269.
Peterson, K. and Sapienza, C. (1993). Imprinting the genome: imprinted genes, imprinting genes, and a hypothesis for their interaction. Annu. Rev. Genet. 27: 7-31.
Prader, A., Labhart, A. and Willi, H. (1956). Ein syndrom von Adipositas, kleinwuchs, kryptochismus und ologophrenie nach myotonieartigem zustand in neugeborenalter. Schweiz. Med. Wochenschr. 86: 12601261.
Qumsiyeh, M.B., Dalton, J.D., Gordon, P.L., Wilroy, R.S. and Tharapel, A.T. (1992). Deletion of chromosome 15pter-q11.2 due to t(Y,15) in a boy with Prader-Willi syndrome. Am. J. Med. Genet. 42: 109-111.
Razin, A. and Cedar, H. (1994). DNA methylation and genomic imprinting. Cell 77: 473-476.
Reed, M.L. and Leff, S.E. (1994). Maternal imprinting of human SNRPN, a gene deleted in Prader-Willi. Nat. Genet. 6: 163-167.
Reeve, A., Norman, A., Sinclair, P., Whittington-Smith, R., Hamey, Y., Donnai, D. and Read, A. (1993). True telomeric translocation in a baby with the Prader-Willi phenotype. Am. J. Med. Genet. 47: 1-6.
Reis, A., Dittrich, B., Greger, V., Buiting, K., Lalande, M., GillessenKaesbach, G., Anvret, M. and Horsthemke, B. (1994). Imprinting mutations suggested by abnormal DNA methylation patterns in familial Angelman and Prader-Willi syndromes. Am. J. Hum. Genet. 54: 741747.
Rivera, H., Zuffardi, O. and Gargantini, L. (1990). Nonreciprocal and jumping translocations of 15q1-qter in Prader-Willi syndrome. Am. J. Med. Genet. 37: 311-317.
Robb, S.A., Pohl, K.R.E., Baraitser, M., Wilson, J. and Brett, E.M. (1989). The 'happy puppet' syndrome of Angelman: review of the clinical features. Arch. Dis. Child. 64: 83-86.
Robinson, W.P., Bottani, A., Yagang, X., Balakrishman, J., Binkert, F., Machler, M., Prader, A. and Schinzel, A. (1991). Molecular cytogenetic, and clinical investigations of Prader-Willi syndrome patients. Am. J. Hum. Genet. 49: 1219-1234.
Robinson, W.P., Bernasconi, F., Mutirangura, A., Ledbetter, D.H., Langlois, S., Malcolm, S., Morris, M.A. and Schinzel, A.A. (1993). Nondisjunction of chromosome 15: origin and recombination. Am. J. Hum. Genet. 53: 740-751.
Rougeulle, C., Glatt, H. and Lalande, M. (1997). The Angelman syndrome candidate gene, UBE3A/E6-AP, is imprinted in brain. Nat. Genet. 17: 14-15.
Saitoh, S., Buiting, K., Rogan, P.K., Buxton, J.L., Driscoll, D.J., Arnemann, J., Konig, R., Malcolm, S., Horsthemke, B. and Nicholls, R.D. (1996). Minimal definition of the imprinting center and fixation of a chromosome 15q11-q13 epigenotype by imprinting mutations. Proc. Natl. Acad. Sci. USA 93: 7811-7815.
Saitoh, S., Buiting, K., Cassidy, S.B., Conroy, J.M., Driscoll, D.J., Gabriel, J.M., Gillessen-Kaesbach, G., Glenn, C.C., Greenswag, L.R., Horsthemke, B., Kondo, I., Kuwajima, K., Niikawa, N., Rogan, P.K., Schwartz, S., Seip, J., Williams, C.A. and Nicholls, R.D. (1997). Clinical spectrum and molecular diagnosis of Angelman and Prader-Willi syndrome imprinting mutation patients. Am. J. Med. Genet. 68:195-206.
Schmauss, C., Brines, M.L. and Lerner, M.R. (1992). The gene encoding the small nuclear ribonucleoprotein-associated protein N is expressed at high levels in neurons. J. Biol. Chem. 267: 8521-8529.
Smeets, D.F.C.M., Hamel, B.C.J., Nelen, M.R., Smeets, H.J.M., Bollen, J.H.M., Smits, A.P.T., Ropers, H.-H. and van Oost, B.A. (1992). PraderWilli syndrome and Angelman syndrome in cousins from a family with translocation between chromosomes 6 and 15. N. Engl. J. Med. 326: 807-811.
Smith, A., Robson, L., Neumann, A., Mulcahy, M., Chabros, V., Deng, Z.M., Woodage, T. and Trent, R.J. (1993). Fluorescence in situ hybridisation and molecular studies used in the characterisation of a Robertsonian translocation (13q15q) in Prader-Willi syndrome. Clin. Genet. 43: 5-8.
Smith, A., Deng, Z.M., Beran, R., Woodage, T. and Trent, R.J. (1994). Familial unbalanced translocation t(8,15)(p23.3,q11) with uniparental disomy in Angelman syndrome. Hum. Genet. 93: 471-473.
Spritz, R.A., Bailin, T., Nicholls, R.D., Lee, S.-T., Park, S.-K., Mascari, M.J. and Butler, M.G. (1997). Hypopigmentation in the Prader-Willi syndrome correlates with P gene deletion but not with haplotype of the hemizygous P allele. Am. J. Med. Genet. 71: 57-62.
Stalker, H.J. and Williams, C.A. (1998). Genetic counseling in Angelman syndrome: the challenges of multiple causes. Am. J. Med. Genet. 77: 54-59.
Sutcliffe, J.S., Nakao, M., Christian, S., Örstavik, K.H., Tommerup, N., Ledbetter, D.H. and Beaudet, A.L. (1994). Deletions of a differentially methylated CpG island at the SNRPN gene define a putative imprinting control region. Nat. Genet. 8: 52-58.
Sutcliffe, J.S., Jiang, Y.-H., Galjaard, R.J., Matsuura, T., Fang, P., Kubota, T., Christian, S.L., Bressler, J., Cattanach, B., Ledbetter, D.H. and Beaudet, A.L. (1997). The E6-AP ubiquitin-protein ligase (UBE3A) gene is localized within a narrowed Angelman syndrome critical region. Genome Res. 7: 368-377.
Vickers, S., Dahlitz, M., Hardy, C., Kilpatrick, M. and Webb, T. (1994). A male with a de novo translocation involving loss of 15q11q13 material and Prader-Willi syndrome. J. Med. Genet. 31: 478-481.
Vu, T.H. and Hoffman, A.R. (1997). Imprinting of the Angelman syndrome
gene, UBE3A, is restricted to brain. Nat. Genet. 17: 12-13.
Watrin, F., Roëckel, N., Lacroix, L., Mignon, C., Mattei, M.-G., Disteche, C. and Muscatelli, F. (1997). The mouse Necdin gene is expressed from the paternal allele only and lies in the 7C region of the mouse chromosome 7, a region conserved synteny to the human Prader-Willi syndrome region. Eur. J. Hum. Genet. 5: 324-332.
Wevrick, R. and Francke, U. (1997). An imprinted mouse transcript homologous to the human imprinted in Prader-Willi syndrome (IPW) gene. Hum. Mol. Genet. 6: 325-332.
Williams, C.A., Angelman, H., Clayton-Smith, J., Driscoll, D.J., Hendrickson, J.E., Knoll, J.H.M., Magenis, R.E., Schinzel, A., Wagstaff, J., Whidden, E.M. and Zori, R.T. (1995). Angelman syndrome: consensus for diagnostic criteria. Am. J. Med. Genet. 56: 237238.
Yamamoto, Y., Huibregtse, J.M. and Howley, P.M. (1997). The human E6AP gene (UBE3A) encodes three potential protein isoforms generated by differential splicing. Genomics 41: 263-266.
Yang, T., Adamson, T.E., Resnick, J.L., Leff, S., Wevrick, R., Francke, U., Jenkins, N.A., Copeland, N.G. and Brannan, C.I. (1998). A mouse model for Prader-Willi syndrome imprinting-centre mutations. Nat. Genet. 19: 25-31.
(Received June 15, 2000)
|
RESIDENCY TRAINING PROGRAM REGISTRATION 2018-2019 ONCOLOGY
Part One
New applications for ACVIM Residency Training Programs must be received by the Residency Training Committee 90 days prior to any residents beginning training. Before completing this form, please review the general and specific requirements for Oncology Residency Training Programs in the ACVIM Certification Manual (CM). The most current version of the CM is available on the ACVIM website at www.ACVIM.org. If there is a discrepancy between this form and the CM, the CM will be considered correct, however, please contact the ACVIM office or the Residency Training Committee Chairperson for clarification.
Prior to making significant changes in a Residency Training Program, approval of the ACVIM and Oncology Residency Training Committee must be obtained. The Candidate and/or Program Director must notify ACVIM, in writing. Significant changes could include, but are not limited to: changes in Program Director or any advisors, transferring from one program to another, alterations in program duration, locations of secondary site training, switching to a 'dual board' program, or enrolling in an institutional graduate program.
Notice: This form contains questions for three separate purposes; data collection that ACVIM must maintain for its accreditation as a specialty college; data collection for each specialty to evaluate what is appropriate for residency programs; and data collection to evaluate this Residency Training Program for renewal. It is important that all questions be answered accurately and completely, even if the answer to a specific question is not essential for a program's renewal.
For multi-site residency programs: To ensure uniformity of training and compliance with current CM requirements, training programs which include multiple sites must provide detailed information regarding supervision and facilities available at each specific site(s). Multi-site programs, if any, are listed in Part Two.
Program Director Name: Dr. Antonella Borgatti
(Must be a Diplomate of ACVIM in the Specialty of Oncology)
Program Director’ s Contact Information:
Work Phone: (612) 626-5786
E-mail:
firstname.lastname@example.org
Mailing
Address:
Veterinary Clinical Sciences
1352 Boyd Ave.
Saint Paul, MN 55108
1. Location of Sponsoring Institution (Primary Site of Residency Training Program):
Primary Site:
University of Minnesota
Multi-site programs, if any, are listed in Part Two.
© 2018 American College of Veterinary Internal Medicine
2. Resident Advisor(s): Must be ACVIM Diplomate(s) in Oncology. There is no restriction on the number of Resident Advisors; however, each Resident Advisor can supervise only two residents concurrently.
3. Please list all Supervising Diplomates in Oncology: There must be a minimum of two (2) ACVIM Oncology Diplomates per institution.
4. Please list all Diplomates of the American College of Veterinary Internal Medicine responsible for supervision of clinical training who specialize in areas other than Oncology.
5. Please list all the residents currently enrolled in the training program, along with the beginning date of the program, expected ending date of the program, and designated resident advisor.
* There is no restriction on the number of Resident Advisors; however, each Resident Advisor can supervise only two residents concurrently.
```
Antonella Borgatti Michael Henson Brian Husbands
```
```
Michael Henson - Oncology Brian Husbands - Oncology Antonella Borgatti - Oncology Jessica Lawrence - Oncology
```
```
Jody Lulich - SAIM Alistair McVey - Neurology Rita Miller - SAIM David Polzin - SAIM Robert Washabau - SAIM Lindsay Merkel - SAIM Michelle Ritt - SAIM Edward Patterson - SAIM Jennifer Granick - SAIM Christopher Stauthammer - Cardiology Eva Furrow - SAIM
```
```
Resident Name, Dates of Program (Resident Advisor)* Jennifer Lenz 7.13.15 - 7.13.18 (Antonella Borgatti) Megan Duckett 10.24.2016 - 10.24.2017 (Antonella Borgatti) Caroline Wood 7.13.17 - 7.13.20 (Michael Henson) Kristine Walters 7.13.17 - 7.13.20 (Brian Husbands)
```
Please note, any Candidate that significantly changes or alters their Residency Training Program before completion must notify ACVIM, in writing, before the changes are made to ensure that the proposed changes are approved.
Significant changes could include, but are not limited to:
- transferring from one program to another
- alterations in program duration
- switching to a 'dual board' program
- enrolling in an institutional graduate program - change of Program Director or Resident Advisor
© 2018 American College of Veterinary Internal Medicine
RESIDENCY TRAINING PROGRAM REGISTRATION 2018-2019 ONCOLOGY
Part Two
Part Two of the Oncology Residency Training renewal process addresses general features of the program that apply to all current residents. These questions will be used to provide the Oncology Residency Training/Credentials Committee with information needed to judge the structure, quality, scope, and consistency of training provided.
Current Date:
02/16/2018
Program Director Name:
Antonella Borgatti
(Must be a Diplomate of ACVIM in the Specialty of Oncology)
Name of Sponsoring Institution (Residency Training Program):
University of Minnesota
1. For residency programs with off-site rotations (required rotations not available at the primary institution/site): To ensure uniformity of training and compliance with current Certification Manual (CM) requirements, training programs that include off-site rotations must provide detailed information regarding supervision and facilities available at each specific site(s).
Outside Rotation(s) (if applicable): Please attach signed Letters of Support from all individuals providing off-site training of oncology residents to this registration form. Each Letter of Support should specify the number of weeks scheduled at each site and the rotation requirement met. Letters of Support must be submitted annually WITH program renewal forms and WITH each new program request.
In the box provided below, list the outside rotations for which you are attaching Letters of Support. Please include in the space below the specific information regarding the number of weeks scheduled at each site and which rotation requirements shall be met at each site:
2. Type of Training Program:
Traditional 3 years
x
Non-traditional (# years)
For non-traditional programs, please provide details. Note that programs must be at least 3 years (156 weeks) in length.
3. Advanced Degree:
Yes No Optional
Masters:
x
PhD:
x
Required for residency certificate: Yes
No x
Comments:
4. ONCOLOGY DIPLOMATES (CM 8.G.4)
There must be a minimum of two (2) ACVIM Oncology Diplomates at the primary training site of the residency for an Oncology RTP to be approved or to maintain approval. Please list the ACVIM Oncology Diplomates and their site of activity.
5. SUPPORTING DISCIPLINES REQUIRED
There must be an ACVIM SAIM Diplomate with ≥50% FTE at the primary training site of the residency for an Oncology RTP to be approved or to maintain approval (CM 8.U.3).
Please list the ACVIM SAIM Diplomate(s) who will fulfill this requirement for the RTP.
There must be an ACVS Surgery Diplomate with ≥50% FTE at the primary training site of the residency for an Oncology RTP to be approved or to maintain approval (CM 8.U.3).
Please list the ACVIM SAIM Diplomate(s) who will fulfill this requirement for the RTP.
Because oncology is a multimodal discipline, the resident must also have clinical training under the direct supervision of Supervising Diplomates in other disciplines. This contact may occur at a secondary training site.
A minimum of 32 weeks must be spent actively receiving patients in affiliated rotations or meeting requirements through rounds. For each off-site rotation included in the 32 weeks of clinical training in other specialties, the resident should obtain written approval from their Resident Advisor, who will forward documentation of this approval to the RTCC.
6a. RADIATION ONCOLOGY REQUIREMENTS (CM 8.M.1):
At least eight weeks of direct supervision is required with a veterinary radiation oncologist to develop an understanding of clinical management of patients receiving radiation therapy, radiation planning, dosimetry and physics related to clinical radiation therapy.
Please list all Diplomates of the American College of Veterinary Radiology responsible for training in Radiation Oncology. Describe how Diplomates are involved in the supervision of residents and direct contact radiation oncology training will be fulfilled. Radiation oncology rotations must be completed in blocks of at least two consecutive weeks in length.
6b. PATHOLOGY REQUIREMENTS (8.M.1):
At least two weeks (may be met through weekly/biweekly rounds) of direct supervision with a clinical pathologist are required.
Please list all Diplomates of the American College of Veterinary Pathology in clinical pathology associated with residency training. Describe how Diplomates are involved in the supervision of residents and how direct contact requirements (must be in person, not videoconference) in clinical pathology will be met.
| Name of Diplomate(s) | Site |
|---|---|
| Jill Schappa, DVM Daniel Heinrich, DVM Davis Seelig, DVM, PhD | UMN, CVM UMN, CVM UMN, CVM |
At least two weeks (may be met through weekly/biweekly rounds) of direct supervision with an anatomic (surgical) pathologist are required.
Please list all Diplomates of the American College of Veterinary Pathology in anatomic (surgical) pathology associated with residency training. Describe how Diplomates are involved in the supervision of residents and how direct contact requirements (must be in person, not videoconference) in anatomic pathology will be met.
6c. DIAGNOSTIC IMAGING REQUIREMENTS (8.M.1):
At least two consecutive weeks of diagnostic imaging under direct supervision by a board-certified radiologist are required in addition to any interactions during case rounds.
Please list all Diplomates of the American College of Veterinary Radiology (not including radiation oncology) associated with residency training. Describe how Diplomates are involved in the supervision of residents and how direct contact requirements (must be in person, not videoconference) in radiology will be met.
| Name of Diplomate(s) | Site |
|---|---|
| Daniel Feeney, DVM, MS Kari Anderson, DVM Chris Ober, DVM, PhD | U Minn, CVM U Minn, CVM U Minn, CVM |
6d. SMALL ANIMAL INTERNAL MEDICINE REQUIREMENTS (8.M.1):
At least four weeks (completed in at least two consecutive week blocks) of training under the direct supervision by an ACVIM Small Animal Internal Medicine (SAIM) Diplomate are required.
Please list all Diplomates of the American College of Veterinary Internal Medicine (inlcuding those listed above) involved in the supervision of residents and how direct contact requirements will be met.
6e. OTHER REQUIRED ROTATIONS (8.M.2):
Fourteen weeks of other rotations with an ACVIM Diplomate in the Specialty of Oncology, or training under the supervision of a member of an American Board of Veterinary Specialties (ABVS) or European Board of Veterinary Specialization (EBVS) approved specialty (such as, but not limited to, the American College of Veterinary Radiology, the American College of Veterinary Radiology (Radiation Oncology), European College of Veterinary Neurology, the American College of Veterinary Pathology, ACVS, or ACVECC). Rotations must be completed in at least two consecutive week blocks (unless otherwise specified in the CM.)
Please list the non-ACVIM Diplomates available for consultation in these areas. Describe how Diplomates are involved in the supervision of residents and their contribution to direct contact requirements in affiliated specialties.
| Name of Diplomates | Specialty/College | Site |
|---|---|---|
| Sandra Koch, DVM, MS Sheila Torres, DVM, MS, PhD Michael Conzemius, DVM, PhD Elizabeth LaFond, DVM Betty Kramek, DVM Elizabeth Pluhar, DVM, MS, PhD Wanda Gordon-Evans, DVM, PhD Pierre Amsellem, DVM, MSc Starting 03/12/2018 Shiori Asai, DVM, PhD Starting 03/12/2018 | Dermatology Dermatology Surgery Surgery Surgery Surgery Surgery Surgery Surgery | UMN UMN UMN UMN UMN UMN UMN UMN UMN |
7. FORMAL STRUCTURED RESEARCH (CM 8.O):
The resident is expected to actively participate in a laboratory or clinical investigative research project during the residency. A minimum of eight weeks (320 hours) of an oncology residency should be dedicated to this aspect of training. Research time should be scheduled as either weekly time (hours per week) or in blocks of time sufficient to complete the research, perform data analysis and prepare a manuscript for publication by the third year of their residency (see Recommended Milestones in CM 8.G 6-8). This experience must be documented, with dates, and signed by the Supervising Diplomate. Please explain how your residency program complies with the research guidelines outlined above.
The resident is required to complete one research project. The research project will be carefully coordinated with two mentors to ensure it can be feasibly completed in the allotted time. The mentors will include a board certified veterinary oncologist and a basic scientist with expertise in residency/fellowship mentoring and sufficient extramural funding to support the project if necessary. Masonic Cancer Center and Stem Cell Institute faculty that can serve as basic mentors include (but are not limited to):
Doug Yee, MD (Professor and Director, Masonic Cancer Center – small molecule targeting in breast cancer)
Tucker LeBien, PhD (Professor and Associate Director, Masonic Cancer Center, - biology of lymphoma and leukemia)
Jeffrey Miller, MD (Professor and Associate Director, Masonic Cancer Center – cell and immunotherapy)
Carol Lange, PhD (Associate Professor, Masonic Cancer Center – signaling and progesterone receptor biology in breast cancer)
Christopher Pennel, PhD (Associate Professor, Masonic Cancer Center – cancer immunotherapy)
Denis Clohisy, MD (Professor and Head of Orthopedic Surgery – biology and clinical responses in osteosarcoma and soft tissue sarcoma)
Jaime Modiano, VMD, PhD (Professor and Director of Comparative Oncology, Masonic Cancer Center – cancer genetics and gene therapy/immunotherapy)
Timothy O'Brien, DVM, PhD (Professor, and Stem Cell Institute – stem cell biology)
Daniel Kaufman, MD, PhD (Associate Professor, Masonic Cancer Center and Stem Cell Institute – hematopoietic stem cells and immunotherapy)
For Board-certification in oncology, the resident must have a minimum of one major first author publication in the field of oncology published or accepted for publication in a refereed scientific or peer-reviewed journal. A literature review or case report is not acceptable. Please describe how this program supports this requirement for publication. (See CM 8.F.5)
Completion of a residency project as described above and preparation of an original research manuscript are requirements to release a certificate of oncology residency program completion at the University of Minnesota.
8. JOURNAL CLUB (CM 8.P):
An organized and routinely scheduled journal club of at least 80 hours over the course of the RTP must be an integral part of all oncology resident training. Journal Club must be attended and supervised by a Supervising Diplomate. The RTP application requires a schedule of proposed Journal Club for Oncology RTCC approval.
Please explain how your residency program complies with the journal club guidelines outlined above, and include a schedule for this requirement, including number of proposed meetings and duration of each meeting.
Oncology Journal Club (weekly, required, Fridays, 2:00 pm to 3:00 pm). Meetings are held weekly and are onehour in duration. At least one Supervising Diplomate (two on average) attends all sessions.
9. SEMINAR OR LECTURE SERIES AND FORMAL CONFERENCES (CM 8.Q, 8.R):
Residents must attend formal teaching conferences in oncology and related disciplines throughout the residency. Unless these are formal lectures or classes, an Oncology Supervising Diplomate supervises the conferences, which should occur an average of four times per month. Examples of these are clinical pathology conferences, resident seminars, grand rounds sessions, and tumor biology classes. Conferences given within a veterinary practice or hospital or at a medical school or medical teaching hospital are acceptable.
Please include includes the format and schedule of these conferences and presentations, which directly pertain to training in Oncology and give specific details given on a daily, weekly or monthly basis.
Oncology Journal Club (required, Fridays, 2:00 pm to 3:00 pm)
Oncology Section Meeting (required, 2nd Thursday of the month at 12:30 pm)
Cytology Rounds (required, Fridays at 8:00 am)
Radiology/Radiation therapy rounds (required, Tuesdays 1:00-1:30 pm)
Morbidity and Mortality rounds (required, monthly on 4 th Tuesday 7:30-8:30 am)
Grand rounds (required, Thursdays 8:00-9:00 am)
Comparative and Molecular Biosciences Seminar Series (optional, Wednesdays at 3 pm)
Comparative Oncology Lab Meetings (optional, Thursdays at 12:00 pm)
Comparative Oncology Journal Club (optional, Mondays at 12:00 pm)
Cancer Epidemiology Interest Group (optional, last Friday of the month at 12:00 pm)
Genetic Mechanisms of Cancer Program Meeting (optional, 3rd Thursday of the month at 4:00 pm)
Cancer Biology Research Group Conference (optional, 2nd Wednesday of the month at 12:00 pm)
Cancer Progression and Metastasis Seminar Series (optional, 3rd Wednesday of the month at 9:15 am)
BMT Conference (optional, Mondays at 1:15 pm)
Cancer Biology Journal Club (optional, Wednesdays at 12:00 pm)
The resident must give a formal presentation at such a conference at least once per year. Documentation of these presentations must be included in the oncology credentials packet of the resident.
Please list all opportunities offered to and/or required of the resident for attendance and/or giving formal presentations at local, regional, state or national meetings. Indicate whether the resident will attend or present at these meetings (CM 8.Q).
At a minimum, residents will be required to present at each of the following:
Morbidity and Mortality Rounds (year 1 or 2)
Grand Rounds (year 1 or 2)
VCS (year 2 and/or 3).
Residents will be encouraged to present abstracts and posters at other national meetings (e.g. ACVIM, AACR, ASCO, etc.) and to lecture in the DVM curriculum (likely year 2 and 3).
Residents must attend at least one state, regional, national, or international veterinary or human medical continuing education conference during their residency. Please list opportunities offered to and/or required of the resident for attendance
VCS.
ACVIM.
Residents will be encouraged to present abstracts and posters at other national meetings (e.g. ACVIM, AACR, ASCO, etc.).
In addition, residents are invited to seek opportunities for continuing education that meet the specific interest of the resident (such as workshops or other training opportunities).
Residents must write a one page proposal describing the rationale for participation, so that faculty can evaluate the potential benefits and cover part (or all) of the costs, whenever feasible.
10. FORMAL EXAMINATION REVIEW SESSIONS (CM 8.S):
An oncology RTP must provide at least 40 hours per year of intensive formal review sessions for residents/candidates on topics covered in the general and specialty examinations. Attending daily clinical rounds does not meet this requirement. The requirement could be met in part by attending an ACVIM advanced continuing education (ACE) course, by attending an ACVIM Forum, or formal resident review sessions at a Veterinary Cancer Society Annual Meeting.
Please provide an anticipated schedule of these formal reviews below. Annual documentation will be required.
Residents at the University of Minnesota are encouraged to attend the formal resident review sessions at the Veterinary Cancer Society Annual Meeting.
Oncology board review sessions are held every Monday from 3:30-4:30 pm
General board review is held on Mondays at 8:00 am
11. PAST RESIDENTS:
Please list the residents who have completed this described training program within the last five years, including the year that each individual's training program ended. If possible, please indicate whether the individual has completed the Boardcertification process. Do not include residents whose program was other than the one described here.
| Name(s) | Program End Date (mm/dd/yyyy) |
|---|---|
| Alexis Denysyk Sara Fritz Jillian Zientek Walz | 07/13/2014 07/13/2015 07/13/2017 |
12. CURRENT RESIDENTS:
Please list all residents currently enrolled in this described training program in addition to their actual program start and end dates. Each Resident Advisor can supervise only two residents at a time.
While it may have no bearing on your program, the supervising Diplomate(s) and the resident are required to review the Certification Manual yearly. You may obtain a copy of the Certification Manual from the ACVIM website atwww.ACVIM.org.
13. Have all supervising Diplomate(s) read the objectives for an oncology residency as outlined in the Certification Manual, Specialty of Oncology?
x If no, please explain:
14. The RA and PD should periodically evaluate the resident (required minimum of once every 6 months) and discuss the results of those evaluations with the resident. Either the RA or PD (or both) must be able to provide the Residency Training Committee with written summaries of those evaluations, if requested. Additionally, the RA must complete the standardized Resident Evaluation Form annually and provide RTCC with copies, if requested.
Does your program comply with these standards of resident evaluation?
Yes No
If no, please explain:
15. Please indicate the availability of the following facilities or equipment. Indicate if these are available at the primary training site, or at a different location. (In the Location column, indicate on-site for primary location or the name of the facility where the equipment is located if off-site.) For facilities that are not on-site or not available, please describe the situation, availability, or how the resident will gain experience with equipment not available in the space at the end of this section.
| | Available? (Y or N) |
|---|---|
| a) Radiography | y |
| b) 24 hour emergency and critical care facility | y |
| b) Ultrasonographic equipment | y |
| c) Color flow/Doppler equipment | y |
| d) Endoscopy equipment | y |
| GI equipment | y |
| Bronchoscopy | y |
| Cystoscopy | y |
| Rhinoscopy | y |
| Laparoscopy | y |
| e) Clinical Pathology capabilities: (includes CBC, serum chemistries, blood gases, urinalysis, Cytology, parasitology, microbiology, and endocrinology) | y |
| f)Appropriate safety equipment for handling chemotherapy (briefly summarize what is available in the column Location of Equipment). | y |
| g) Nuclear Medicine | y |
| h) Computed Tomography | y |
| i) Magnetic Resonance Imaging | y |
| j) Radiation Therapy Facility | y |
| k) Intensive Care Facility – 24 hours | y |
| l) Total parenteral nutrition capability | y |
m)Computerized Medical Records w/Searching Capabilities
y On-site
If any of the above equipment or facilities are available off-site, please explain how the resident can access them for case management, research, or study.
16. The resident should have access to a human or veterinary medical library with on-line searching capacity and at a minimum have access to all textbooks (current editions) and full text access to all journals on the current examination committee reading list (See item 21. to be completed by Program Director. Note that on-line access to texts must be full-text not abstracts only). This library should be available on-site or within a reasonable commuting distance (defined as within a 15 mile radius of the primary training site).
Please indicate how your resident can obtain access to the following textbooks/journals.
| Text or Journal | Hard Copy or Subscription Available on site, or Medical/Veterinary Library (insert name) | Available Electronically (CD-ROM or Online Subscription) | Available Through pub- med only (free or will purchase articles) |
|---|---|---|---|
| DeVita: Cancer: Principles and Practice of Oncology, 10th ed. (2015) | or Library: | | |
| Withrow: Veterinary Clinical Oncology, 5th Ed. (2012) | or Library: | | |
| Chabner: Cancer Chemotherapy, 5th Ed. (2010) | or Library: | | |
| Tannock&Hill: Basic Science of Oncology, 5th Ed. (2013) | or Library: | | |
| Abbas: Cellular and Molecular Immunology, 8th Ed. (2014) | or Library: | | |
| Meuten: Tumors in Domestic Animals, 4th Ed. (2002) | or Library: | | |
| Weinberg: The Biology of Cancer, 2nd Ed. (2013) | or Library: | | |
| Kirk: Current Veterinary Therapy XII, XIII, XIV, XV (1995, 2000, 2008, 2014) | or Library: | | |
| Feldman & Nelson: Canine and Feline Endocrinology and Reproduction, 4th Ed. (2015) | or Library: | | |
| Cowell: Diagnostic Cytology, 4th Ed. (2013) | or Library: | | |
| Hall: Radiobiology for the Radiologist, 7th Ed. (2011) | or Library: | | |
| Ogilvie & Moore: Feline Oncology (2001) | or Library: | | |
| Ogilvie & Moore: Managing the Canine Cancer Patient (2006) | or Library: | | |
| Henry & Higginbotham: Cancer Management in Small Animal Practice (2009) | or Library: | | |
Duncan: Veterinary Laboratory
Medicine: Clinical Pathology,5
th
(2011)
Weiss and Wardrop: Schalm's
| Norman and Streiner: Biostatistics- the Bare Essentials, 4th Ed. (2014) | or Library: |
|---|---|
| The following Journals are considered required for Candidates; They are available to ACVIM Diplomates through the Texas A&M University Library: http://guides.library.tamu.edu/acvim | |
| Journal of Veterinary Internal Medicine | or Library: https://hsl.lib.umn.edu/ vetmed |
| Journal of the American Veterinary Medical Association | or Library: https://hsl.lib.umn.edu/ vetmed |
| American Journal of Veterinary Research | or Library: https://hsl.lib.umn.edu/ vetmed |
| Compendium for Continuing Education | or Library: https://hsl.lib.umn.edu/ vetmed |
| Journal of the American Animal Hospital Association | or Library: https://hsl.lib.umn.edu/ vetmed |
| Veterinary Clinical Pathology | or Library: https://hsl.lib.umn.edu/ vetmed |
| Veterinary and Comparative Oncology | or Library: https://hsl.lib.umn.edu/ vetmed |
| Veterinary Pathology | or Library: https://hsl.lib.umn.edu/ vetmed |
| Veterinary Surgery | or Library: https://hsl.lib.umn.edu/ vetmed |
| Veterinary Radiology and Ultrasound | or Library: https://hsl.lib.umn.edu/ vetmed |
| Journal of Small Animal Practice | or Library: https://hsl.lib.umn.edu/ vetmed |
| Research in Veterinary Science | or Library: https://hsl.lib.umn.edu/ vetmed |
| Veterinary Immunology and Immunopathology | or Library: https://hsl.lib.umn.edu/ vetmed |
| Cancer | |
Ed.
or Library:
| | or Library: https://hsl.lib.umn.edu/ vetmed |
|---|---|
| New England Journal of Medicine | or Library: https://hsl.lib.umn.edu/ vetmed |
| Clinical Cancer Research | or Library: https://hsl.lib.umn.edu/ vetmed |
| Nature Reviews: Cancer | or Library: https://hsl.lib.umn.edu/ vetmed |
| Cancer Research | or Library: https://hsl.lib.umn.edu/ vetmed |
| Cancer Chemotherapy & Pharmacology | or Library: https://hsl.lib.umn.edu/ vetmed |
Comments:
17. Is there any additional pertinent information that the Residency Training Committee should consider in its evaluation of this training program?
Yes No
Comments:
Please note, any Program Director or Candidate that significantly changes or alters this Residency Training Program before completion must notify ACVIM, in writing, before the changes are made to ensure that the proposed changes are approved.
Significant changes could include, but are not limited to:
- transferring from one program to another
- alterations in program duration
- switching to a 'dual board' program
- enrolling in an institutional graduate program
- change of Program Director or Resident Advisor
As Program Director, I verify that the above information is an accurate reflection of this Residency Training Program.
Per the Certification Manual, each year, the Program Director must certify to the RTC/ RTCC and ACVIM, in writing, that they have read the ACVIM Certification Manual and understands their role in residency training.
Checking this box is an indication I have read the ACVIM Certification Manual and understand my role in Residency Training Program.
|
June 18, 2018 LA-18-06
LEGAL ADVISORY
TO:
Designated Agency Ethics Officials
FROM:
David J. Apol Acting Director and General Counsel
SUBJECT: Guidance for Reporting Virtual Currency on Financial Disclosure Reports
This Legal Advisory clarifies that the U.S. Office of Government Ethics (OGE) has determined that virtual currency 1 is "property held . . . for investment or the production of income" for purposes of public and confidential financial disclosure, pursuant to the Ethics in Government Act (EIGA). 2 OGE does not consider virtual currency a "real" currency or legal tender. 3 Executive branch employees are therefore required to report their holdings of virtual currency on their public or confidential financial disclosure report, subject to applicable reporting thresholds for property held for investment or the production of income. Further, the reporting and conflict of interest principles set forth herein apply equally to other digital assets, such as "coins" or "tokens" received in connection with initial coin offerings or issued or distributed using distributed ledger or blockchain technology.
OGE recognizes that virtual currencies are experiencing a surge in use and access, and as a result, employees who hold virtual currencies are increasingly seeking guidance from their ethics officials concerning their financial disclosure reporting obligations. OGE also recognizes that virtual currency is a relatively new and still evolving financial instrument whose final form and function may yet change. Accordingly, we are issuing this guidance to address reporting requirements for employees who hold virtual currency and note that we may need to issue further guidance as the nature of virtual currency becomes better defined.
1 See I.R.S. Notice 2014-21, I.R.B. 2014-16 (Apr. 14, 2014), wherein the IRS describes virtual currency as "a digital representation of value that functions as a medium of exchange, a unit of account, and/or a store of value." Significantly, a result of this definition means the IRS treats virtual currency as property (and not a real currency) for U.S. federal tax purposes. Note that virtual currency is a term used synonymously with terms such as "cryptocurrency" and "digital currency."
3 The Financial Crimes Enforcement Network (FinCEN) noted that "[i]n contrast to real currency, 'virtual' currency is a medium of exchange that operates like a currency in some environments, but does not have all the attributes of real currency. In particular, virtual currency does not have legal tender status in any jurisdiction." See U.S. DEP'T OF THE TREASURY, FIN.CRIMES ENF'T NETWORK, FIN-2013-G001, "Application of FinCEN's Regulations to Persons Administering, Exchanging, or Using Virtual Currencies," (2013), https://www.fincen.gov/sites/default/files/guidance/FIN-2013-G001.pdf.
2 5 U.S.C. app. § 102(a)(3).
Background
Virtual currencies have existed for a number of years, but more recently have gained prominence in investor circles and the media for their fluctuations in value. There is general consensus within industry and government that virtual currency can function in different ways, i.e., it can serve as a store of value, a medium of exchange, and/or an investment asset. 4 Federal agencies have recognized that virtual currencies have largely been held for investment purposes:
- The Internal Revenue Service (IRS) treats virtual currency as property (and not as real currency) for U.S. federal tax purposes. 5
- The Commodity Futures Trading Commission (CFTC) views certain virtual currency as a commodity and involving a commodity derivative contract in specific situations. 6
- Officials at both the CFTC and the Securities and Exchange Commission (SEC) recently noted that many digital assets, including virtual currencies, are being promoted as investment assets. 7
Financial Disclosure Reporting
The EIGA requires employees to report "any interest in property held . . . for investment or the production of income . . . ." 8 While virtual currency may act as a medium of exchange or substitute for real currency, it may also function as a commodity, the basis for a derivative contract, security, or other investment instrument, depending on how it is designed, issued, promoted, distributed, and used by participants in the community. 9 In fact, a significant characteristic of digital assets, including virtual currencies, is their capacity to act as an
4 See I.R.S. Notice 2014-21, I.R.B. 2014-16 (Apr. 14, 2014); see also Investor Bulletin: Initial Coin Offerings, U.S. SECS. & EXCH. COMM'N (July 25, 2017), https://www.sec.gov/oiea/investor-alerts-and-bulletins/ib_coinofferings; Public Statement from Jay Clayton, Chairman, U.S. Secs. & Exch. Comm'n, Statement on Cryptocurrencies and Initial Coin Offerings (Dec. 11, 2017); CHRIS BURNISKE & ADAM WHITE, BITCOIN: RINGING THE BELL FOR A NEW ASSET CLASS (2017), http://research.ark-invest.com/bitcoin-asset-class.
6 See BFXNA INC. d/b/a BITFINEX, CFTC Docket No. 16-19 (2016); see also Coinflip, Inc. d/b/a Derivabit, CFTC Docket No. 15-29 (2015).
5 See I.R.S. Notice 2014-21, I.R.B. 2014-16 (Apr. 14, 2014).
7 "[C]ryptocurrencies are now being promoted, pursued and traded as investment assets, with their purported utility as an efficient medium of exchange being a distant secondary characteristic." Jay Clayton & J. Christopher Giancarlo, Regulators Are Looking at Cryptocurrency: At the SEC and CFTC, We Take Our Responsibility Seriously, WALL ST. J., Jan. 24, 2018, https://www.wsj.com/articles/regulators-are-looking-at-cryptocurrency-1516836363; see also Investor Bulletin: Initial Coin Offerings, U.S. SECS. & EXCH. COMM'N (July 25, 2017), https://www.sec.gov/oiea/investor-alerts-and-bulletins/ib_coinofferings; Public Statement from Jay Clayton,
Chairman, U.S. Secs. & Exch. Comm'n, Statement on Cryptocurrencies and Initial Coin Offerings (Dec. 11, 2017).
5 U.S.C. app. § 102(a)(3).
8
9 See supra notes 5-8 (noting how some regulatory agencies treat virtual currency). For an industry perspective, see BURNISKE & WHITE, supra note 4, at 9, 13, wherein the authors observed that "[a] comparison of bitcoin's global trading volume to its transactional volume highlights that the use of bitcoin as an investment medium is increasing faster than its transactional applications" and that "[w]ith each month, bitcoin cements its role as a tradeable and investable asset, drawing second looks from many investors who wrote it off as fraud or fad."
investment asset through which holders may expect to generate investment income. 10 OGE therefore regards a holding in virtual currency as an interest in property held for investment or the production of income. Consistent with the reporting requirements in the EIGA and OGE's regulations, such an interest must be reported on an employee's public or confidential financial disclosure report if it meets the income or value reporting thresholds for such property. 11
In connection with this Legal Advisory, OGE is incorporating this guidance into its guide for financial disclosure reporting. 12 In brief, filers report their holdings in a virtual currency if the value of the virtual currency holding exceeded $1,000 at the end of the reporting period or if the income produced by the virtual currency holding exceeded $200 during the reporting period. Filers are required to identify the name of the virtual currency and, if held through an exchange or platform, the exchange or platform on which it is held. 13
Annual Transaction and Periodic Transaction Reports
The EIGA requires public filers to file annual and periodic reports of transactions in certain investment assets, i.e., "stocks, bonds, commodity futures, and other forms of securities." 14 As discussed above, it is clear to OGE that virtual currencies are interests in property held for investment or the production of income; however, it is not clear under the EIGA whether particular virtual currencies may or may not qualify as one of the investment terms specified in the law for transaction reporting. The term with the most likely application is "other forms of securities." However, while the term "securities" appears in the EIGA, it is not therein defined. For purposes of the federal securities laws, the determination of whether a particular virtual currency or digital asset is a "security" depends on the facts and circumstances. 15
As interpreted by the U.S. Supreme Court, assets are "investment contracts," and therefore meet the definition of "security," if they involve an investment of money in a common enterprise with a reasonable expectation of profits derived from the entrepreneurial or managerial
10 See Virtual Currencies: The Oversight Role of the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission: Hearing Before the S. Comm. on Banking, Hous., and Urban Affairs,
115th Cong. (2018) (statements of Jay Clayton, Chairman, U.S. Securities & Exchange Commission, and J. Giancarlo, Chairman, U.S. Commodity and Futures Trading Commission); see also Order re Petition to Enforce IRS Summons, United States v. Coinbase, Inc., Case No. 17-CV-01431-JSC (N.D. Cal. Nov. 28, 2017).
12 See U.S. OFF. GOV'T ETHICS: PUB. FIN. DISCLOSURE GUIDE, https://www.oge.gov/Web/278eGuide.nsf.
11 See 5 U.S.C. app. § 102(a); see also 5 C.F.R. pt. 2634, subpt. C; 5 C.F.R. § 2634.907.
13 Filers should report the exchange or platform because of the close relationship between a virtual currency and the electronic platform on which it is held. Historically, the stability of the exchange or platform can have meaningful financial consequences for the virtual assets held there. The exchange or platform identity provides a sufficient description to adequately review for conflict of interest purposes. As virtual currencies and the exchanges or platforms on which they trade become subject to greater regulatory oversight and stability, OGE may revisit this description requirement.
15 See SEC v. Edwards, 540 U.S. 389, 393 (2004); SEC v. W.J. Howey Co., 328 U.S. 293, 301 (1946).
14 5 U.S.C. app. §§ 102(a)(5)(B), 103(l).
efforts of others. 16 Recent investments where an asset was determined to be a security involved digital tokens or coins offered in connection with an initial coin offering. 17
If a virtual currency or digital asset is a security, filers should report purchases, sales, or exchanges of that asset. In circumstances where an employee is uncertain whether a particular virtual currency holding is a security, we recommend ethics officials advise the employee to report transactions of that asset on periodic transaction reports if the value of the transaction exceeds the reporting threshold. In the case of Bitcoin, the CFTC has determined it to be a commodity. 18 The Ethics in Government Act does not require transactions of commodities to be reported. 19
Virtual Currency as a Potential Conflict of Interest
Virtual currency is an investment asset and, like other property held for investment, it may create a conflict of interest for employees who own it. Furthermore, it is not subject to the conflict of interest exemptions in 5 C.F.R. part 2640. Agency ethics officials should therefore analyze whether their employees' official duties would have an effect on the value of their virtual currency, just as they would any other property held for investment or the production of income. They should also alert their employees to the potential conflict of interest risk posed by ownership of virtual currency.
Additional Information
In light of the developing state of virtual currencies, the foregoing advice is not intended to be comprehensive. Given the evolving nature of virtual currency, other regulatory agencies may issue additional findings or guidance that provide further insight into how these assets should be treated for the purposes of the EIGA. Should such additional information become available, OGE may revisit the guidance offered in this Legal Advisory and update it as necessary. Agency ethics officials with questions regarding the financial disclosure reporting requirements for employees acquiring, selling, or trading virtual currencies, or regarding conflicts of interests for such assets, may contact their assigned OGE Desk Officers.
16 See W.J. Howey Co., 328 U.S. at 301. This test turns on the particular facts and circumstances.
18 See supra note 6. Note also that Bitcoin has not been determined by the SEC to be a security. See interview by Bob Pisani with Jay Clayton, Chairman, U.S. Secs. & Exch. Comm'at Sandler O'Neill Global Exchange and Brokerage Conference, New York, NY. (Jun.6, 2018), https://www.cnbc.com/video/2018/06/06/sec-chairmancryptocurrencies-like-bitcoin--not-securities.html.
17 See, e.g., Report of Investigation Pursuant to Section 21(a) of the Securities and Exchange Act of 1934: The DAO, Exchange Act Release No. 81,207, 117 SEC Docket 5 (July 25, 2017); In re Munchee, Inc., Securities Act Release No. 10,445, 118 SEC Docket 5 (Dec. 11, 2017).
19 See supra note 14.
|
Ngā Reo o Tāmaki Makaurau
Auckland Languages Strategy
August 2015
Developed by the Tāmaki Makaurau Auckland Languages Strategy Working Group (facilitated by COMET Auckland). The working group is now seeking endorsement of this proposal from organisations and individuals, and its adoption by the Auckland Council. If you or your organisation would like to endorse it, please email firstname.lastname@example.org .
Executive Summary
Purpose
The purpose of the Tāmaki Makaurau Auckland Languages Strategy is to develop a shared agenda for multilingualism and to enable alignment of policy and practice to support, promote and foster all the city's diverse languages and cultures.
Vision
A multilingual Tāmaki Makaurau Auckland that benefits socially, culturally, spiritually and economically from an increasing number of residents speaking more than one language.
- By 2020, Tāmaki Makaurau uck a r c is s t a u ur ric a ua i rsity as a taonga.
- y Tāmaki Makaurau uck a ys t u s cia , cultural, spiritual and economic benefits of our many living languages.
Strategies
- Value all the languages spoken in Tāmaki Makaurau Auckland
- Maintain all the languages spoken here
- Learn our own and ac t r's languages
- Use our many languages to promote our communiti s' social, cultural, spiritual and economic wellbeing in a wide range of social domains.
Goals
The strategy sets out actions against nine long term goals:
1. All Tamaki Makaurau uck a 's a ua s ar ack w pr m t a celebrated as social and economic assets
2. T r Mā ri is strengthened and widely used
3. Everyone is able to communicate in English or has access to high quality English education
4. NZ Sign Language (NZSL) and NZSL interpreting are supported and routinely available
5. Pacific languages are maintained and strengthened; acknowledging protection of the languages of the Realm Countries of Cook Islands, Niue, and Tokelau; and recognising
the special relationship of Pacific countries with Aotearoa New Zealand
6. Community and heritage languages are maintained and extended
7. Translation and interpreting services are available in all organisations for those who need them
8. High level skills in a range of languages are available for trade, tourism and international relations
9. Stakeholders are regularly brought together to develop and implement language action plans for specific sectors
Benefits of a Tāmaki Makaurau Auckland Languages Strategy
Harnessing the economic and social benefits of languages in Tāmaki Makaurau Auckland will result in:
- Improved student achievement at school
- Reduced barriers to trade and economic development
- Greater integration and inclusion of migrants and refugees
- Status, support and protection for our languages and cultures
- Better career and employment prospects for our young people in Aotearoa New Zealand and overseas
- Enhanced social cohesion and harmony
- Reduced barriers to civic engagement and accessing public services
Current Barriers to a Multilingual City
Language loss is occurring at alarming rates for many languages of the Realm (T R Mā ri Te Reo Kuki Airani, Gagana Tokelau and Vagahau Niue).
Lack of home language maintenance is a challenge for Mā ri a established and new migrant communities.
Lost economic opportunities are occurring due to insufficient language capacity of our important trading nations.
Language learning has declined in secondary schools and universities, with communities struggling to provide services outside the school system.
Limited access to language translation and interpreting services are causing issues for ma y uck a 's i rs c mmunities.
The Tāmaki Makaurau Auckland Languages Strategy will put in place processes and plans to ensure the city embraces its linguistic and cultural diversity in all policy domains. The aim is for a confidently and enthusiastically multilingual city that is both inclusive and internationally connected.
Ngā Reo o Tāmaki Makaurau:
Auckland Languages Strategy
August 2015
Developed by the Tāmaki Makaurau Auckland Languages Strategy Working Group (facilitated by COMET Auckland). The working group is now seeking endorsement of this proposal from organisations and individuals, and its adoption by the Auckland Council. If you or your organisation would like to endorse it, please email email@example.com.
Vision
mu ti i ua Tāmaki Makaurau uck a t at b its s cia y cu tura y spiritua y a economically from an increasing number of people speaking more than one language.
- y Tāmaki Makaurau Auckland recognises the value of our rich language diversity as a taonga.
- y Tāmaki Makaurau uck a ys t u s cia cu tura spiritua a economic benefits of our many living languages.
Principles
The principles underlying this strategic action plan are:
1. Mā ri ar t ta ata w ua in Aotearoa New Zealand a t r Mā ri me ā tikanga are protected as taonga under Te Tiriti o Waitangi. The revitalisation and normalisation t r Mā ri c tribut s t our national and regional identity, culture and cohesion, and to supporting speakers of te r Mā ri utsi t ar a New Zealand. Tāmaki Makaurau Auckland is unique in the iwi who are tāngata whenua here i t ar umb rs Mā ri r m t r parts t ar a New Zealand who live and work r i b i t w r 's ar st Pacific city, and in being a super-diverse city with an ever-increasing number of migrants, languages and ethnicities.
2. International human rights conventions to which New Zealand is a party recognise every pers 's ri t t us t ir a ua a t r a ua s t b acti y provided for and promoted.
3. Language is a vital part of identity and culture. Support for heritage languages contributes to wellbeing and shows respect and care for all t city's peoples.
Language diversity is increasingly the norm and is a key component of the identity of our super-diverse city.
4. All people a t ri t t ar a us t r Mā ri N w Z a a Si La ua and English, as the three de jure and de facto official languages of Aotearoa.
5. The Cook Islands, Niue and Tokelau languages are part of the Realm of Aotearoa N w Z a a a C k Is a s Mā ri, Vagahau Niue and Gagana Tokelau are indigenous languages of the Realm. The survivial of these languages depends to a great extent on their status, maintenance and use in Aotearoa New Zealand, where a majority of their people live. These languages should be supported and protected alongside the current official languages.
6. Other Pacific languages also require special priority in Aotearoa New Zealand because of the close historical and political relationships between Aotearoa New Zealand and Pacific nations, for example, the Treaty of Friendship with Samoa, and the former status of Tonga, Fiji and other nations as British and/or Aotearoa New Zealand protectorates; because Pacific languages bring opportunities in education, community and employment; because they are at risk of extinction, and because a high proportion of the total worldwide population of many Pacific peoples resides in Aotearoa New Zealand.
7. By 2021, 27% of Aucklanders will be of Asian descent. The Asian region is rapidly growing in importance for New Zeala 's c my a i t r ati a r ati s, with r % N w Z a a 's xp rts i t sia. T is as imp icati s r t learning of Asian languages in our education system.
8. There is strong evidence for cognitive and achievement gains for children brought up bilingual, and for those who participate in bilingual education.
9. There is strong evidence for the social and economic value of residents being able to speak more than one language.
10. Support for languages (including te reo revitalisation, support for bilingualism, translation and interpretation services, opportunities for migrants to learn English, adult literacy, support for languages in education, use of multiple languages in the community, in broadcasting, in the home) is a joint responsibility of central government, local government, civil society, families and individuals.
11. The proposed Tāmaki Makaurau Auckland Languages Strategic Action Plan must work in concert with and alongside existing local, regional and national efforts.
12. Actions in the plan must be evidence-based.
Goals and actions
| Goal | Actions | Responsibility |
|---|---|---|
| 1. All Tāmaki Makaurau Auckland’s languages are acknowledged, promoted and celebrated | Acknowledge the status of English, te reo Mā ri a NZ Si Language as official languages, and Gagana Tokelau, Cook Islands Mā ri a Va a au Niu as a ua s t Realm of Aotearoa New Zealand, and determine an appropriate status for other Pacific and community languages in Tāmaki Makaurau Auckland. Promote and celebrat a a ua s Tāmaki Makaurau Auckland Advocate for a national languages policy to provide a national foundation for local initiatives. Establish a Languages Advisory Panel with policy and adminstrative support to advise the Auckland Council, lead implementation of the action plan, encourage action and cooperation within and between sectors, and monitor progress. Support annual language weeks for te reo Mā ri NZ Si Language, Pacific, community and international languages. Establish an Auckland Languages Day to celebrate language diversity Acknowledge businesses, institutes and organisations that value and support the use of diverse languages in the worplace Promote all languages through arts and culture, including events such as cultural festivals and film festivals. Strengthen the role of libraries and information services in providing language resources, including web based resources, and in promoting language learning and use. I c u t r Mā ri a t r a ua s i public signage. Collect and share examples of good practice in language promotion and use. Share research and information about the significance of language, culture and identity to social and economic wellbeing. Promote the value of parents speaking their mother tongue in the home | |
2. Te reo Māori is strengthened and widely used
3. Everyone is able to communicate in English
4. NZ Sign Language (NZSL) is supported, available and used
5. Translation and interpreting services are available in all organisations for those who need them
- Estab is a T R Mā ri W rki Gr up t develop and implement strategies to promote t us t r Mā ri acr ss t r i .
- Develop naming protocols with Mana Whenua for new streets, buildings, spaces and Auckland Council facility rooms.
- Incorporate te reo into all communication avenues including Auckland Council websites.
- Advocate for all children to be taught te reo in early childhood, primary and secondary education.
- Advocate for bilingual and immersion education to be widely available.
- Support community learning of te reo through adult education, including for new migrants.
- Create te r Mā ri imm rsi ir m ts through events and social, cultural and sporting groups.
- Support affordable, accessible, effective and connected ESOL (English for Speakers of Other Languages) provision for all adults and school children who need it across the education sector, workplace and the community.
- Support adult English literacy programmes for all who need them.
- Advocate for the development of a national NZSL strategy
- Work with Deaf Aotearoa and other stakeholders to encourage the learning and use of NZSL.
- Advocate for public, private and community agencies to have the capability to communicate in NZSL.
- Use NZSL in the promotion to the public of Council services and in the provision of Council information to the public
- Extend the availability of translation and interpreting services, including increasing awareness of them among service providers.
- Make public information and services accessible to people who do not speak English, through multilingual materials and websites, and translation and interpretation services.
- Support the development of national standards for interpreters
- Ensure systems and resources are in place to
| | communicate effectively with people from culturally and lingusitically diverse backgrounds in the event of a civil emergency (e.g. natural disaster, health, biosecurity) |
|---|---|
| 6. Pacific languages flourish | Support local implementation of the Pacific Languages Framework and advocate for greater national resourcing of it. Partner with Pacific communities to develop and implement language action plans as envisaged in the Pacific Languages Framework, and support other initiatives by communities to maintain their languages. Advocate for the provision of Pacific language education at the early childhood, primary, secondary and tertiary levels, including immersion, bilingual and multilingual education Advocate for an increase in the number of qualified language teachers, professional development opportunities, language learning resources and research on Pacific languages. Explore other models of language learning, including the use of fluent speakers from the community. Support community learning of Pacific languages through adult education. |
8. High level skills in a range of languages are available for trade, tourism and international relations
9. Stakeholders are regularly brought together to develop and implement language action plans for specific sectors
- Advocate for the teaching of languages for trade, tourism and international relations in schools, teritiary institutions and adult and community education
- Work with the tourism sector to promote Tāmaki Makaurau Auckland as a multilingual city and provide accessible means of communication in a range of languages for visitors.
- Encourage schools in Tāmaki Makaurau Auckland to offer a range of language learning opportunities, for example by taking advantage of current government support for the teaching of Asian languages.
- Promote opportunities for language learning at tertiary level
- Encourage the development of specific sector action plans for central government services, local government services, all education sectors, health, community, arts and culture, tourism, media.
- Identify and work with key partners to develop these plans consistent with the overall Languages Strategic Action Plan, e.g. District Health Boards, education providers, media
Measuring progress towards the vision
| Vision | What this might look like | How we might measure it |
|---|---|---|
| By 2020, Tāmaki Makaurau Auckland recognises the value of our rich language diversity | Value and celebrate languages Awareness - general public attitudes Public recognition - signage, official communications Events - language weeks, competitions Language components integrated within events | % of population seeing multilingual society as positive % of population choosing to learn a second language (kids - beyond compulsory and adult/ community) |
| By 2040, Tāmaki Makaurau Auckland enjoys the full economic social and cultural benefits of our many living languages. | Increasing skill - people speaking more than one language Access for all to te reo Maori Migrants learning English First Language maintenance Language learning for children Community language opportunities Ensure Communication for all Translation/Interpreting (include NZSL) Multilingual official communication (include NZSL) Languages in regular use Ways to use te reo everywhere Ways to use other languages within language communities Making use of languages Employers using/ benefitting from employees’ language skills | At least 50% of residents speaking more than one language by 2040 (up from 28.68% in 2013) At least 80% of school leavers able to speak more than one language by 2030 % of people fluent in te reo % of people fluent in more than one language % of migrants fluent in English within 5 years % mi ra ts’ c i r fluent in heritage language Number of languages in which translation is available Number of languages available in official communication % of companies aware of language resources of their people % making use of language resources of their people Systems for finding language skills you need |
The Tāmaki Makaurau Auckland languages environment
Tāmaki Makaurau Auckland is the most culturally diverse and multilingual city in Aotearoa New Zealand, and one of the most culturally diverse cities in the world.
- It as t ar st umb r Mā ri a y city i t w r i c u i 19 r c is iwi holding mana whenua and people from other iwi throughout Aotearoa New Zealand.
- Auckland is m t t ast ma rity t w r 's Cook Islands, Niue and Tokelauan peoples, whose countries form part of the Aotearoa New Zealand Realm and whose people have access to Aotearoa New Zealand citizenship.
- It as t w r 's ar st p pu ati Paci ic p p s ra y.
- The most common languages spoken in Tāmaki Makaurau Auckland are (in order) English, Samoan, Hi i N rt r C i s Mā ri Yue, Sinitic, Tongan, Korean, French, Tagalog, Afrikaans, German and Spanish.
- Over a quarter of people in Aotearoa New Zealand who communicate in NZ Sign Language live in Tāmaki Makaurau Auckland.
- The vast majority of Aotearoa N w Z a a 's C i s I ia a K r a p p i i Tāmaki Makaurau Auckland. By 2021 it is projected 27% of Aucklanders will be of Asian descent.
Although Tāmaki Makaurau Auckland is characterised by diverse peoples and languages, nearly three quarters (72%) of residents are monolingual, while many of the remainder sp ak y a iti a a ua . T s m st ik y t b bi i ua ar Māori, Pacific and migrant groups. About 56,000 residents do not speak English.
Multilingualism is central to a diverse city: it allows us to value ourselves, build community, build tolerance, and live peacefully and prosperously.
Currently, many people in Tāmaki Makaurau Auckland miss out on the cognitive advantages of multilingualism. As a community we miss out on the potential of younger language learners because we fail to take advantage of the best windows for language learning and the most effective years for language maintenance. Tāmaki Makaurau uck a 's mi ra ts especially our older migrants, could receive much better support for their aspirations to learn communicative English. As a community we fail to grasp the cultural and aesthetic benefits of multilingualism, and many residents cannot garner the educational attainment that crosses language boundaries and unifies knowledge in varied domains.
Most people in Aotearoa New Zealand (93 per cent) agree it is valuable to learn another language 1 . Language skills and cultural sensitivity are now required for successful participation and engagement locally, nationally and globally in all spheres of activity. Tāmaki Makaurau Auckland is well placed to harness its language potential.
I t past it as b p ssib t " t by" i E is y. F r ur y u p p t t ri i the future, they will need more options and more experience as language learners. Because most of the world is multilingual this need will be felt even more acute y as t ay's y u people spread their wings globally. Most English-dominant countries today require their young people to have another language; all of Aotearoa N w Z a a 's associates in ASEAN require kids to learn another language. Aotearoa New Zealand identifies strongly with the ethics of team membership: being a team player in the 21st century will mean being multilingual.
One of the more obvious impacts of the absence of a languages policy in Aotearoa New Zealand is seen in education. Evidence shows that quality bilingual or immersion instruction i c i r 's irst r rita a ua bri s m asurable gains in literacy achievement in the target language and also in English 2 . However requests to the Ministry of Education for tailored materials or professional development for bilingual classes are met with an explanation that there is no policy to enable provision for learning through languages other than English, te reo Māori and NZ Sign Language.
Even for speakers of te reo Māori and NZ Sign Language, the lack of a comprehensive languages policy limits the extent of support available. For example, there is provision for interpreters and other supports for speakers of NZ Sign Language in their interactions with the justice system, but only limited provision in education, which means that many children have only a few hours per week of interpreter support.
With regard to English, a 2012 report 3 commissioned by the Auckland Council to inform the development of the Auckland Plan, the Economic Development Strategy and the Auckland Regional Development Strategy noted that due to a lack of English language services for mi ra ts ' uck a is si an opportunity to gain value from a significant economic r s urc ' (p ). It stat t at 'b i pr ici t i E is ' is t si m st imp rta t ski that n wc m rs ca cu ti at ' a a 'c mmitm t t impr i t E is a ua ski s of migrants an r u s may b t si m st si i ica t i stm t' t at ca b ma t c tribut t uck a 's c my (p35).
1 Asia New Zealand, http://asianz.org.nz/newsroom/media-releases/2014/perceptions-asia-2013
3 Point Research (March 2012) Funded Services to Migrants and Refugees in Auckland.
2 Ministry of Education (2008). Teaching and learning for bilingual Pasifika students in New Zealand.
The key issues
Language loss is ccurri at a armi rat s r ma y a ua s t R a m (T R Mā ri Te Reo Kuki Airani, Vagahau Niue and Gagana Tokelau).
Lack of home language maintenance is a c a r Mā ri stab is a w mi ra t communities.
Lost economic opportunities are occurring due to insufficient language capacity of our important trading nations.
Language learning has declined in secondary schools and universities, with communities struggling to provide services outside the school system.
Limited access to language translation and interpreting services are causing issues for ma y uck a 's i rs c mmu iti s.
Benefits of a Strategy for Languages in Tāmaki Makaurau Auckland
Tāmaki Makaurau uck a as a u iqu pp rtu ity t b c m a w r a r i celebrating and utilising language diversity.
Creation of a Languages Strategy for Tāmaki Makaurau Auckland has the potential to support local action across multiple sectors, being regionally specific and reflecting t city's super-diversity. There is potential for Auckland Council to take a leadership role in this, making use of local strengths and acting as a facilitator, bringing organisations together to create local solutions. This role does not duplicate or interfere with the role of central government or of the private sector. Rather, it supports and enables coherence and alignment of delivery across multiple organisations, ensures local input so services are contextualised for local needs and conditions, and contributes to the goal of making Tāmaki Makaurau Auckland the most liveable city for all its residents.
Harnessing the economic and social benefits of languages in Tāmaki Makaurau Auckland will result in:
- Improved student achievement at school
- Reduced barriers to trade and economic development
- Greater integration and inclusion of migrants and refugees
- Enhanced social cohesion and harmony
- Support and protection for our languages and cultures
- Better career and employment prospects for our young people
Links to related policies and plans
The Auckland Plan
The Auckland Plan adopted by the Auckland Council sets a target of 'increasing the number of residents who are conversant in more than one language from 25 per cent in 2006 to 50 per cent i ' a ir cts t C u ci t 'support people to retain and cultivate their languages and other forms of cultural expressi .'
The Auckland Council's Arts and Culture Strategic Action Plan
Part O t rts a Cu tur Strat ic cti P a stat s: "Language is also an important c mp t cu tur . T icia a ua s N w Z a a ar E is t r Mā ri a New Zealand Sign Language. In Auckland more than 175 languages are spoken. While this plan includes references to promoting languages through arts and culture, language itself is not a prime focus. The plan acknowledges the benefits of developing a holistic Aucklandwi La ua P a ." Part Two, the delivery plan (in draft) – currently contains the following action: "Us arts a cu tur acti iti s t pr m t a c brat T R Mā ri Pacific languages and other non-E is a ua s sp k i uck a ."
I Am Auckland: Children and Young Persons Strategic Action Plan
Goal 6 of the uck a C u ci 's C i r a Y u P rs 's Strat ic cti P a (Opportunity), ca s r "a mp asis t r c iti cu tur sp cia y t r a ā tikanga for rangatahi, in the daily lives of you p p ."
The Māori Plan for Tāmaki Makaurau
T Mā ri P a r Tāmaki Makaurau, developed by the I p t Statut ry Mā ri Board, i c u s a Mā ri a c m t P a r t r Mā ri with three actions:
1. Auckland Council to support the establishment of a T R Mā ri W rki Gr up a secretarial support to develop and implement strategies to promote the use of te reo Mā ri acr ss t r i .
2. Auckland Council to develop naming protocols with Mana Whenua for new streets, buildings, spaces and Auckland Counci aci ity r ms. T r Mā ri t b i c rp rat into all communication avenues including Auckland Council websites.
3. Auckland Council to advocate for, and grow community support for, compulsory te reo Mā ri i a uck a Sc s.
Auckland Economic Development Strategy
A Tāmaki Makaurau Auckland Languages Strategic Action Plan would contribute towards the following goals and actions in the uck a C u ci 's Economic Development Strategy:
4.2.1 Improve literacy, language and numeracy
4.2.3 Facilitate skills outcomes for Māori
4.2.4 Facilitate skills outcomes for Pacific Peoples
4.2.5 Facilitate skills outcomes for new migrants and refugees
National Strategies and Frameworks
T r is a Nati a Mā ri La ua Strat y a a Paci ic La ua s Fram w rk but there are no strategies or frameworks for NZ Sign Language, ESOL, interpreting and translation, community languages or international languages. A Tāmaki Makaurau Auckland Strategic Action Plan can help to give local effect to the existing national strategies and frameworks, while also supporting the development of a national language policy or framework to cover all language groups.
Background to the development of this strategy
This draft strategy was developed by the Tāmaki Makaurau Auckland Language Strategy Working Group, convened by COMET Auckland (Community Education Trust Auckland) following a workshop on a national languages policy hosted by the Royal Society of New Zealand at the Diversity Forum in Tāmaki Makaurau Auckland in 2012. At the workshop, the idea was raised of developing a Tāmaki Makaurau Auckland languages strategy in the absence of any significant progress on a national one in the previous 20 years. The group first came together in November 2012. Participation has grown to include individuals from a wide range of organisations a ucati a i stituti s. T r up c su t wit Mā ri ab ut w t strat y s u i k wit r supp rt t r Mā ri a it was a r t at its w rk s u a i wit a supp rt a s parat T R Mā ri strategy which would be developed locally and/or nationally.
People from the following organisations and institutions have participated in or contributed to the development of the draft action plan: Alliance Française, Asia New Zealand Foundation, Auckland Council, AUT University, BEST Pacific Academy, COMET Auckland, Community Languages Association of NZ, Deaf Aotearoa, English Language Partners, Esperanto Association, Human Rights Commission, Pacificwin, Vagahau Niue Trust, Ngati Tamaoho, Multicultural New Zealand, Pacific Bilingual Leo Coalition, Pasifika Migrant Services, Quality Education Services, University of Auckland, Victoria University of Wellington. The draft is however the responsibility of the working group, and endorsement from these organisations is not implied. A process of public consultation was undertaken from November 2014 to May 2015.
The Auckland Language Strategy Working Group presented on the strategy to Auckland Council in April 2015. Auckland Council accepted the draft strategy and undertook to i ti y curr t a p ssib utur acti s t at c tribut t war s t strat y's a s.
The working group is now seeking endorsement of the proposed strategic action plan from organisations and individuals, and adoption of the plan by the Auckland Council. If you or your organisation would like to endorse the plan, please email firstname.lastname@example.org .
|
REQUEST FOR PROPOSALS
FOR NETWORK PROVIDERS FOR THE ADVANCED COURSE NETWORK
Applications must be received by 4:00 PM on January 25, 2019
The Rhode Island Department of Education (RIDE), is requesting Advanced Course Network Provider Applications from interested Rhode Island schools, Rhode Island districts, nonprofit organizations and colleges and universities to offer face to face, blended or online coursework for Rhode Island high school and middle school students with the goal of expanding access opportunities that promote college and career readiness.
Responses to this Request for Proposals will be accepted electronically only. A link to the application form is available on www.ride.ri.gov/advancedcoursework. Additional resources including a preview of the application form are available on the RIDE website. The Rhode Island Department of Education reserves the right to accept or reject, without prejudice, any or all submissions to promote the best interest of the State of Rhode Island.
Introduction & Overview
The Advanced Course Network is designed to create opportunities for Rhode Island public school students to identify, pursue and realize their respective individualized post-graduation pathways. As Network members, schools and districts enable students to enroll in high value academic- and career-focused courses while they remain enrolled at their school. Courses are offered in various modalities to encourage the greatest participation from students. The Advanced Course Network includes four categories of courses: Dual Enrollment, Advanced Placement, Career Preparation and Work-Based Learning. Courses in the Advanced Course Network are available to all RI Students in grades 6 – 12, with a focus on courses aligned to high school level standards. State funding covers the cost of public school students' participation. Home school and nonpublic school students and families are responsible for costs of participation at the negotiated rates.
Through this RFP, RIDE is seeking qualified applicants to provide coursework in Summer 2019, Fall 2019 and/or Spring 2020. Coursework in Summer 2019, as well as Fall 2019 and Spring 2020, may be subject and potentially limited based on funding availability.
Minimum Network Provider Qualifications
At a minimum, Network Providers must:
1. Be a Rhode Island LEA (school or district), Rhode Island-based community based organization, Rhode Island institution of higher education or approved Department of Labor and Training (DLT) training partner. Providers may partner with corporate or out-of-state organizations to develop or offer courses.
2. Demonstrate experience and success offering learning experience similar to the proposed coursework.
3. Assure that the organization has policies and procedures in place to address student health and safety as applicable to the coursework that will be proposed by the Provider.
4. Assure that the organization has at least the minimum supports in place as required by respective laws governing the organization to support students requiring Special Education Services and students identified as English Language Learners.
Advanced Course Network Course Specifications
1. Course Design. Proposed courses can be in face to face, blended or fully virtual modalities and must meet the program definition of at least one of the following course types: Dual Enrollment, Advanced Placement, Career Preparation or Work-Based Learning. Applicants may choose to offer a new or existing course either developed by the applicant or in partnership with a third-party provider (including out-of-state or corporate organizations.) Applications should identify third party providers. RIDE will give priority to courses from any of the four course types that use Universal Design for Learning principles to maximize access to content for all students including but not limited to:
- Students receiving special education services.
- Students identified as English Language Learners.
- Students who wish to take a course(s) in a language other than English.
2. Course Priorities. The Advanced Course Network strives to provide students with the skills, experiences and credentials they need to determine and be successful on their path after high school. Through the ACN, students can participate in one of four types of courses that aim to support the attainment of these skills and credentials. The four types of courses are Dual Enrollment, Advanced Placement © , Work-Based Learning and Career Preparation. Each type of course is defined by the standards they align to and the outcomes they provide for students. The following table describes the types of courses in the ACN.
| | Course Type | | Required Standards | | Optional Standards | | Required Outcome | Optional Outcomes |
|---|---|---|---|---|---|---|---|---|
| Dual Enrollment These courses are offered by colleges to allow students to explore college level coursework and college communities to determine their interest in possible postsecondary education paths. | Dual Enrollment | The same standards as in the college course, including rigor and expectations, as offered to degree- or certificate-seeking students | The same standards as in the | One or more set of standards from: The Career and Technical Education Board; State-adopted content standards; and/or Applied Learning Skills measured by either the Rhode Island Learning Champions or Providence After School Alliance issued rubrics. | One or more set of standards | Allow students to earn college credit from the provider institution. | Allow students to earn college | May also have one of the |
| | | | college course, including | | from: | | credit from the provider | following outcomes: |
| | | | rigor and expectations, as | | The Career and Technical | | institution. | Credit earned may be |
| | | | offered to degree- or | | Education Board; | | | part of a certificate or |
| | | | certificate-seeking students | | State-adopted content | | | degree program at the |
| | | | | | standards; and/or | | | college/university |
| | | | | | Applied Learning Skills | | | Experience and/or |
| | | | | | measured by either the | | | mentorship with |
| | | | | | Rhode Island Learning | | | practicing industry |
| | | | | | Champions or Providence | | | professionals |
| | These courses are offered by | | | | | | | |
| | | | | | After School Alliance | | | Experience on a work- |
| | colleges to allow students to | | | | | | | |
| | | | | | issued rubrics. | | | site |
| | explore college level coursework | | | | | | | |
| | | | | | | | | Internship placement |
| | and college communities to | | | | | | | |
| | | | | | | | | Summer or afterschool |
| | determine their interest in possible | | | | | | | |
| | | | | | | | | employment related to |
| | postsecondary education paths. | | | | | | | |
| | | | | | | | | skills gained in course |
| | | | | | | | | Completion of a real or |
| | | | | | | | | simulated work project |
| Advanced Placement Advanced Placement courses are developed and approved by the College Board and offer students the opportunity to earn college credit through an end of course exam. | | One or more set of College Board Standards for College Success; and Relevant state-adopted content standards | | May be aligned to one or more set of standards from: The Career and Technical Education Board; Applied Learning Skills measured by either the Rhode Island Learning Champions or Providence After School Alliance issued rubrics. | | Allow students to earn college credit through an end of course exam facilitated by the College Board. | | |
3
| | Course Type | | Required Standards | | Optional Standards | Required Outcome | Optional Outcomes |
|---|---|---|---|---|---|---|---|
| Work-Based Learning These courses assist students in accomplishing deep learning in a chosen area of interest and allow students to explore future career pathways. | Work-Based Learning | Governor’s Workforce Board work-based learning standards Applied Learning Skills measured by either the Rhode Island Learning Champions or Providence After School Alliance issued rubrics Alignment to at least one area of CTE Board Industry standards | Governor’s Workforce | State-adopted content standards | State-adopted content | One or more of the following | N/A |
| | | | Board work-based | | standards | outcomes: | |
| | | | learning standards | | | During the course: | |
| | | | Applied Learning Skills | | | Semester long courses | |
| | | | measured by either the | | | must include at least 40 | |
| | | | Rhode Island Learning | | | hours of Work-based | |
| | | | Champions or | | | Learning, Yearlong must | |
| | | | Providence After School | | | include at least 80 hours. | |
| | | | Alliance issued rubrics | | | Following the course: | |
| | | | Alignment to at least | | | successful completion of | |
| | These courses assist students in | | one area of CTE Board | | | the course results in | |
| | accomplishing deep learning in a | | Industry standards | | | student having | |
| | chosen area of interest and allow | | | | | opportunity for at least | |
| | students to explore future career | | | | | 80 hours of work-based | |
| | pathways. | | | | | learning in the form of | |
| | | | | | | internship. | |
4
Further, providers are asked to identify if their course is aligned with one of six pathway areas that have been identified by the state for areas of pathway endorsements, a component of the state's diploma system. Beginning with the Class of 2021, courses aligned to: Arts; Business and Industry; Humanities and World Languages; Public Service; STEM; and, Teaching; may be selected by schools to contribute to students being recognized at graduation for completion of a pathway, in concert with students completing a handful of other requirements. More information regarding state resources for pathway endorsements are available on the Diploma system page of ride.ri.gov.
3. Course Instructors. There are three acceptable instructor models for ACN courses:
- Certified Rhode Island teacher delivering course
- Certified Rhode Island teacher supervising instruction and assessment by a second instructor.
- College Faculty teaching a college-credit-bearing course
The certification area of teachers must be aligned to the subject matter of the course. Per state regulations, college faculty teaching college a college course must meet the criteria of the higher education institution but does not require a Rhode Island Teaching Certification.
4. Recruitment and Open Enrollment. All courses must be open to all qualified students statewide. Providers may set course-specific prerequisites. Courses will then be filled on a first-come-first-serve basis. Providers may not implement additional qualifications or screening processes beyond the established prerequisites for the course.
5. Student Tuition. Providers will use the Program Tuition Guidance in determining per student tuition and the Budget Template to demonstrate cost-based pricing and economies of scale. Students, families and schools should not incur any additional course related costs. Please note the following items:
- Textbooks. Textbooks and course materials must be included in the proposed tuition price.
- Transportation. Transportation may be included in the proposed tuition price. RIDE will consider transportation expenses in tuition prices that remain within the tuition range guidelines.
- AP and other credential test fees. Course providers must include the cost of credential issuing test fees in their tuition proposal. Only Providers with established policies stating otherwise may be granted an exception.
6. Nonpublic Student Tuition Access. The tuition price accepted by RIDE will be available for home school and nonpublic students. RIDE's funding will pay only for public school students that have been approved to take the course by their full time public school. However, the course provider must provide a mechanism for home school and nonpublic students to pay for the course at the negotiated rate directly to the course provider.
7. Payment Structure. Payment will be made at established points throughout the duration of the course based on course enrollment at the time of the enrollment report and/or progress with established course goals.
8. Schedule. Any courses with synchronous meeting times should be scheduled to meet after 2pm on weekdays or during weekends. Courses beginning before 2pm may be accepted if the course is an existing section scheduled for non-ACN student populations. Those courses proposed for Summer 18-19 can be more flexible to include a morning, afternoon, evening or Saturday schedule. In this first, pilot year of offering summer ACN programming, providers may propose to offer course(s) as follows:
- An individual course for one or more of the summer, fall and spring semesters
- A course sequence that runs in the fall and spring semesters (AP courses)
- A course sequence that runs in the summer and fall as a two-part offering.
Course Providers will be asked to provide a rationale for offering a course in a particular semester, which may include course sequencing opportunities.
Please keep in mind: In your response, RIDE will ask for a rationale for the proposed semester of your course. RIDE is asking all potential providers, both new and previously approved, to be very intentional in the proposed timing of your course. This intentionality will be considered when RIDE is approving courses, given that, unlike in past RFP cycles, a limited number of courses will be approved.
9. Approval Length. For courses that have been offered previously with success in accomplishing previously established course goals, RIDE will consider an approval duration of up to three years. New courses, and courses that have not met previously established course goal targets will be considered for one year approval timelines. Please note, approval for any period of time does not guarantee funding for a given year.
10. Required Professional Development Sessions. All course providers must commit to attending at least one professional development session - either Thursday February 14 from 10am to Noon or Monday February 25 from 1pm to 3pm - as part of their participation in the ACN which will include ACN course content standard alignment training. The dates for these sessions will be available for you to select from in the application.
RFP Key Definitions & Resources
- Advanced Coursework: Rigorous learning opportunities in different content areas for students at varying grade levels that support them in developing their individualized pathways.
- Network Member: A district or school that chooses to extend the Advanced Coursework Network Opportunities to students in their district and/or school.
- Network Provider: A district, school, Rhode Island based community based organization, higher education institution or Rhode Island Department of Labor and Training (DLT) training partner that delivers advanced coursework opportunities to Rhode Island students.
- RI Advanced Course Network: A Network of course providers offering various coursework opportunities to Rhode Island high school students. The Advanced Course Network includes four categories of courses: Dual Enrollment, Advanced Placement, Career Preparation and Work-Based Learning.
- Rhode Island Diploma System Pathway Endorsement: The Secondary School Regulations strive to increase and improve equitable learning opportunities for every student through personalization, graduation by proficiency, and multiple pathways. All learning experiences should be facilitated in a way that allows students to find relevance and applicability to their own life, interests, and / or previous knowledge. As part of the revised diploma system outlined in the Secondary School Regulations, the Council Designations serve as a means to personalize the diploma. Each Council Designation externally validates achievements of high school students, through flexible and personalized high school learning experiences, to allow public recognition of specific skills and to incentivize students to meet additional high standards beyond those needed to earn a high school diploma. Learn more about the diploma system at ride.ri.gov.
- Universal Design for Learning: Universal design for learning (UDL) is a framework to improve and optimize teaching and learning for all people based on scientific insights into how humans learn. Learn more at http://www.cast.org/
Course Content Standards
For your reference, state adopted standards have been compiled below.
RI State-Adopted:
Literacy
http://www.ride.ri.gov/InstructionAssessment/Literacy.aspx
Mathematics
http://www.ride.ri.gov/InstructionAssessment/Mathematics.aspx
Science
http://www.ride.ri.gov/InstructionAssessment/Science.aspx
Civics & Social Studies http://www.ride.ri.gov/InstructionAssessment/CivicsSocialStudies.aspx
Other Subjects
http://www.ride.ri.gov/InstructionAssessment/OtherSubjects.aspx
CTE standards
http://www.nbpts.org/wp-content/uploads/EAYA-CTE.pdf
AP College Board Standards https://apstudent.collegeboard.org/apcourse
CCSS content standards:
http://www.corestandards.org /
Governor’s Workforce Board Work-based Learning Standards https://gwb.ri.gov/wp-
content/uploads/2017/06/GWB-WBL-Guidance_COMBINED.pdf?189db0
Reference Materials
Applicants are encouraged to review course catalogs of Rhode Island LEAs to understand the existing landscape of advanced coursework options at local middle and high schools. Additionally, applicants are encouraged to review the 1819 ACN catalog on http://RICourseChoice.org, the College Board's Advanced Placement opportunities and additional industry/field resources with reliable college and career readiness data.
RFP Application Submission and Evaluation
All applications must be completed using the online forms and budget template. Each section listed has the maximum number of points that can be received in the Provider application process. The RFP application will include:
Timeline, Requirements and Notices
RIDE will review complete applications on a rolling basis as they are received. The review team will conduct an evaluation of completed applications, as described below. RIDE reserves the right to approve any number or none of the applications if it determines that such a recommendation appears to be in the best interests of the ACN. RIDE reserves the right to approve whole or partial applications and request additional information as required.
Approval of courses does not guarantee the course will be confirmed nor does it guarantee any payment. A notice letter outlining the terms of the approval, including minimum enrollments as established by RIDE based on the provider tuition proposal. Only courses that meet their minimum enrollment requirements will be confirmed for the approved term. Once confirmed, a Memorandum of Agreement will be issued to finalize payment terms. If approved, RIDE will work with course providers to establish specific course and/or provider goals for student outcomes that will be used in evaluating the course. Each course will be expected to have at least one externally validated measure of student success. Descriptions for all courses should be written with potential students in mind, so should seek to be inclusive and enticing through describing potential post-secondary and career pathways connections.
This program has a limited budget. Funding will be allocated on a first come first serve basis for courses that meet their minimum enrollment, until the budget is fully drawn.
Each applicant shall submit one electronic copy through the online form and budget template. Hard copy applications will not be accepted. A PDF of the application is available for planning purposes only on www.ride.ri.gov/advancedcoursework in the Network Provider Toolkit. Applications must be received by 4:00 PM on January 25, 2019.
Any questions relative to your submission shall be directed to email@example.com. Upon receipt, all applications shall become the property of the State without compensation to the proponent, for disposition or usage by the State at its discretion. The State assumes no responsibility or obligation to the proponent and will make no payment for any costs associated with the preparation or submission of any Proposal Statements.
|
COVENANT PRESBYTERIAN CHURCH
8451 East Brainerd Road Chattanooga, TN 37421
(423) 899-5377 www.covenantchattanooga.org
RETURN SERVICE REQUESTED
«Name»
«Address 3»
«Address 1»
(Continued from front page)
God's World News. One young lady, currently a student at the University of Virginia, wrote them to say, "I'd always enjoyed [the publication], but now I realize that you were teaching me to think like a Christian."
So I've got a great idea for you for a Christmas gift for your children or grandchildren-give them a subscription to God's World News. You can find out about it on our website, BreakPoint.org.
It thrills me to hear that because my greatest worry at this point is the lack of worldview training for youngsters. When they go off to college or enter the workplace, the studies show that most of them lose their faith.
Now . . . you see why I'm justly delighted and proud of how the Lord has used my brother-inlaw and good friend's vision and talents.
Pastor Caines
NURSERY SCHEDULE
9:30 Infants: S & T Helton Creepers/Toddlers: C & M Stevenson Toddlers: J & M Schleger, Emilia Reynolds
SS Infants: B Lusk, Alayne Griffin Creepers: Alyssa & B Griffin Toddlers: J Mauroner & C Weekley
6 PM Joint TVP Reformation Service: Paid Workers
November 1
9:30 Infants: A & L Reid Creepers/Toddlers: L Swan, J Hall Toddlers: R & J Ray, C Gaither
SS Infants: B & R Roop Creepers: T Bacon, L Choquette Toddlers: K Fisher, M Horton
6 PM Combined: A & M Walker, Jonah Gaines
Please note: If you are unable to find a replacement for your nursery duty, call Judy Foster at 423.645.1086.
Vol. 22, No. 41
Covenant Presbyterian Church
October 21, 2009
From the Senior Pastor . . .
Disclaimer: This week's newsletter is an article published by Chuck Colson on October 12, 2009. As you will read, it's about God's World News for children. The founder of God's World News is Linda's brother-in-law, Joel Belz. Some of you will remember that Joel's wife, Carol, Linda's sister, was with her last Wednesday evening. So, obviously, it is with delightful prejudice and family pride that I ask you to consider what Mr. Colson suggests . . .
and international affairs, to scientific and technological achievements, to art and music, these publications, with their colorful maps, photos, and posters, bring God's involvement in the world alive to young readers in a way they can understand.
How do you help your kids understand the world from a Christian perspective? Well, I've got a good tip for you.
Belz says, "We want kids to ask the question over and over: 'What do you suppose God is up to?' We don't want to be preachy on that front — but we do want to be persistent."
In the early 1980s, Joel Belz, who would go on to become the founder of World Magazine, had five daughters in grade school or getting ready to head there. He was eager to show them how a Christian worldview had something to say about everything they were going to be studying.
That was the genesis of what today is God's World News children's magazine.
Belz had fond memories of [looking forward] to the arrival of Weekly Reader and Scholastic circulars, with their colorful pages, new stories, features and puzzles. He mused to himself, "Wouldn't it be terrific if we could do the same thing for Christian kids now? — except that to all those good features we would add a faithful biblical perspective."
Each week, the magazine's writers produce 24 pages of original news coverage and commentaries on a range of topics. From political
For Belz [reasons]: "One reason our nation is as secularist in its mindset as it is, is that we've left [God] out of the conversation. Sometimes, even in our Christian schools and homes, we've left Him out of our discussions and out of the curriculum in so-called 'secular' topics."
And that persistence is definitely needed. A recent study by the Center of Public Values at Trinity College reveals that 15 percent of the U.S. population doesn't identify with any religion. That percentage is highest — almost 22 percent — among the youngest adults, those aged 18 to 29. That trend, researchers predict, will only continue to grow in the next 20 years.
Well, I agree with Belz. And that's one of the chief reasons God's World News exists-to help families and schools learn how to talk about God's ongoing activity in the world as both creator and sustainer.
(Continued on back page) Almost 28 years since its founding, the staff is beginning to see a generation of young adults who've been raised on
MUSIC MINISTRY Sunday Worship
This Sunday our worship will focus on our JUST God. We will sing Thy Works, Not Mine, O Christ (p. 524 TH) and Jesus, Thy Blood and Righteousness (p. 520 TH).
BRIDAL SHOWER
A bridal shower for Alison Forrester is scheduled for October 18 in the Perseverers' classroom from 3:30-5:30 PM. Alison is registered at Bed, Bath & Beyond, Target and Dillard's.
YOUTH & FAMILY Points to Ponder
* Youth will meet this Sunday night. Dan Steere is speaking at the Youth service.
* October 30-November 1 is the Fall Retreat at Camp Vesper Point for both Middle & High School. Cost is $47 per person. Scholarships are available. The youth will leave on Friday at 7PM and return Sunday at noon.
* Service Project: November 21, 9am—1 pm. The girls will be restocking the Mercy Ministry Freezer while the guys serve our widows by doing yard work. Guys please bring gloves, rakes and other equipment.
* Turkey Bowl II (Youth vs. Adults Flag Football) is on November 28 from 10:30 am—12:30 pm.
SYMPATHY
The church extends sympathy to Sandy Coffey and her family in the death of her mother, Doris Gillespie, on October 8.
PRAY FOR OUR COLLEGE STUDENTS:
* Brient Hobbs — Sewanee
* Aubrey Griggs — Auburn
* Ruth Stevenson — ETSU
This year's theme will be NEAR…… and FAR (Ephesians 2.13). Joining us for the conference is Aaron Messner (Chaplain, Covenant College), Jean Sharpe (Partners in Asian Missions), Lee Leadbetter (RUF-International, UTK), Ruth Caines (MTW-S. Africa), Sam Oppong (ELI Coordinator for Ghana) and others. Look for more information to come!
NEAR……....AND FAR Missions Conference November 13-15
BABY SHOWER
A baby shower for Sarah (McEachern) Knecht is to be held on October 18 in Schum Fellowship Hall from 4-5:30 PM. Chris and Sarah are expecting a little girl and they are registered at Babies R Us.
SYMPATHY
The church extends sympathy to Joanna Wilson and her family in the death of her sister, Pam Wilson, on October 7.
REFORMATION SERVICE
The combined service with other Tennessee Valley Presbytery churches will be here at CPC on Sunday, October 25, at 6 PM. Dr. Kelly Kapic will speak, and CPC will lead the music.
A combined choir will lead in worship. A rehearsal for the choir will be at CPC at 4:30 PM. Join us!
GIDEONS MINISTRY
Dale Reardin will briefly speak at this Sunday evening's service. A love offering will be collected to help aid this ministry.
DIACONATE MEETING
The deacons will meet this Sunday afternoon at 4:30 PM.
For Your Information...
NEW MEMBERS
Listed below are the names of those who joined CPC this month. Add their names and addresses to your membership directory. Check out their snapshots on the New Member Bulletin Board outside the Visitors Classroom. Help make these new folks feel welcome at CPC when you see them!
Tony & Tabitha Croucher 10057 Scenic Highway Lookout Mountain, GA 30750
Tony & Tabitha are newlyweds. Tabitha is the daughter of Bill & Tammy Higgins.
MEN'S GROUPS
- Mon. 7 PM; Samson Society; Visitor's classroom; leader: Reid Swanson 423.867.1669
Please note the following men's groups are available each week. Each are "open," and you are encouraged to invite other men to participate with you. In addition to these group leaders, you may contact Dee Hobbs or Jason Coffey for more information about the Men's Ministry.
- Mon. 7:30 PM; Dead Theologian Society, 2nd floor Office Wing leader: Nathan Bowers, 423.260-5950
- Tues. 6 AM; Wally's restaurant, downtown; leader: Jason Coffey 423.313.5125
- Tues. 6:30 AM; Dr. Swan's office; Cleveland; leader: Larry Swan 423.472.8632
- Tues. 6:45 AM; Wally's restaurant, downtown; leader: Tracy Brown 423.493.9665
- Wed. 6:30 AM; Wally's restaurant, downtown; leader: Eddie Rahm 423.892.1477
- Wed. 6:30 AM; Jim Martof's office, EB Road; leader: Doug McEachern 423.894.5708
- Fri. 6 AM; Wally's restaurant, downtown; leader: Mike Fingerle 423.605.1405
- Fri. 8:30 AM; Brainerd Bapt BX bldg (Belvoir Ave); leader: Pastor Mullinax 423.899.5377
The following Shepherding groups have cleanup duty for the month of October: Hildebrand, E. Brown, Hobbs, Steere/Gaines, and Walker. Please contact your Shepherding Elder to let him know when you can help.
WEDNESDAY NIGHT CLEAN-UP
SERMONS ON THE WEB
If you would like access Pastor Caines' recent sermons in mp3 format, use the following web address: http://www.covenantchattanooga.org/ sermons.aspx.
CHURCH MEMBERSHIP
The session will meet with anyone desiring membership this Sunday afternoon, October 18. Call the church office (899.5377) to schedule a time.
LOOKING AHEAD AT CPC
|
The Parish of Our Lady of Peace
200 Milmont Avenue, Milmont Park, PA 19033
Phone: 610-532-8081 Fax: 610-862-3969
E-mail: firstname.lastname@example.org Website: www.olp-parish.com
Rev. John D. Hand, Pastor
October 8, 2017 - Twenty-Seventh Sunday in Ordinary Time
WEEKDAY MASS SCHEDULE
PARISH DEVOTIONS
Our Lady of Peace Church and Notre Dame Church Open Daily for Reflection ~ 8:00am-6:00pm Monday-Thursday & Saturday: 8:30am (OLP Church) Friday: 8:30am (Notre Dame Church)
WEEKEND MASS SCHEDULE
Saturday Vigil Mass: 4:30pm (OLP Church) Sunday Masses: 7:30am & 11:30am (OLP Church) 10:00am & 5:30pm (Notre Dame Church)
MORNING PRAYER
Monday-Thursday & Saturday: Our Lady of Peace Church Friday at Notre Dame Church: Prayers begin at 8:10am
CONFESSIONS
Saturday: 3:30-4:15pm (OLP Church) or by appointment, call the parish office.
ADORATION OF THE BLESSED SACRAMENT: Monday 9:00am-7:00pm (OLP Church)
BENEDICTION & ST. JUDE NOVENA: Monday 7:00pm (OLP Church)
SODALITY DEVOTIONS & MIRACULOUS MEDAL NOVENA: Tuesdays after the 8:30am Mass (OLP Church)
INFANT OF PRAGUE DEVOTIONS: 25 th day of each Month -7:00pm (OLP Church)
Twenty-Seventh Sunday in Ordinary Time
OUR LADY OF PEACE RECTORY
501 Belmont Ave., Milmont Park, PA 19033
OFFICE HOURS
Monday-Thursday: 9:00am-7:00pm Friday: 9:00am-3:00pm Saturday: 10:00am-3:00pm Sunday 9:00am-1:00pm
PARISH PRIESTS
Rev. John D. Hand, Pastor
Rev. Dominic Ishaq, Part Time Parochial Vicar & Staff of Archdiocesan Tribunal, In Residence
PARISH DEACONS
Deacon John J. Ellis Deacon Michael J. McAndrews Deacon James A. Basilio
Baptisms
POLICY: Baptisms will take place every Sunday at 1:00 PM in Our Lady of Peace Church. And one Saturday a month, 12:30pm at Notre Dame de Lourdes Church.
Parents will need to attend one pre-Jordan class before their child's Baptism. Both Godparents must be 16 years of age and will need a letter of good standing from his/her current Parish. Anyone requesting a baptism must be registered for at least 3 months and actively attending Church each week.
Note: A baptized person who belongs to a non-Catholic Church may be admitted as a Christian witness to Baptism together with a Catholic sponsor. The choice of a god-parent/sponsor should be made primarily on a spiritual basis. Christian Witness status does not apply to Catholics who have left the Church. A Certificate of Eligibility is required from the parish of those requesting to become godparents or sponsors, and proof of Baptism is required for Christian witnesses.
CERTIFICATES: Copies of any sacraments received at OLP or Notre Dame Church can be requested on our website: www.olp-parish.com or by calling the parish office. All certificates are $10 if being picked up and $11 to be mailed.
ELIGIBILITY CERTIFICATES
(Sponsors for Baptism & Confirmation)
If you are asked to be a sponsor for Baptism or Confirmation and require a letter, you may call the parish office to request a letter.
POLICY: You must be an active member of the parish for at least 3 months before requesting a letter.
NOTRE DAME DE LOURDES SCHOOL
Mrs. Susan B. Lowe, School Principal 990 Fairview Road-Swarthmore, PA 19081
Phone: 610-328-9330
Website: www.notredamedelourdes.net
PREP CLASSES
Tuesdays; September-May: 4:30-5:45pm in OLP School Building For more information, please contact: Mrs. Beinlich at 610-405-1887 or Mr. Pepe at 610-544-3022
RENTAL FEES AND POLICIES
The buildings at Notre Dame de Lourdes and Our Lady of Peace, are available to rent ($125 per hour). Please call the rectory.
INSURANCE FOR RENTAL
Required by the Archdiocese for all hall rentals, please call the rectory for the fees. No exceptions can be made.
Pre-Cana & Pre-Jordan Classes
PRE-JORDAN CLASS:
Next class is November 6, 2017 at 7:00pm in OLP Cafeteria. Pre-registration is required. And available online at www.olp-parish.com or by calling the parish office.
PRE-CANA CLASS:
November 11, 2017-10:00am-2:30pm. Register online at: www.olp-parish.com or by calling the parish office. For more info on Pre-Cana classes and marriage prep, please visit the Archdiocesan website at: phillycatholiclife.org
Baptism Schedule & Eligibility
Saturday, October 14, 2017, 12:30pm- Fr. Hand
Saturday, November 25, 2017, 12:30 (OLP) - Fr. Hand st
nd
1 Sunday of every Month - Fr. Dominic
2 Sunday of every Month - Deacon John Ellis
4 th Sunday of every Month - Deacon Mike McAndrews
3 rd Sunday of every Month - Deacon Jim Basilio
Welcome
Anyone who wishes to register in the Parish, is asked to please call the parish office and make an appointment with Fr. Hand.
NEW PARISHIONERS: Welcome to our newly registered parishioners of Our Lady of Peace:
NEWLY MARRIED: Congratulations to: everyone married at Our Lady of Peace Parish. Wishing you a lifetime of happiness!
NEWLY BAPTIZED: Welcome to the newly baptized of Our Lady of Peace Parish:
Marriages
Anyone who wishes to be married at Our Lady of Peace Parish, is asked to contact Fr. Hand at least six months before the desired date to schedule an appointment about their upcoming wedding. Couples must attend a marriage prep program called Pre-Cana. The Catholic Church law ordinarily requires baptized Roman Catholics to marry before a priest or deacon. Unless they requested and received a dispensation from canonical form," Catholics who exchange marriage vows in the presence of only ministers from other religious traditions or authorized civic officials are not considered validly married in the eyes of the Catholic Church. Later, those couples may seek to have their union officially recognized by the Church. In technical Church terms, this is known as convalidation of a marriage. If you are in this situation and want to find out more about the This program includes a discussion of the mission and purpose of marriage preparation, an introduction to the sacrament of marriage, guest speakers and recommendations for resources to use with engaged couples convalidation process we kindly ask you to approach one of the parish Deacons or Fr. Hand.
Anointing of the Sick...
We will no longer have anointing of the sick on a monthly basis. We will have an annual anointing of the sick mass in May, details to follow. Our Eucharistic Ministers also minister communion to those sick members on Sundays. In accordance with the Privacy Act, a family member must provide the name of their family member who is unable to attend weekly Mass or is considered a 'shut in' to the office/ rectory. Please call the parish office at 610-532-8081 and provide the names, address and any contact information of your family member. Thank you.
In Loving Memory
Mary A. Baus, Alfred Christensen, John McGrory & Sadie Thorp May They Rest in Peace!
BEREAVEMENT SUPPORT SERIES
The Bereavement Support Series will began on October 5 th at 7:00pm and continue for 6 additional successive Thursdays. The meetings will be held in the St. Joseph Room (aka Multipurpose Room) in Notre Dame de Lourdes School. If you are interested or curious please contact Deacon Jim Basilio at 484-431-8689.
The Sunday Collection Report
WEEKLY TOTALS
Mass Attendance for the week 10/1/17: 816
Sunday, October 1, 2017 ~ $10,343.00 (Last Year) October 2, 2016 ~ $11,466.00
WORLD MISSION SUNDAY
On October 22 nd , the second collection is for World Mission Sunday– it will provide resources to the Propagation of the Faith for Catholic Mission Diocese's throughout our country. Please be generous.
SCHOOL FUNDRAISING REPORT AS OF 10/1/17
Goal: $125,000 ~ Raised to Date: $4,826.40
Program Book: $2,050 ~ Exelon Employee Program: $50
Applebee's: $642 ~ Night at the Races: $80
Mum Sale: $827.40 ~ Annual Appeal: $1075
Donation: $102 ~ 3-D Printer InKind Donation: $1,600
We Pray For...
Please pray for those who are ill; we remember: Father Larry Kozak, Mary Basilio, Judith Convery, Baby Noah Corazo, Margaret Curley, Bernadette Deeck, Baby Lucy Scott DeLuca, Evelyn DePetre, Nicholas DiEmedio, Lucy Duda, Doris & George Egan, Lydia Galati, Melody Gamble, Stephen Henry, Clare Keenan, Frank Martin, Nick Massi, Fiora Miller, Joseph Miller, Betty Monahan, Mary Iovino, Terry Lynch, Joan Lynn, Stephen McNamee, John Moran, Linda Pulver, Dorothy Sciarra, Sabrina Szerszen, Mark Tancredi & Suzanne Trainor.
Votive Candles - Intentions
OCTOBER
ST. JOSEPH: For: Joseph Palmer.
From: Mickey & Joanne.
ST. JUDE: For Eugene P. Selner.
From: Dolores Selner.
ST. JUDE: For: Linda Pulver. From: Family.
BLESSED MOTHER: For: Ronald J. Herrick.
From: E. Herrick 2003
BLESSED MOTHER: For: Marie Palmer.
From: Mickey & Joanne.
BLESSED MOTHER: For: Sue & John Moretti.
From: The Moretti family
BLESSED MOTHER: For: Jennie & Victor Rabbattino.
From: The Moretti Family.
BLESSED MOTHER: For: The Brawdy & Kovatch Fami-
lies. From: Joe & Joanne.
BLESSED MOTHER: For: Safe & Spiritual Journey.
From: Fr. Gus and the Pilgrimage group.
BLESSED MOTHER: For Family.
2018 MASS BOOK
Masses are available for 2018. Please call the rectory office.
MASS INTENTIONS & CARDS
All available Mass intention dates are now available on our website at www.olp-parish.com. ~Mass cards for the living or deceased are $10. ~Bread and Wine Mass cards are $20 for a week.
CANDLE FOR:
STATUE OF:
REQUESTED BY (name & Number):
WEEK OR MONTH REQUESTED:
(CIRCLE ONE)
The Donation for the Votive Candle is now $10.00 for a week or $20.00 for the month. Please fill out the coupon below for the Votive Candle and bring to the Office.
Mass Intentions for the Week
Saturday– October 7, 2017
OLP-8:30AM – Joan Maloney
Requested by: Anne Petriccione
OLP-4:30PM – John Cuddy
Requested by: Anne Petriccione
Sunday– October 8, 2017
OLP-7:30AM – Stefania Rudnycky Requested by: Son, Michael Rudnycky
ND-10:00AM – Michael O'Meara
Requested by: Kevin & Sylvia Gormley
OLP-11:30AM – Matthew Lazowick Requested by: Donna Maroonik
ND-5:30PM– People of the Parish
Monday– October 9, 2017
OLP-8:30AM – Marie Palmer
Requested by: Mickey & Joanne McKinney
Tuesday– October 10, 2017
OLP-8:30AM – Eddie Walsh (1 st Anniversary)
Requested by: Jane & Family
Wednesday– October 11, 2017
OLP-8:30AM – Joan Maloney
Requested by: Betty & Ed Manderfield
Thursday– October 12, 2017
OLP-8:30AM– John P. DiEnna
Requested by: His family
Friday– October 13, 2017
ND-8:30AM – Stephen Dick
Requested by: Wife, Penny
Saturday– October 14, 2017
OLP-8:30AM– Ardwina "Winnie" Maitland
Requested by: Carrie Hill
OLP-4:30PM – Dee Ritchie
Requested by: Cass Deegan & Family
CHOIR
Practices will be Tuesdays at 7:00pm in OLP Church. Please contact Lou Becht for more info: 610-246-7244 or email@example.com
100 th ANNIVERSARY OF OUR LADY OF FATIMA
Our Lady of Peace Parish is celebrating the 100 th Anniversary of "Our Lady of Fatima". The concluding service will be a Mass celebrated by Father Jerry Carey at OLP on Friday, October 13 th at 7PM.
School News
FROM MRS. LOWE'S DESK
**CLAIRE'S GOURMET SALE
Our Claire's Gourmet sale began on Monday, October 2, 2017. There are many delicious deserts available for you to choose from for your enjoyment. Order forms are available in the school office or online at www.clairesgourmet.com (Use organization #3740)
**PROGRESS REPORTS
Progress Reports for students in grades 1 to 8 will be available for viewing on the Option C website on Friday, October 13, 2017.
**PARENT-TEACHER CONFERENCES
Parent-Teacher Conferences are scheduled for students in grades 1 to 8 on Monday, October 16, 2017. No school for the students of Grades 1 to 8. Pre-Kindergarten and Kindergarten have a full day schedule. No Hot Lunch for Kindergarten. The conference schedule is available on the Option C website. Please log in and choose your child's teacher and time of conference. Please call the school office if you have any questions.
**THANK YOU!
Our Designer Bag Bingo was a great success! Thank you to all the parent volunteers, Home and School Board members and Mrs. O'Brien for all their hard work. It would not have run smoothly without you!
**KID STUFF COUPON BOOKS
We have Kid Stuff Coupon Books for sale in the school office. They are $25 each and have many great coupons inside for your savings!
Notre Dame de Lourdes School A Catholic Value Based Environment Innovative ~ Challenging ~ Real World Registration information: (610) 328-9330
TRUNK OR TREAT, OCTOBER 21 st
(Rain or shine event)
Cars set up: 6pm; Event: 6:30-7:30pm
Where: ND parking lot. Drinks and glow items will be sold.
DJ, Games, 50/50. Cost will be $10/car: unlimited children per car. Walk up trick or treaters welcome: $5.
Children will receive a bracelet at check in and must have bracelet to participate. Car sign ups or Questions: Monica
Wiegand: firstname.lastname@example.org
LADIES NIGHT OUT
Ladies Night Out on 11/10 from 6:30 to 9:30 PM Admission: $8 (Includes 2 drinks of choice and snacks) Nelson Hall, Notre Dame de Lourdes School Join us for an evening of fun, shopping, & socializing! Meet new people, support our school, and find unique gifts for your Christmas Shopping List....and a little something for yourself! Volunteers Needed! Donations appreciated! Questions?? Please email: email@example.com
School News
BATES MOTEL
(6
th
, 7
th
and 8
th
Graders)
October 15
th
, CYO Bates Motel trip, contact Monica for
tickets: 610-659-9889.
BOXTOPS
The school is collecting Boxtops with a deadline of November 1 st for submission. Please drop them off at school or in the collection boxes at church by October 25 th . Thank you!
ATTENTION-POSTPONED
The Mother/Son and Father/Daughter Dances and the Night at the Races events have all been postponed to a later date in the school year.
Parish Lottery and Pool Winners
50—50 CHANCES
∗ Tickets are available after all Masses. $1 per ticket. 6 tickets for $5.Winner is drawn after the 11:30AM Mass on Sundays. All proceeds go to Notre Dame de Lourdes school.
Winner for October 1 st : Pat Gorman ~ $77.00
WINNERS!!! FOOTBALL 33 POINT POOL
We have a winner (actually two winners)!! The Houston Texans AND Tennessee Titans scored 33 points exactly on Sunday, Sept 24 th . Dave Alesi (Texans) and Kyle Adamczyk (Titans) will split the pot of $320 ($160each). Congratulations to both!! The pool is now closed. We will begin to sell Pool #2 the weekend of September 30 th . The cost is $20 Per team. NOTE: Pool #2 will not begin until all 32 teams are sold. This is a 50/50 pool with half to Our Lady of Peace Parish and half to the winner. Winner will take home $320 unless there are multiple winners on the same weekend then the pot of $320 will be split amongst the winners. When someone hits this pool we will begin selling Pool#3 and so on. Check in with the 50/50 ladies for details and rules. Good Luck to all and Thank
YOU!!
We are selling a 100-square grid pool for the World Series games which will be played between October 24, 2017 and November 1, 2017. The cost for each square is $10. These will be sold at Our Lady of Peace Church only at the 50/50 table. This block pool represents the FINAL score (inclusive of extra innings) of the World Series games. The prize of $500 will be split evenly depending on the number of games played. Each game will have one winner. Numbers on the pool will be drawn randomly after all blocks are sold. See the 50/50 ladies for details.
PREP
PREP
Registration and Starting Date for 2017-18
PREP STARTED ON SEPT 12 th WITH A MASS IN THE CHURCH AT 4:30 PUNCTUALLY.
REGISTRATION FEE- $125.00 for one child, $200.00 for more than one. Late charge if after August 7 of additional $25.00 because books are ordered and in before Sept. Late charge incurred because of shipping and handling of smaller amounts ordered.
BY MAIL: Download from OLP website, print and complete the form, and mail it with your payment to the Rectory (address below).
IN PERSON: Download from OLP website, print and complete the form, and drop it off at the Rectory with your payment weekdays or during mass just put in the collection basket addressed to Prep: Attention: Mrs. Beinlich / Mr. Pepe
Loose Forms may also be found in the back of both Churches
Our Lady of Peace Church (Prep) 298 Milmont Ave Milmont Park pa 19033
IMPORTANT!!!!
1st grade must submit a copy of Baptism Certificate unless Baptized at ND or OLP.
For more information, please contact: Mrs. Beinlich at 610-405-1887 Mr. Pepe at 610-544-3022
Please Note: October 3 rd was the last date to sign up for the 2017/2018 PREP program with a $25 late fee. If you are new to the parish, or have special circumstances, please contact Mr. Pepe or Mrs. Beinlich.
Safe Environment Training Class
SAFE ENVIORNMENT TRAINING - PROTECTING GOD CHILDREN CLASS
Anyone that is a parish/school employee or volunteer (18 years or older), and needs to attend "Part I: Protecting God's Children Class", there will be one on Thurs., Oct. 19 th at 6:00pm in Nelson Hall at Notre Dame. Registration is required online at www.virtusonline.org if you plan on attending, arrive 5-10 minutes before - no late arrivals will be accepted after 6:00pm.
CYO News
JR. CYO GRADES 5-8; WELCOME TO THE 2017-18 SCHOOL YEAR!
In an effort to expand CYO, we are adding service and social events this school year. We are planning to have monthly meetings for Jr. CYO on Wednesdays throughout the school year, at 6:30pm in the St. Joseph Room.
The schedule is as follows:
November 8 th : Prayer service of Remembrance December 6 th : Guest Speaker Amy Brooks: How to "Be Yourself"; Who you are meant to be and why you are so important! The January - April meetings will be released later in the fall. Service dates include grounds clean up at both Church sites on the following dates: Oct.14, from: 9-3. Children are highly encouraged to attend at least one date, for at least one hour and PARENTAL SUPERVISION IS REQUIRED for fall clean up days. Questions: Contact LindaBasilio:firstname.lastname@example.org, or Dan Tyson:email@example.com .
CYO SPORTS
Parents may register eligible students for Winter sports at the following website:
www.leaguelineup.com/nddl_olpcyo
Winter Sports include, K-2 Basketball Clinic (coordinator and coaches needed)
3rd and 4th grade girl's basketball. (Coach Needed)
3rd and 4th grade boy's basketball (Coach Needed)
5th and 6th Grade girl's basketball (Coach Needed)
5th and 6th Grade boy's basketball (Coach Needed)
7th and 8th Grade girl's basketball (Coach Needed)
7th and 8th Grade boy's basketball.
9th and 10th grade boy's basketball (Coach Needed
11th and 12th grade boy's basketball.
.
Deadline for Registration November 3 rd
Coaches needed at all levels, if interested contact Dave Katch at 610-476-9585 for more information.
Clearances and trainings are required to volunteer as a CYO coach.
Safe Environment Requirements
Archdiocesan policy requires all church personnel to obtain background checks. This includes any priest, religious, deacon, pastoral minister, employee, school employee, parish employee, and contract employee. Also includes any individual 14 years of age or older applying for or in a paid position as an employee having direct contact with children.
| Our Lady of Peace Parish Council-Committee Contact List 2017 | | |
|---|---|---|
| | CONTACT | PHONE |
| Bereavement Group | Deacon Jim Basilio | 484-431-8689 |
| Building Committee | John Ward | 610-328-0702 |
| Carnival Committee | Pat Gorman | 484-868-4656 |
| Christmas Bazaar | Donna Lane Cookie Devlin | 6 1 0-574-7870 610-534-4763 |
| CYO Director | L. McGarrigle | firstname.lastname@example.org |
| Down to Earth Christians | Linda Basilio Dan Tyson | 610-659-5218 610-766-0527 |
| Finance Council | John Ellis | 215-630-7693 |
| Fund Raising Committee | Barbara Hoyer | 610-212-9087 |
| Helping Hands | Irene Sakowski | 6 1 0 - 5 4 4-5511 |
| Kids Drama Club | Linda Galati Hunt | email@example.com |
| Legion of Mary (ND) Sodality (OLP) | ND: Susan O'Connor OLP: Rita Atherholt | 610-543-6171 610-532-2064 |
| Liturgical Ministers (Euch. Mins. & Lectors) | Jackie Basquill | 610-328-3296 |
| Liturgy Committee | Teresa Huddell | 610-209-7215 |
| OLP Visitation | Barbara Walker Diane McFadden | 6 1 0-532-5583 610-833-1949 |
| Parish Council | Jackie Basquill | 610-328-3296 |
| Prayer Shawl Ministry | Kerrigan McKay | 610-864-5983 |
| Pre-Cana | Father John Hand | 610-532-8081 |
| Prep Program | Mary Beinlich | 610-405-1887 |
| Pre Jordan | Deacon John Ellis | 610-532-8081 |
| RCIA | Pete Pepe | 610-544-3022 |
| School Advisory Board | John Ellis | 215-630-7693 |
| Ushers | ND: Bob Thorp OLP: Joe Fey | 6 1 0 -328-1942 610-532-1656 |
Scripture and Readings for the Week
Jesus said to them, "Did you never read in the Scriptures: The stone that the builders rejected has become the cornerstone...? Therefore, I say to you, the kingdom of God will be taken away from you and given to a people that will produce its fruit." - Mt 21:42ab, 43
Readings for the Week of October 8, 2017
Sunday: Is 5:1-7/Ps 80:9, 12-16, 19-20/Phil 4:6-9/Mt 21:33-43
Monday: Jon 1:1—2:2, 11/Jon 2:3-5, 8/Lk 10:25-37 Tuesday: Jon 3:1-10/Ps 130:1b-4ab, 7-8/Lk 10:38-42 Wednesday: Jon 4:1-11/Ps 86:3-6, 9-10/Lk 11:1-4 Thursday: Mal 3:13-20b/Ps 1:1-4, 6/Lk 11:5-13 Friday: Jl 1:13-15; 2:1-2/Ps 9:2-3, 6, 8-9, 16/Lk 11:15-26 Saturday: Jl 4:12-21/Ps 97:1-2, 5-6, 11-12/Lk 11:27-28
Upcoming Events Schedule
OCT. 11 th - Liturgy Meeting, 7:00pm, in the rectory.
OCT. 13 th - 95 th Anniversary Mass & 100 th Anniversary of the Blessed Mother's appearance at Fatima - 7PM OLP Church
OCT. 14
th
OCT. 15 th - CYO night at Bates Motel, more details to come.
- Spaghetti dinner, OLP cafeteria.
OCT. 16 th - Men's Group, 7:00pm in OLP Convent.
OCT. 19 th - Safe Environment "Protecting God's Children Class", 6:30pm, ND Nelson Hall.
OCT. 18 th - School Advisory meeting, 7:00pm, OLP.
OCT. 21
st
OCT. 28 th - Bus Trip to the National Blue Army Shrine of Our Lady of Fatima, Asbury, NJ., bus departs OLP at 8:30am.
- CYO Trunk or Treat,ND parking lot.
NOV. 6 th - Christmas Bazaar Meeting, 6:30pm.
NOV. 10 th - Ladies Night Out, 6:30pm.
NOV. 6 th - Men's Group, 7:00pm in OLP Convent.
NOV. 11 th - Pre-Cana, 10:00am-2:30pm.
.
NOV. 17-18 th - Christmas Bazaar
DEC. 4 th - Men's Group, 7:00pm in OLP Convent.
NOV. 20 th - Men's Group, 7:00pm in OLP Convent.
DEC. 9 th - Confirmation with Archbishop Chaput, OLP Church, 11:00am.
DEC. 13 th - Bus Trip to Sights and Sounds Millennium Theater in Lancaster. Show: Miracle of Christmas.
JAN. 22, 2018 - Bus Trip to Pro-Life March in Washington, DC.
FEB. 25, 2018 - Annual Parish Communion Breakfast, Guest Speaker, Ray Didinger, OLP Church.
HALLOWEEN– TRICK OR TREATING
Oct. 31 st , candy will be given out from 5:30-6:30pm at the rectory, feel free to stop by in your costumes.
CHRISTMAS BAZAAR CRAFT NIGHT
Will be every Thursday night, 6:00-8:00pm, in OLP cafeteria. All are welcome to join.
MEN'S GROUP
The Men's Group will begin meeting in the (former) Our Lady of Peace Convent on the 1 st and 3 rd Mondays of each month at 7:00pm. Please join us for some Faith, Food, and Fellowship! Please call Patrick Ireland at 484-620-7149 for more info. To be kept up to date on meetings and events, send your email address to firstname.lastname@example.org
Parish News
OUR LADY OF PEACE PARISH BUS TRIP
Our Lady of Peace Parish will host a bus trip on Saturday, October 28 th to the National Blue Army Shrine of Our Lady of Fatima in Asbury, NJ, operated by the World Apostolate of Fatima. The luxury bus will depart from OLP church at 8:30AM and return by 5PM. Cost will be $20 which include lunch (hoagie, soda, chips) and donation to the shrine. Our group will participate in the rosary at 11:30AM, Mass at noon, then a picnic lunch. Please contact Jackie Basquill 610-328-3296 or the office. Deadline is Oct. 14 th .
JOIN US ON A CRUISE
Our Lady of Peace Parish, is booking a cruise from May 5 th -10 th , 2018. This is full filled 5-night vacation to the beautiful Island of Bermuda. Balcony: $2546.94; Ocean View: $1706.94; Interior cabin: $1506.94. Price includes the cost for two people, all port charges, food & beverages. Price does not include beer, alcohol & gratuity. $250.00 deposit required. Final payment due on 2/1/18. Call Kim Berger at 610-605-2114 ext:427821, for more info or to reserve a spot. COME JOIN US FOR A FUN TIME ON BOARD!
ATTENTION ALL SINGERS
The Notre Dame Players have been entertaining Nursing Home residents and Senior Club Members for over 15 years. Some of our original members have joined the "Heavenly Choir," leaving an opening for new members. If you love to sing, just for the joy of it, and the happiness it can bring to others, please call (610) 544-0147, Eileene Donnelly, director. Men and women of all ages are welcome. No auditions necessary. Hope to hear from you soon. God bless you.
DOWN TO EARTH CHRISTIANS
The Down to Earth Christians invite you to join us on two separate occasions to help with clean-up of our worship sites in preparation for the fall and winter months ahead. Our next clean-up day will be on Saturday, October 14 between 9 AM and 3 PM and you can work as many or as few hours as you'd like. Whether or not you have a green thumb, we need you, and there is something for everyone. Bring friends and family for a day of rewarding work as well as an opportunity to meet your neighbors. We ask that you bring your gardening tools, hats, gloves, suntan lotion and a few large, heavy duty trash bags. So that we might have a general idea of how many will be participating in the clean-up, please contact
Linda Basilio: email@example.com
or Dan Tyson: firstname.lastname@example.org
CELEBRANT SCHEDULE
OCTOBER 8 th
OCTOBER 15
4:30PM (Vigil-OLP):
Fr. Hand
7:30AM (OLP):
Fr. Hand
10:00AM (ND):
Fr. Hand
11:30AM (OLP):
Fr. Hand
5:30PM (ND-Eve):
th
4:30PM (Vigil-OLP):
Fr. Hand
7:30AM (OLP):
Fr. Dominic
10:00AM (ND):
Fr. Hand
11:30AM (OLP):
Fr. Dominic
5:30PM (ND-Eve):
Fr. Flanagan
Fr. Flanagan
ALTAR SERVER SCHEDULE
OCTOBER 8 th
OCTOBER 15 th
4:30PM(Vigil-OLP): Team 1
7:30AM (OLP): Team 2
10:00AM (ND): Team 3
11:30AM (OLP): Team 4
5:30PM (ND-Eve):
4:30PM(Vigil-OLP): Team 5
7:30AM (OLP): Team 6
10:00AM (ND): Team 7
11:30AM (OLP): Team 8
5:30PM (ND-Eve):
HS Students
HS Students
OUR LADY OF PEACE/NOTRE DAME DE LOURDES ALTAR SERVER TEAMS
TEAM 1
TEAM 6
TEAM 10
Ali McKinney
Carolyn Barnes
TEAM 2
Caroline Becker
Elizabeth Hoyer
Marygrace Henderson
TEAM 3
Sydney Zerbe
Anthony Martin
TEAM 4
Alyssa Freeman, Andrew Shay Hannah Shay
TEAM 5
Erin O'Brien
Allison O'Brien
Julianna Sharren
TEAM 11
Ryley McCann Ralph Gonzalez Joey Markey
TEAM 12
Andrew Kusner Liam Geraghty
TEAM 13
Megan Noon
Caitlin Jordan
Elizabeth
Sebastian Lynn Eamon Bonsall Brynlee Grugan
Tomasetti
NOTE: The team lists are posted below, please make sure to double check your name and team each week.
Kaylyn Piffath
Brennan Szczpiorski
Amanda Miller
TEAM 7
Jake Gill
Maryella Gill
TEAM 8
Olivia Grove
Timmy Signs
TEAM 9
Mikayla Shrack Emily Hill Aden Boyle
LECTORS/EUCHARISTIC MINISTERS SCHEDULE
OCTOBER 8 th
4:30PM (Vigil-OLP)
OCTOBER 15 th
LECTOR: Grace Driscoll
EUCH. MINS: Kathleen
Hamm, Jerome Welch,
Bobbie Palkovics, Matt
Crehan & Connie Clarke
7:30AM (OLP)
LECTOR: Pat Ireland & Charles Catania
EUCH. MINS: Bill Samohod, John Ellis, Tom Crowley & Pat Gorman
10:00AM (ND)
LECTOR: Linda Basilio & Amelia Martinelli
EUCH. MINS: Don
McGoldrick, Carolyn Killion, Kris Egan, Sherry DiFonzo & Don Curran
11:30AM (OLP)
LECTOR: MaryAnn Hrin
EUCH. MINS: Donna
Shiarra, Anna D'Ambrosio,
Norma Del Nano & Ed
Tomassetti
5:30PM (ND-Eve)
LECTOR:
EUCH. MINS:
man
Sue House-
4:30PM (Vigil-OLP)
LECTOR: Barbara Walker
EUCH. MINS: Kathleen Hamm, Jim Freeman, Joe Molieri & Jack Polito
7:30AM (OLP)
LECTOR: Irene Sakowski
EUCH. MINS: Pat Ire-
land, John Lane, Tom Dillon, Jim Dempsey & Barbara Dempsey
10:00AM (ND)
LECTOR: John Barton & Pat Gorman
EUCH. MINS: Joyce Sweeney, Bob Ruzzo, Denise Lynch, Phil DeSilva & JoDean DeSilva
11:30AM (OLP)
LECTOR: MaryAnn Hrin
EUCH. MINS:
Amelia Martinelli, Michele Longo, Sylvia Gormley & Donna Shiarra
5:30PM (ND-Eve)
LECTOR:
EUCH. MINS:
man
Sue HouseParish News
SPAGHETTI DINNER
The Spaghetti Dinner will be on Oct. 14 th , 7:00pm, in the OLP school hall. Cost is $10 per person, all you can eat. If you would like to attend, please call the Parish office.
CHRISTMAS BAZAAR UPDATE……
Our next Christmas Bazaar Meeting will be held on Monday, November 6, 2017 at 6:30PM. Please come join us with your ideas and suggestions. We are in need of donations for the Alcohol Raffle (bottles of wine, liquor
etc), Tombola, Grandma's Attics and Treasures (gently used items or new crafts) and Themed Baskets. We would like to make a lottery ticket wreath to sell chances for so if you could donate any scratch off lottery tickets that would be great! We also need plastic tablecloths (red and green). There is a signup sheet at the 50/50 table at Our Lady of Peace Church for the baskets. We would like to have no more than 60 baskets at the bazaar so if you are donating a themed basket please put it on the list so there are no duplicates and we do not go over this number. Any donations can be dropped off at the back of either church. Thank you in advance!
TOMBOLA PRIZE WISH LIST
Donations needed for Tombola table: Toasters, toaster oven, microwave oven, electric frying pan, dinnerware sets (Christmas and daily), flatware, bakeware, or Christmas throws. Coffeemakers are NOT needed. Drop donations off in the back of either Church. Thank you!
CANDY DONATIONS NEEDED FOR TRUNK OR TREAT
On October 21 st , Notre Dame de Lourdes School is hosting a Community Trunk or Treat with the proceeds going to benefit the school. We welcome donations of candy, preferably bite-sized candy. We ask that the bags come to us unopened to ensure everyone stays safe. You can drop your candy donation off at the school during school hours (8:30 to 3:00), the rectory, or at the back of the church.
KNIGHTS OF COLUMBUS
Interested in joining the Knights of Columbus? Please contact Ken Harper at email@example.com or Tony Grimaldi at firstname.lastname@example.org
Upcoming Events:
Tuesday, Oct. 10 th : Admission (1st) and Formation (2nd) Degrees – 8:00pm. Candidates report at 7:30 PM. Please notify Mike Yuknek (610 909 2930 /
email@example.com).
Friday, Oct. 13
th
, PHA Open 7:00 PM – ?
Come out and see old friends and meet new ones.
Community News
OUR LADY OF ANGELS SCHOOL- MORTON, PA
Save the date! The Chatterband is coming to Our Lady of Angels. Join the fun on October 21 st , 7pm – 11pm, $35 per person - $65 per couple. BEER - WINE - FOOD For more info: call Jo Murphy 610-329-3651 or Cindy Cammorata 215-704-2099 or Terri Gamble 610800-4232
ST. MADELINE'S PARISH & SCHOOL REUNION
Saturday, November 18 th , 7:00-11:00pm. Anthony's Restaurant, 4990 State Rd, Drexel Hill, PA 19026, $30.00, includes food and music; cash bar. All attendees/alumni are welcome to join us for Mass at 4:00pm at St. Madeline Church followed by a tour of the school on the day of the reunion. For more info: our Facebook page: Saint Madeline Parish Reunion or email: firstname.lastname@example.org
LITTLE FLOWER MANOR NURSING HOME
Annual Christmas Bazaar on Sun., Nov. 12 th from 10:00AM-2:00PM in St. Joseph's hall, 1201 Springfield Rd., Darby PA. The bazaar will have holiday décor, jewelry, crafts, attic treasures, etc.
NEW MOM'S GROUP AT ST. JOE'S IN ASTON
Moms of all ages are welcome to a new faith-based group offering discussions, sharing, and prayer. The group starts Sunday, October 22 nd , 7-8:30PM and meets at St. Joseph's Church in Aston. Meetings will be once a month on Sunday evenings. For more information, contact Dana Westby at email@example.com or 215-275-0782.
LITTLE FLOWER CATHOLIC HIGH SCHOOL FOR GIRLS
On Oct. 28 th , all are invited to join in celebrating 25 years since Saving our Beloved School. There will be tours, a program and social. The Flossie Shop will be open. 3-6 pm. Little Flower Forever! RSVP to: 215-455-6900 or firstname.lastname@example.org
LITTLE SISTERS OF THE POOR FUNDRAISER
Dinner at La Locanda Restaurant in Newtown Square, PA. 20% of your bill will help benefit the needy and elderly residents of Holy Family Nursing Home in Southwest Philadelphia. This event will run from 11:30am-10:00pm on Oct. 25 th .For reservations, please call 610-353-7033. Thank you in advance for your generous support.
|
Review Article
What do we currently know from in vivo bone strain measurements in humans?
1
P.F. Yang 1,2,3 , G-P. Brüggemann 2 , J. Rittweger
1 Division Space Physiology, Institute of Aerospace Medicine, German Aerospace Center, Cologne, Germany; 2 Institute of Biomechanics and Orthopaedics, German Sport University Cologne, Cologne, Germany; 3 Key Laboratory for Space Bioscience and Biotechnology, Faculty of Life Sciences, Institute of Special Environmental Biophysics, Northwestern Polytechnical University, Xi'an, China
Abstract
Bone strains are the most important factors for osteogenic adaptive responses. During the past decades, scientists have been trying to describe the relationship between bone strain and bone osteogenic responses quantitatively. However, only a few studies have examined bone strains under physiological condition in humans, owing to technical difficulty and ethical restrictions. The present paper reviews previous work on in vivo bone strain measurements in humans, and the various methodologies adopted in these measurements are discussed. Several proposals are made for future work to improve our understanding of the human musculoskeletal system. Literature suggests that strains and strain patterns vary systematically in response to different locomotive activities, foot wear, and even different venues. The principal compressive, tension and engineering shear strain, compressive strain rate and shear strain rate in the tibia during running seem to be higher than those during walking. The high impact exercises, such as zig-zag hopping and basketball rebounding induced greater principal strains and strain rates in the tibia than normal activities. Also, evidence suggests an increase of tibia strain and strain rate after muscle fatigue, which strongly supports the opinion that muscle contractions play a role on the alteration of bone strain patterns.
Keywords: Bone Strain, In vivo, Bending, Strain Gauge, Muscle Fatigue
Introduction
It is well accepted that bones adapt to different types of loading, e.g. by various exercises or by disuse, the former being followed by anabolic responses and the latter by bone losses. Literature suggests that specific exercises or training can improve people's bone mass and strength 1 . On the other hand, disuse during space flight was shown to induce a loss of more than 2% in hip trabecular volumetric bone mineral density (vBMD) per month 2 . Inevitably, bone deformation will be induced by dynamic loading (because the static bone loading rarely happens in vivo, it is not included in this discussion).
The effects of the various factors involved in bone loading, which include strain magnitude, strain rate, and the number of loading cycles are well documented 3-4 . Strain magnitude (symbol: ε or με) which refers to the extent of bone deformation is easy to understand. Strain rate (symbol: ε/s or με/s) is the rate of strain change per unit of time, or more simply, the rapidity with which strain alterations occur. Evidence from animal studies indicates that strain rate can constitute an osteogenic stimulus independent of strain magnitude 5-6 .
The authors have no conflict of interest.
Corresponding author: Peng Fei Yang, Division Space Physiology, Institute of Aerospace Medicine, German Aerospace Center, Linder Höhe, D-51147 Cologne, Germany
E-mail: firstname.lastname@example.org
Edited by: F. Rauch
Accepted 21 February 2011
It is commonly thought that both ground reaction force (so called weight-bearing) as well as forces arising from muscular contraction contribute to the loading of the leg bones. Importantly, biomechanical analyses suggest that, of the two, the larger forces are caused by muscular contractions 7 . Moreover, there are co-contractions of ago-antagonistic muscle systems in virtually all motion patterns. Therefore, mere estimations of bone deformation by assessment of external loading and inverse dynamics approach can not provide a full account of the relationship between bone strains and osteogenic bone response. Even though the importance of bone strain for bone metabolism has been realized, knowledge of in vivo bone strains during habitual physical activities and specific exercises is very limited.
Hylonome
With development of the methodology of in vivo bone strain measurements it has become possible to record bone deformation under physiological conditions. A number of in vivo animal studies provide compelling quantitative evidence for the relationship between bone strain and osteogenic response. In these studies, different methods for in vivo bone strain measurement have been applied.
It has to be considered, though, that in vivo bone strain measurements are invasive and technically challenging. Nevertheless, the first pioneering study in humans stems from 1975 8 and the bulk of the currently available studies started from 1996 onwards. Today there are a total of approximately 40 subjects of whom in vivo bone strain data have been published. However, there are a couple of important questions that have still not been addressed, which is the subject of the following appraisal.
Type of bone deformation
Strain is the geometric deformation within the material. One way to measure it is by strain gauges. Strain is expressed as the ratio between the length change and original length, and it is therefore given as a dimensionless number.
According to the following equations:
Where LO: original length; L: current length; |ΔL|: length change. According to above equations, compressive strain and tensile strain are negative and positive values, respectively.
Strain can be simply tensile or compressive (axial strain, Figure 1A). More complex strains are generated by e.g. two planes sliding over each other (shear strain, Figure 1B), by bending (bending strain, Figure 1C) or by rotation (torsion strain, Figure 1D).
Axial strain
Axial strain is, by definition, a strain in the same direction as the applied load . Both compressive strain and tensile strain are axial strains. For long bones, axial strain under physiological conditions is mostly along the long axis of the bone.
It is generally thought that compressive and tensile strains are the main component for most kinds of activities.
Shear strain
When loading a solid material, there will always be both compressive and tensile strains, with a certain angle between them. In any direction within this angle, shear strain exists along the surface of the structure.
Generally, the distortion in shear can be described as the combination of two ideal types of strain: simple shear (Figure 2A) and pure shear (Figure 2B). The sum of these two shears is equal to the so called engineering shear strain which is defined as the angle change between two lines initially perpendicular
to each other in the non-deformed or initial configuration. Because the engineering shear strain is equal to the difference between two principal strain values, it can conveniently be calculated and has frequently been reported in literature 9-12 . As expected, shear strain was found during almost all activities, such as walking, running, and hopping.
Bending strain
Bone bending strain is induced by the external force or force component which is applied perpendicular to the longitudinal
axis of the bone. The external force can be due to eccentric (offaxis) loading, and also due to axial force acting about a bone's longitudinal curvature 13 . The bending strain may cause tension in one part (e.g. anterior aspect) of the bone and compression in the opposite part (e.g. posterior aspect) of the bone (Figure 3A). Normally, the bending strain is superimposed with axial compressive strain (Figure 3A), and the question arises how bending and principle strain magnitude compare to each other.
The methodology adopted for in vivo bone strain measurements
Some evidence, however, does exist to account for the presence and magnitude of in vivo bending strains in the human body. For example, it has been observed during zig-zag hopping that the angle of maximum principal compression to the long axis of tibia varies considerably, much more than during walking and jogging 12 . The most likely explanation for that angle change seems to be variation induced by bending moments during intense exercise, such as zig-zag hopping. However, no direct or quantitative in vivo bending strain data are as yet available in humans .
Torsion
Finally, there is a possibility of torsional loading on bone if the long axis of bone is twisted (Figure 1D). Assuming the long axis of the bone as 0°, the orientations of torsion strain in relation to the long bone axis will be at 45° or -45°, respectively, depending on the twisted direction of the long axis. For example, torsion of tibia is produced by the combination of ground frictional force relative to the foot and the resulting moment. Bones are generally weak in shear, and shear is typically induced by torsion or bending. In ex vivo testing, the fatigue strength of bovine compact bone under torsion loading is about half of the compressive fatigue strain for the same material 15 . According to Taylor et al. 15 , the largest part of shear strain arises from torsion, whilst transverse tensile stress in vivo is rare. Shear strain induced by torsion might therefore play an important role in bone fatigue fracture.
The development of appropriate bonding and recording methods made it possible to assess bone strain in vivo in animals and humans. Since the 1940s, scientists have started to establish and apply different methods for measuring bone strain in vivo 16 . Although several methods have been developed during the past few decades, only two of them (strain gauges and bone staples) have successfully been applied in the human body as so far. The development of these methods will be discussed in the following.
The first generation: Strain gauges method
The principle and the procedure of strain gauges measurements
As the gold standard of material strain and stress analysis, electric resistance wire strain gauges have been use in most in vivo bone strain measurement studies.
Their principle is based on the fact that the electrical resistance of a specially designed wire increases with increasing strain, and that it decreases with decreasing strain. When strain gauges are firmly attached on a material, they are assumed to undergo the same deformation as the material, and measurement of the electrical resistance, then allows the assessment of strain . However, a single wire strain gauge can measure strain in one direction only. In order to measure the strain with unknown directions, rosette strain gauges (Figure 4) have to be used. In that case, the principal strain and the angle between the grid of strain gauge and the principal strain can be calculated. The details about the rosette strain gauges can be referred to the technical notes from manufactures 17 .
A series of original investigations and review papers in the 1970s have described how the strain gauges should be prepared and correctly used in bone strain measurements in vivo 18-20 . Some modifications were also made for improving the bonding
quality in vivo at a later stage 21 . So far, most in vivo bone strain measurement approaches have used such strain gauges, even though some modifications have been made (refer to the discussion of bone staples methods). With rosette strain gauges bonded directly to the bone surface, Lanyon LE et al. and Burr et al. performed the first and second in vivo bone strain recording in humans, respectively 8-9 . The general procedure for implanting strain gauges during that study is described as following: The tissue overlying the proposed gauges site of the leg was anaesthetized first, and then a 5-10 cm long incision down to the periosteum was made. Part of the periosteum was removed and the bone surface cleaned. Next, the strain gauges were glued on the prepared bone surface with adhesive (isobutyl 2-cyanoacrylate monomer or polymethyl methacrylate). Then the wire of strain gauges were passed out of the wound and sutured to the periosteum. Importantly, the operation in that study took approximately 1 hour, but the strain gauge could stay thereafter for 3 days for data collection.
In Burr's and Milgrom's paper, degreasing of bone surface with alcohol and scoring with a bone punch are reported, as additional measures to improve strain gauge bonding 9,22 . The strain gauge signal was recorded with a portable analog tape recorder in that study, which allowed the subjects a greater degree of mobility. No pain or discomfort was reported.
Disadvantages of strain gauges
Bonding problems: Technically, the surface for bonding strain gauges should be chemically clean (i.e. free of oil, greases, organic contaminants and soluble chemical residues), water proof and sufficiently rough. However, it is almost impossible to reach these harsh conditions by preparation in vivo, especially during long time recordings. In the study of Burr et al., strain gauges from one of two subjects were not firmly attached when they were checked after recording, and the data from this subject had to be abandoned 9 . Even without significant debonding, there is no way to evaluate the bonding stability in vivo. The bonding quality is the key point for the accuracy of foil strain gauges. Insecure bonding is likely to result in under-estimation of strain values.
Bending strain: Assessing bending strains with strain gauges is feasible only with a set of two rosette strain gauges attached on two opposing aspects of bone 23 . In a study by Biewener et al. 14 , for example, the strain gauges were bonded on the cranial and caudal aspect of the radial and tibial diaphysis of goats (Figure 3B). Then, the ratio between the compressive strain due to bending and axial compression in three goats during gait at a constant speed (up to 5 m/s) was calculated, as 8.1 for the radius and 11.6 for the tibia. Furthermore, this ratio did not change significantly throughout the speed range. This suggests that bending is the predominant strain in bone during gait. Unfortunately, such an approach is hardly feasible for the human body, in particular for the tibia, as it is by virtue of the human anatomy quite impossible to attach a pair of strain gauges on two opposite sides of a bone, without destroying muscles. However, the axial and bending strain of bone can not be distinguished with strain gauge attached on one side of a bone only. Accordingly, there are as yet no measurements in human body to provide in vivo bone 3D deformation.
Temperature drift: Temperature related effects are the most common cause of error in the application of strain gauges. This is because electrical resistance is dependent on temperature. For obvious reasons, using two or more strain gauges in vivo in order to compensate for the effect of temperature, as one would do in an engineering scenario, is not feasible.
Calibration: For the strain gauges, the purpose of calibration is to develop an accurate relationship between the output voltage and bone strain. The calibration procedure is a cumbersome business, because of the potential affects of the implantation procedure 24 , the linearity of strain gauges and the length of lead wire required for strain gauges (the wire cables which connect the strain gauges to the Wheatstone bridge. When the strain gauges are remote from the recording instrument, the resistance of wire cable has to be taken into account) 25 .
The second generation: Extensometers and bone staples with strain gauges
Obviously, there is a desire to reduce the invasiveness of direct bonding of strain gauges to bone. To this effect extensometers have been developed that can be externally mounted on two K-wires placed percutaneously into the bone cortex. The underlying idea is to isolate the deformation in a measurement device that is stably mounted on the bone. Before inserting the K-wires, local anesthesia is administered. Next, two K-wires are affixed into the predrilled holes to a depth of 4 mm, so that the extensometer can be mounted on the K-wires. The extensometer is composed of a bronze beam with two pairs of strain gauges bonding to the top and the bottom surface of the beam, respectively (Figure 5A). Bone strains are then transmitted to the beam' strain gauges through the K-wires. Again, strain gauges are connected to the recording device via cable connection. Unfortunately, however, this approach seems to generate artifacts induced by e.g. the heel strike, and it seems to generate smaller strain value readings than the classical strain gauge approach 26-28 .
Based upon the same principle, commercial bone staples with instrumented strain gauges have also been used 29 . Subsequently, Milgrom C. et al. modified this method and included three strain gauges into three bone staples in a 30° rosette pattern (Figure 5B) 30 . Obviously, this requires additional holes in the tibia, which causes a practical problem related to increased invasiveness, as well as a theoretical problem related to possible effects of the holes upon structural rigidity of the instrumented bone. On the other hand, principal compressive and tensile strain as well as engineering shear strain can be conveniently calculated with this set up.
Compared to strain gauges glued directly onto the bone, the application of bone staples resolves the bonding problem. Moreover, this technique requires less invasive surgery for the subjects because the periosteum is mostly left intact. However, gauge failure or damage due to the surgery occurred very often 10 .
Results from in vivo bone strain measurements in humans
Results from in vivo bone strain measurements in humans have been summarized in Table 1.
Bone strain induced by different activities
To date, most in vivo bone strain measurements focus on the human tibia. Pioneering work was done by Lanyon and co-workers as early as in 1975 8 . With a rosette strain gauge attached to the anteromedial aspect of tibia midshaft, tibia strains were recorded during walking on a treadmill and on the floor. The principal strain and strain angle relative to the tibia's long axis were calculated. The strain magnitude when walking was found to be approximately -430 με ('-': compression strain) during heel off to toe off, but up to 850 με ('+': tensile strain) when running during toe strike to toe off. As commented by D.B. Burr et al. 9 , that work demonstrated the general possibility of such strain recording in humans.
Almost 20 years later, after the development of a portable strain measurement system, Burr et al. performed the second in vivo human tibia strain measurement during vigorous activity 9 . Data from this investigation indicate that the greatest principal strains and engineering shear strain during most vigorous activities (jogging, sprinting, running, zigzag running) were significantly higher than those during walking. The greatest strain was engineering shear strain which occurred during zigzag uphill and downhill running (approximately 2000 με). For strain rate, the greatest compressive, tensile and engineering shear strain rate was recorded during sprinting on a level surface. By contrast, the strain rate during walking is much smaller than those of running (see also Table 1 and 2). Burr's study gave us the first comprehensive impression about the in vivo tibia strain in human during vigorous activities.
Table 1. Overview of in vivo bone strain (tibia, metatarsal and radius) results in humans.
Table 2. Overview of in vivo bone strain studies in humans.
Table 2. (cont.)
Table 2. (cont.)
Table 2. (cont.)
N: number of the subject; t: time period of the study; SG: strain gauges; CS: compression strain; TS: tension strain; SS: shear strain; CSR: compressive strain rate; TSR: tension strain rate; SSR: shear strain rate;
Moreover, the principal compressive, tension and engineering shear strain, compressive strain rate and shear strain rate in the tibia during running on a cinder track were found to be significantly higher than those during walking, which was seen as baseline due to its minimal bone remodeling 11 . Surprisingly, during running, the principal strains are comparable to those during high impact exercise (drop jump), and the strain rate seems to be even higher in running than during the drop jump exercises 10 . All of the above running data were based on running on cinder track. Much lower axial principal strains and strain rates were reported in literature during treadmill running 31 .
However, compared to running, walking, vertical jump and hopping, higher principal strains and strain rates in the tibia were found during other kinds of high impact exercises, such as zig-zag hopping 12 , and even more so during basketball rebounding, where the greatest values of principal compression, tension and shear strain during rebounding were about 2 to 7 times greater than those during walking. The strain rates were approximately 2 to 5 times higher than during walking 30 .
As mentioned in the 'methodology' section, three methods were adopted in the previous studies in tibia strain recording: strain gauges directly bonded onto the tibia, the extensometer method and the approach with bone staples. With the extensometer method, the range of tibial strains observed during walking was approximately one third of the strains recorded with strain gauge directly bonded to the tibia 26 . The discrepancy between methods can arise in several ways. Firstly, the stability of the K-wire inside the tibia was not checked during the measurements. Second, there is a possibility of artefacts induced by K-wires bending during the measurements. On the other hand, the two approaches (directly bonded strain gauges and staples) yielded very similar results during walking. This suggests that the bone staple may be a quite efficient substitute for the method of direct bonding to bone surface under certain circumstances 9,32 .
Besides the tibia, the metatarsal is another common site of study. It is of specific interest because it is a common site for fatigue fractures. Few studies have recorded the human metatarsal strain during different locomotive activities. The results indicate that peak axial metatarsal compressive and tensile strains, as well as strain rate are significantly higher than those in the tibia during treadmill walking. Moreover, high strains seem to also occur when subjects are jogging barefoot (Table 2). During jumping on one and two legs, the tensile and compressive strains exceeded 3000 με 33 . These data may indicate that the metatarsals have a much higher fatigue fracture incidence than the tibia because of the greater strains that they are typically exposed to.
To the best of our knowledge, there is only one in vivo strain recording available in the human upper extremity, namely in the distal radial metaphysis. Ten different activities, mainly with upper extremity, were studied, including arm curl, chin up, fall forward from standing and kneeling, push up, wrist curl in extension and flexion with 2 kg weight. Results indicate that the largest radius tensile strain occurs during chin up. Conversely, there was no tensile strain in the radius observed dur- ing arm curl, fall or push up exercise. Among all those activities, falling and push up exercises resulted in the largest compressive strain, which amounted to up to -6000 με and -4300 με, respectively 34 .
External factors influencing bone strain and strain rate
As often advertised for running shoes, the soft soles or embedded air cells in shoes are supposed to absorb the impulse energy from the ground reaction force. To some extent, this point of view is supported by scientific literature. As previous studies have shown, the compression and engineering shear strains were significantly attenuated with heel air cell embedded in the shoe during walking (from ~900 to ~700 με and from ~1800 to ~1250 με, respectively). Shear strain rate also was significantly reduced by the heel air cell 32 . Similarly, results in another study suggested that soft orthoses have potential to lower the tibia tension and compressive strain rate during walking 35 .
Finally, one study has investigated the effects of ipsilateral and contralateral cane use upon tibia axial strains and strain rate. Interestingly, cane usage generally failed to reduce tibial strains, but decreases in strain rate were observed 26 .
From geometric evidence, close functional relationship between muscle function and bone anabolism exists 36 . Besides the ground reaction force, agonistic muscles also exert force on bone through tendons to realize the specific movement of human body. Accordingly, muscular contraction forces also seem to be a source of mechanical stimulation. Also, as the counterpart of agonistic muscles, antagonistic muscle can increase the loading on bone during 'ballistic' or 'open-loop' motor actions.
So far, only few data relate muscle activities to in vivo bone strain. Arndt et al. 37 reported the alteration of human second metatarsal (MTΠ) dorsal strain before and after M. flexor digtorum longus (FDL) fatigue. FDL contractions will induce dorsal tensile strains and reduce compressive deformation of MTΠ which is induced by ground reaction force and dorsiflexors during the stand phase. Part of this inference was tested in the study under discussion. Tensile strain of dorsal MTΠ surface was in close temporal relationship to activation of FDL. The peak activation of FDL occurred during the transition from MTΠ tensile strain to compressive strain during mid-stance phase. After the FDL muscle was fatigued the average peak compressive strain increased 42% and the peak tensile strain decreased 55% 37 . It seems, therefore, that the bone strain protecting capacity of FDL was attenuated after the muscle had been fatigued. Similarly, in another study, after whole body fatigue (2 km running and 30 km march), tibia strain during walking was measured. Compared to the initial conditions, the tensile strain increased and the compressive strain decreased following the run and the march, respectively (The quantitative data is shown in Table 2). The tensile and compressive strain rates also increased after fatigue (Peak gastrocnemius torque was measured in this study to assess muscle fatigue) 38 . Thus, muscular fatigue can be assumed to cause high bone strains and may therefore contribute to the development of stress fracture. In the study of Fyhrie et al., the tibia strains were assessed after the fatigue exercise. Results suggested that high strain rates were induced after fatigue in younger subjects which means that bone strain rate, in addition to strain magnitude might contribute more to the stress fracture 28 . Morever, a study by Milgrom et al. has also reported that tibia strain is significantly enhanced by fatigue, and that higher strains are to be recorded during vigorous physical activities in a fatigued state, which again underlines a possible causative role of muscle fatigue in the development of stress fracture 38 .
Risk evaluation (Pain and Infection)
Most in vivo studies have reported swelling and tenderness at the surgical site in some subjects. These complaints did generally recover well, so that subjects were able to return to their normal activities within few weeks, except for one or two exceptions who required longer recovery (less than a few months). Another problem which has to be considered seriously is the risk of infection, especially during the application of bone staples. In previous studies, bone staples were inserted into cortical bone to a depth of approximately 4 mm to avoid penetration of the cortex, thereby reducing the infection risk. Despite this, the risk is still one of the obvious problems in bone strain in vivo measurements.
What should be done in the future?
As discussed above, the few in vivo bone strain measurements that have been done in the past decade have greatly contributed to musculoskeletal science 8-12,22,26-35,37-38 . On the other hand, these studies have given us only an incomplete impression about in vivo bone strain, and they were mainly limited to the tibia and metatarsal. Accordingly, there are many open questions which we can not answer.
First, there are serious limitations imposed by the current methodological approach. As mentioned above, the goal must be to improve our understanding of bone strain within the human body, and to do so in a way that is less invasive and more accurate at the same time, to ideally reveal also 3-dimensional strain information. Of interest, accurate and less invasive approaches have been proposed, although no data from human in vivo application are available as yet. One such approach is based upon an optical technique for non-contact, 3dimensional deformation measurement, namely the digital image correlation (DIC). This has been employed to measure the strain distribution of animals' bone ex vivo. In this method, a high contrast speckle pattern (normally with painting or spraying) is applied onto the bone surface. The speckle pattern changes during loading are then optically tracked. Compared with strain gauges, this method is more informativ for anisotropic materials, such as bone. Although some in vivo bone strain recordings have been done in animals 39-40 , further improvements are needed to avoid exposing and painting bone surface for in vivo bone strain measurements in human. To overcome the limitations of invasiveness in the methods mentioned above, ultrasound wave assessment was introduced to measure bone deformation 41 . Again, no in vivo data are available as yet. Summarizing the above discussion, from the available methods so far, there are not too many choices to assess in vivo bone strains in the human body. With the exception of strain gauges and bone staples which have been used in previous in vivo studies, a few new methods are perceivable, none of which is easy to apply. However, these new methods could have the potential to give more strain information and thus may constitute a new step in the field of bone research.
Second, the strain pattern of bone in vivo is not clear during locomotive activities, even in tibia and metatarsal. Besides compressive and tensile strain, torsion and bending strain are very important composition of bone strain pattern as well, the latter one was even believed to be one of the key factors in bone fracture. However, with the available techniques, no reliable data can be obtained to understand bending and torsion strains.
Third, strain gauges, as frequently used in bone surface strain measurement in vivo and in vitro, do not provide global strain distribution and 3D component of strain. From literature, almost all the strain data are recorded in one or two sites of bone which can not represent that in other bone sites. In addition, the mechanical properties of cortical and trabecular bone are different, and previous data have shown that the bone periosteal and endocortical region have different responses to the non-invasive loading 42 . This implies that the strain gradient in the radial direction of long bone should not be ignored. How to measure the inner bone strain in vivo is still a big challenge. Future work could yield more information about strain distribution and 3D strain, which would certainly help to improve our understanding about the relationship between bone strain and bone modeling, remodeling process.
Fourth, according the theory of 'Wolff's law', bone will optimize its structure in response to the way it is loaded. Accordingly, the strain distribution might vary between subjects with different bone architecture. For example, with micro CT scanning and finite element analyses, Rietbergen and his co-workers have suggested that differences in strain magnitude and distribution may exist between osteoporotic and healthy femurs 43 . If in vivo bone strain data were available from different populations with healthy and unhealthy bones, in combination with information on their bone structure, there will be more evidence to evaluate 'Wolff' law' quantitatively.
Fifth, close functional relationships between the musculature and bone were observed in many studies 43-46 . Muscle has been proposed as a primary source of mechanical stimulation for bone metabolism. If this hypothesis is true, bone strain, as an indicator of mechanical stimulation in bone, should have strong relationship with muscle activities. However, muscle activities, especially in lower leg, are also linked to ground reaction force which is also recognized as one of the sources of bone deformation. So, how much bone strain is contributed by ground reaction force and muscle activities, respectively? Some in vivo study suggested that more than 70% of the forces in femur during gait were resulted from muscle forces, only
less than 30% derived from body weight 47 . However, there is no quantitative data available in tibia so far. Another question arising in this context is whether there are spatial and temporal relationships between muscle activities and bone strain patterns. The answer will be yes if the muscle forces do indeed play a decisive role in the loading of bone.
Conclusions
The pioneering works of Evans, Lanyon and other scientists mark the beginning of the in vivo bone strain research field, and extensive data have been recorded in animal studies since then. The unique data from these studies has helped to expand our understanding of the bone adaption to bone strain induced by muscle contraction and external force. However, the measurements in human body are limited by the invasiveness and complexity.
Due to the restriction of externally available specific zones of bone in vivo, strain measurements are limited to few locations only, for example the anteromedial aspect in the human tibia and dorsal surface in the metatarsal. According to these data, the strain magnitude in the tibia is within the range of 0-5000 με, and in some vigorous activities, such as jumping, basketball rebounding, the tibia strain magnitude can reach approximately 9000 με. Relative to strain magnitude, high rate strain is another potential stimuli factor to stimulate osteogenic responses. Depending on the specific kinds of exercise, bone strain rate is normally in the range of 1500-20000 με/s and could reach up to 58000 με/s during vigorous activities (Table 1).
Acknowledgements
We would like to thank Thomas Förster in the Institute of Biomechanics and Orthopaedics, German Sport University Cologne for numerous discussions about the application of strain gauges. Special thanks go to Alex Ireland for linguistic scrutiny. Pengfei Yang acknowledges his scholarship by the China Scholarship Council (CSC No.: 2009629013).
References
1. Suominen H. Muscle training for bone strength. Aging Clin Exp Res 2006;18(2):85-93.
2. Lang T, LeBlanc A, Evans H, Lu Y, Genant H, Yu A. Cortical and trabecular bone mineral loss from the spine and hip in long-duration spaceflight. J Bone Miner Res 2004;19(6):1006-12.
3. Forwood MR, Turner CH. Skeletal adaptations to mechanical usage: results from tibial loading studies in rats. Bone 1995;17(4 Suppl):197S-205S.
4. Duncan RL, Turner CH. Mechanotransduction and the functional response of bone to mechanical strain. Calcif Tissue Int 1995;57(5):344-58.
5. Mosley JR, Lanyon LE. Strain rate as a controlling influence on adaptive modeling in response to dynamic loading of the ulna in growing male rats. Bone 1998;23(4):313-8.
6. Turner CH, Owan I, Takano Y. Mechanotransduction in
bone: role of strain rate. Am J Physiol 1995;269(3Pt1): E438-42.
7. Rittweger J. Physiological targets of artificial gravity: adaptive processes in bone. In: Clement G, Bukley A, editors. Artificial Gravity. Berlin: Springer; 2007. p. 191-231.
8. Lanyon LE, Hampson WG, Goodship AE, Shah JS. Bone deformation recorded in vivo from strain gauges attached to the human tibial shaft. Acta Orthop Scand 1975; 46(2):256-68.
9. Burr DB, Milgrom C, Fyhrie D, Forwood M, Nyska M, Finestone A, Hoshaw S, Saiag E, Simkin A. In vivo measurement of human tibial strains during vigorous activity. Bone 1996;18(5):405-10.
10. Milgrom C, Finestone A, Levi Y, Simkin A, Ekenman I, Mendelson S, Millgram M, Nyska M, Benjuya N, Burr D. Do high impact exercises produce higher tibial strains than running? Br J Sports Med 2000;34(3):195-9.
11. Milgrom C, Finestone A, Simkin A, Ekenman I, Mendelson S, Millgram M, Nyska M, Larsson E, Burr D. In vivo strain measurements to evaluate the strengthening potential of exercises on the tibial bone. J Bone Joint Surg Br 2000;82-B(4):591-594.
12. Milgrom C, Miligram M, Simkin A, Burr D, Ekenman I, Finestone A. A home exercise program for tibial bone strengthening based on in vivo strain measurements. Am J Phys Med Rehabil 2001;80(6):433-8.
13. Biewener AA. Musculoskeletal design in relation to body size. J Biomech 1991;24(Suppl.1):19-29.
14. Biewener A, Taylor C. Bone strain: a determinant of gait and speed? J Exp Biol 1986;123(1):383-400.
15. Taylor D, O'Reilly P, Vallet L, Lee TC. The fatigue strength of compact bone in torsion. J Biomech 2003; 36(8):1103-9.
16. Caler WE, Carter DR, Harris WH. Techniques for implementing an in vivo bone strain gage system. Journal of biomechanics 1981;14(7):503, 507.
17. Vishay Micro-Measurements Technical Note TN-515. Strain gage rosettes: selection, application and data reuduction In: Measurements Group, Inc.; 2010.
18. Van Cochran GB. A method for direct recording of electromechanical data from skeletal bone in living animals. J Biomech 1974;7(6):563-5.
19. Cochran GV. Implantation of strain gages on bone in vivo. J Biomech 1972;5(1):119-23.
20. Wright TM, Hayes WC. Strain gage application on compact bone. Journal of biomechanics 1979;12(6):471-473, 475.
21. Hoshaw SJ, Fyhrie DP, Takano Y, Burr DB, Milgrom C. A method suitable for in vivo measurement of bone strain in humans. J Biomech 1997;30(5):521-4.
22. Milgrom C, Burr D, Fyhrie D, Forwood M, Finestone A, Nyska M, Giladi M, Liebergall M, Simkin A. The effect of shoe gear on human tibial strains recorded during dynamic loading: a pilot study. Foot Ankle Int 1996; 17(11):667-71.
23. Rubin C, Lanyon L. Limb mechanics as a function of speed and gait: a study of functional strains in the radius and tibia
of horse and dog. J Exp Biol 1982;101(1):187-211.
24. Vishay Micro-Measurements Technical Note TN-509. Error due to transverse sensitivity in strain gages. In: Measurements Group, Inc.; 2005.
25. Vishay Micro-Measurements Technical Note TN-514. Shunt calibration of strain gage instrumentation. In: Vishay Measurements Group, Inc.; 2007.
26. Mendelson S, Milgrom C, Finestone A, Lewis J, Ronen M, Burr D, Fyhrie D, Hoshaw S, Simkin A, Soudry M. Effect of cane use on tibial strain and strain rates. Am J Phys Med Rehabil 1998;77(4):333-8.
27. Milgrom C, Burr D, Fyhrie D, Hoshaw S, Finestone A, Nyska M, Davidson R, Mendelson S, Giladi M, Liebergall M, Lehnert B, Voloshin A, Simkin A. A comparison of the effect of shoes on human tibial axial strains recorded during dynamic loading. Foot Ankle Int 1998; 19(2):85-90.
28. Fyhrie DP, Milgrom C, Hoshaw SJ, Simkin A, Dar S, Drumb D, Burr DB. Effect of fatiguing exercise on longitudinal bone strain as related to stress fracture in humans. Ann Biomed Eng 1998;26(4):660-5.
29. Rolf C, Westblad P, Ekenman I, Lundberg A, Murphy N, Lamontagne M, Halvorsen K. An experimental in vivo method for analysis of local deformation on tibia, with simultaneous measures of ground reaction forces, lower extremity muscle activity and joint motion. Scand J Med Sci Sports 1997;7(3):144-51.
30. Milgrom C, Simkin A, Eldad A, Nyska M, Finestone A. Using bone's adaptation ability to lower the incidence of stress fractures. The American Journal of Sports Medicine 2000;28(2):245-251.
31. Milgrom C, Finestone A, Segev S, Olin C, Arndt T, Ekenman I. Are overground or treadmill runners more likely to sustain tibial stress fracture? Br J Sports Med 2003; 37(2):160-3.
32. Milgrom C, Finestone A, Ekenman I, Simkin A, Nyska M. The effect of shoe sole composition on in vivo tibial strains during walking. Foot Ankle Int 2001;22(7):598-602.
33. Milgrom C, Finestone A, Sharkey N, Hamel A, Mandes V, Burr D, Arndt A, Ekenman I. Metatarsal strains are sufficient to cause fatigue fracture during cyclic overloading. Foot Ankle Int 2002;23(3):230-5.
34. Foldhazy Z, Arndt A, Milgrom C, Finestone A, Ekenman I. Exercise-induced strain and strain rate in the distal radius. J Bone Joint Surg Br 2005;87(2):261-6.
35. Ekenman I, Milgrom C, Finestone A, Begin M, Olin C, Arndt T, Burr D. The role of biomechanical shoe orthoses
in tibial stress fracture prevention. Am J Sports Med 2002;30(6):866-70.
36. Fricke O, Beccard R, Semler O, Schoenau E. Analyses of muscular mass and function: the impact on bone mineral density and peak muscle mass. Pediatr Nephrol 2010;25(12):2393-400.
37. Arndt A, Ekenman I, Westblad P, Lundberg A. Effects of fatigue and load variation on metatarsal deformation measured in vivo during barefoot walking. Journal of biomechanics 2002;35(5):621-628.
38. Milgrom C, Radeva-Petrova DR, Finestone A, Nyska M, Mendelson S, Benjuya N, Simkin A, Burr D. The effect of muscle fatigue on in vivo tibial strains. J Biomech 2007;40(4):845-50.
39. Yang L, Zhang P, Liu S, Samala PR, Su M, Yokota H. Measurement of strain distributions in mouse femora with 3D-digital speckle pattern interferometry. Optics and Lasers in Engineering 2007;45(8):843-851.
40. Sztefek P, Vanleene M, Olsson R, Collinson R, Pitsillides AA, Shefelbine S. Using digital image correlation to determine bone surface strains during loading and after adaptation of the mouse tibia. Journal of biomechanics 2010;43(4):599-605.
41. Matsuyama J, Ohnishi I, Sakai R, Suzuki H, Harada A, Bessho M, Matsumoto T, Nakamura K. A new method for measurement of bone deformation by echo tracking. Med Eng Phys 2006;28(6):588-95.
42. LaMothe JM, Zernicke RF. The relation between loading rate, strain gradients, and bone adaptation. J Bone Joint Surg Br 2008;90-B(SUPP_I):78-c-.
43. Van Rietbergen B, Huiskes R, Eckstein F, Ruegsegger P. Trabecular bone tissue strains in the healthy and osteoporotic human femur. J Bone Miner Res 2003; 18(10):1781-8.
44. Manske SL, Boyd SK, Zernicke RF. Muscle and bone follow similar temporal patterns of recovery from muscleinduced disuse due to botulinum toxin injection. Bone 2010;46(1):24-31.
45. Rittweger J, Felsenberg D. Recovery of muscle atrophy and bone loss from 90 days bed rest: results from a oneyear follow-up. Bone 2009;44(2):214-24.
46. Fricke O, Beccard R, Semler O, Schoenau E. Analyses of muscular mass and function: the impact on bone mineral density and peak muscle mass. Pediatr Nephrol 2010.
47. Lu TW, Taylor SJ, O'Connor JJ, Walker PS. Influence of muscle activity on the forces in the femur: an in vivo study. J Biomech 1997;30(11-12):1101-6.
|
Safety Data Sheet according to 1907/2006/EC, Article 31
Revision: 06.08.2007
1 Identification of the substance/preparation and of the company/undertaking
* Product details
* Trade name:
SV 11 Screen Cleaner
SV 11 E Screen Cleaner (Emulsifiable version)
* Application of the substance / the preparation Screen ink cleaning solvent
* Supplier:
Hammond Chemicals Limited
Canal Street
Brierly Hill
West Midlands
DY5 1JR
Tel.: 01384 480600
Fax.: 01384 480680
email: email@example.com
* Further information obtainable from: Contact us at the above office.
* Information in case of emergency:
Contact us as above
2 Hazards identification
* Hazard description:
Xn Harmful
N Dangerous for the environment
* Information concerning particular hazards for human and environment:
The product has to be labelled due to the calculation procedure of the "General Classification guideline for preparations of the EU" in the latest valid version.
Vapours of the product are heavier than air and may accumulate on the ground, in the sump of pits, drains or cellars with higher concentrations. Ground level ventilation is recommended.
R 10 Flammable.
R 20 Harmful by inhalation.
R 36/37/38 Irritating to eyes, respiratory system and skin.
R 51/53 Toxic to aquatic organisms, may cause long-term adverse effects in the aquatic environment.
R 65
Harmful: may cause lung damage if swallowed.
* Classification system:
The classification is according to the latest editions of the EU-lists, and extended by company and literature data.
3 Composition/information on ingredients
* Chemical characterization
* Description: Mixture of substances listed below with nonhazardous additions.
* Dangerous components:
| CAS: 64742-95-6 EINECS: 265-199-0 | Solvent naphtha (petroleum), light arom. Carc. Cat. 2; Xn; R 10-65 | 25-50% |
|---|---|---|
| CAS: 95-63-6 EINECS: 202-436-9 | 1,2,4-trimethylbenzene Xn, Xi, N; R 10-20-36/37/38-51/53 | 10-25% |
| CAS: 107-98-2 EINECS: 203-539-1 | 1-methoxy-2-propanol R 10 | 10-25% |
| CAS: 108-67-8 EINECS: 203-604-4 | mesitylene Xi, N; R 10-37-51/53 | ≤ 10% |
| CAS: 108-94-1 EINECS: 203-631-1 | cyclohexanone Xn; R 10-20 | ≤ 10% |
Safety Data Sheet according to 1907/2006/EC, Article 31
Printing date 06.08.2007
Revision: 06.08.2007
Trade name: SV 11 Screen Cleaner
SV 11 E Screen Cleaner (Emulsifiable version)
| CAS: 1330-20-7 EINECS: 215-535-7 | xylene Xn, Xi; R 10-20/21-38 | ≤ 10% |
|---|---|---|
| CAS: 98-82-8 EINECS: 202-704-5 | cumene Xn, Xi, N; R 10-37-51/53-65 | ≤ 10% |
4 First aid measures
* General information:
Symptoms of poisoning may even occur after several hours; therefore medical observation for at least 48 hours after the accident.
* After inhalation:
Supply fresh air. If required, provide artificial respiration. Keep patient warm. Consult doctor if symptoms persist.
In case of unconsciousness place patient stably in side position for transportation.
Seek immediate medical advice.
* After skin contact:
Immediately wash with water and soap and rinse thoroughly.
Repeated skin contact may result in irritation and dermatitis. Always wear protective gloves suitable for this product.
* After eye contact: Rinse opened eye for several minutes under running water. Then consult a doctor.
* After swallowing: Do not induce vomiting; rinse mouth with water, call for medical help immediately.
* Information for doctor: Risk of lung aspiration due to low viscosity of product.(R65)
* The following symptoms may occur:
Headache
Dizziness
Nausea
5 Fire-fighting measures
* Suitable extinguishing agents:
CO2, powder or water spray. Fight larger fires with aqueous film forming foam (AFFF). Cool containers with water spray.
CO2, sand, extinguishing powder. Do not use water.
* For safety reasons unsuitable extinguishing agents: Water with full jet
* Protective equipment:
Respiratory protective device.
Wear self-contained respiratory protective device.
6 Accidental release measures
* Person-related safety precautions:
Wear protective equipment. Keep unprotected persons away.
Ensure adequate ventilation
Keep away from ignition sources.
Wear protective clothing.
* Measures for environmental protection:
Inform respective authorities in case of seepage into water course or sewage system.
Do not allow to enter sewers/ surface or ground water.
* Measures for cleaning/collecting:
Absorb with liquid-binding material (sand, diatomite, acid binders, universal binders, sawdust).
Dispose contaminated material as waste according to item 13.
Ensure adequate ventilation.
Do not flush with water or aqueous cleansing agents
Send for recovery or disposal in suitable receptacles.
(Contd. on page 3)
GB
Safety Data Sheet according to 1907/2006/EC, Article 31
Printing date 06.08.2007
Trade name: SV 11 Screen Cleaner
SV 11 E Screen Cleaner (Emulsifiable version)
(Contd. of page 2)
Blanket spillage with AFFF Foam Spray to seal from sources of ignition as a precautionary measure.
7 Handling and storage
* Handling:
* Information for safe handling:
Store in cool, dry place in tightly closed receptacles.
Ensure good ventilation/exhaustion at the workplace.
Open and handle receptacle with care.
Prevent formation of aerosols.
Take note of emission threshold.
Use only in well ventilated areas.
Ensure good interior ventilation, especially at floor level. (Fumes are heavier than air).
* Information about fire - and explosion protection:
Keep ignition sources away - Do not smoke.
Protect against electrostatic charges.
Keep respiratory protective device available.
Do not spray onto a naked flame or any incandescent material.
Emergency cooling must be available in case of nearby fire.
Flammable gas-air mixtures may form in empty receptacles.
Wear shoes with conductive soles.
* Storage:
* Requirements to be met by storerooms and receptacles:
Store in a cool location.
Provide solvent resistant, sealed floor.
Prevent any seepage into the ground.
Provide ventilation for receptacles.
Use only receptacles specifically permitted for this substance/product.
Unsuitable material for receptacle: aluminium.
Store in area marked with EX signs under Dangerous Substances and Explosive Atmosphere Regs.
Follow HSE guidance for storage of flammable substances.
Flameproof/explosion proof electrical equipment must be used (ATEX Regulations)
Only store in suitable bunded storage areas. Do not store plastic IBC's with metal drums of other flammable substances.
* Information about storage in one common storage facility:
Do not store together with alkalis (caustic solutions).
Store away from oxidizing agents.
* Further information about storage conditions:
Keep container tightly sealed.
Store receptacle in a well ventilated area.
You are recommended to refer to HSE publications HSG51 - The Storage of Flammable Liquids in Containers; and HSG140 - The Safe Use and Handling of Flammable Liquids, for more detailed understanding of the practices to be adhered to.
Plastic IBC's risk sudden and total loss of product in event of fire. Ensure bunded areas are adequate. Do not store plastic IBC's with other packaged flammable goods.
8 Exposure controls/personal protection
* Additional information about design of technical facilities: No further data; see item 7.
* Ingredients with limit values that require monitoring at the workplace:
95-63-6 1,2,4-trimethylbenzene
WEL Long-term value: 125 mg/m³, 25 ppm
107-98-2 1-methoxy-2-propanol
WEL Short-term value: 560 mg/m³, 150 ppm
Long-term value: 375 mg/m³, 100 ppm
Revision: 06.08.2007
Safety Data Sheet
according to 1907/2006/EC, Article 31
Printing date 06.08.2007
Revision: 06.08.2007
Trade name: SV 11 Screen Cleaner
SV 11 E Screen Cleaner (Emulsifiable version)
| 108-67-8 mesitylene | |
|---|---|
| WEL | Long-term value: 125 mg/m³, 25 ppm |
| 108-94-1 cyclohexanone | |
| WEL | Short-term value: 20 ppm Long-term value: 10 ppm |
| 1330-20-7 xylene | |
| WEL | Short-term value: 441 mg/m³, 100 ppm Long-term value: 220 mg/m³, 50 ppm |
| 98-82-8 cumene | |
| WEL | Short-term value: 250 mg/m³, 50 ppm Long-term value: 125 mg/m³, 25 ppm |
* Additional information: The lists valid during the making were used as basis.
* Personal protective equipment:
* General protective and hygienic measures:
Keep away from foodstuffs, beverages and feed.
Immediately remove all soiled and contaminated clothing
Wash hands before breaks and at the end of work.
Store protective clothing separately.
Avoid contact with the eyes and skin.
Avoid alcohol consumption while working with the product.
* Respiratory protection:
In case of brief exposure or low pollution use respiratory filter device. In case of intensive or longer exposure use self-contained respiratory protective device.
*Protection of hands:
Protective gloves
The glove material has to be impermeable and resistant to the product/ the substance/ the preparation. Due to missing tests no recommendation to the glove material can be given for the product/ the preparation/ the chemical mixture.
Selection of the glove material on consideration of the penetration times, rates of diffusion and the degradation
* Material of gloves
The selection of the suitable gloves does not only depend on the material, but also on further marks of quality and varies from manufacturer to manufacturer. As the product is a preparation of several substances, the resistance of the glove material can not be calculated in advance and has therefore to be checked prior to the application.
* Penetration time of glove material
The exact break trough time has to be found out by the manufacturer of the protective gloves and has to be observed.
* Eye protection:
Tightly sealed goggles
*Body protection: Protective work clothing
9 Physical and chemical properties
* General Information
Form:
Liquid
Colour:
Colourless
(Contd. on page 5)
Safety Data Sheet according to 1907/2006/EC, Article 31
Printing date 06.08.2007
Revision: 06.08.2007
Trade name: SV 11 Screen Cleaner
SV 11 E Screen Cleaner (Emulsifiable version)
10 Stability and reactivity
* Thermal decomposition / conditions to be avoided: No decomposition if used according to specifications.
* Materials to be avoided: Acids, strong oxidising agents, strong alkalis.
* Dangerous reactions No dangerous reactions known.
* Dangerous decomposition products: Carbon monoxide if incomplete combustion.
* Primary irritant effect:
* on the skin: Irritant to skin and mucous membranes.
* on the eye:
Irritating effect.
* Sensitization: No sensitizing effects known.
| · LD/LC50 values relevant for classification: | | |
|---|---|---|
| 64742-95-6 Solvent naphtha (petroleum), light arom. | | |
| Oral Dermal Inhalative | LD50 LD50 LC50/4 h | >6800 mg/kg (rat) >3400 mg/kg (rab) >10.2 mg/l (rat) |
| 95-63-6 1,2,4-trimethylbenzene | | |
| Oral | LD50 | 5000 mg/kg (rat) |
| 98-82-8 cumene | | |
GB
Safety Data Sheet
according to 1907/2006/EC, Article 31
Printing date 06.08.2007
Trade name: SV 11 Screen Cleaner
SV 11 E Screen Cleaner (Emulsifiable version)
Revision: 06.08.2007
(Contd. of page 5)
* Additional toxicological information:
The product shows the following dangers according to the calculation method of the General EU Classification Guidelines for Preparations as issued in the latest version:
Harmful
Irritant
12 Ecological information
* Ecotoxical effects:
* Remark: Toxic for fish
* General notes:
Water hazard class 2 (German Regulation) (Self-assessment): hazardous for water
Do not allow product to reach ground water, water course or sewage system.
Danger to drinking water if even small quantities leak into the ground.
Also poisonous for fish and plankton in water bodies.
Toxic for aquatic organisms
13 Disposal considerations
* Product:
* Recommendation
Must not be disposed together with household refuse. Do not allow product to reach sewage system.
* Uncleaned packaging:
* Recommendation:
Disposal must be made according to official regulations. Refer to Hazardous Waste Regulations 2005. Requires movement under Consignment note by licensed waste carrier. We can provide this service - please contact us for more details.
14 Transport information
* Land transport ADR/RID (cross-border)
* Maritime transport IMDG:
* ADR/RID class:
3 Flammable liquids.
* Danger code (Kemler):
30
* UN-Number:
1993
* Packaging group:
III
* Hazard label: 3
* Description of goods:
1993 FLAMMABLE LIQUID, N.O.S. (1-METHOXY-2-PROPANOL, Solvent naphtha (petroleum), light arom.), special provision 640E
* IMDG Class:
3
* UN Number:
1993
* Label
3
* Packaging group:
III
* EMS Number:
F-E,S-E
(Contd. on page 7)
GB
Safety Data Sheet
according to 1907/2006/EC, Article 31
Printing date 06.08.2007
Trade name: SV 11 Screen Cleaner
SV 11 E Screen Cleaner (Emulsifiable version)
Revision: 06.08.2007
(Contd. of page 6)
* Marine pollutant:
No
* Proper shipping name: FLAMMABLE LIQUID, N.O.S. (1-METHOXY-2-PROPANOL, Solvent naphtha (petroleum), light arom.)
* Air transport ICAO-TI and IATA-DGR:
* ICAO/IATA Class:
3
*UN/ID Number: 1993
* Label
3
* Packaging group:
III
* Proper shipping name:
FLAMMABLE LIQUID, N.O.S. (1-METHOXY-2-PROPANOL, Solvent naphtha (petroleum), light arom.)
15 Regulatory information
* Labelling according to EU guidelines:
The product has been classified and marked in accordance with EU Directives / Ordinance on Hazardous Materials.
* Code letter and hazard designation of product:
Xn Harmful
N Dangerous for the environment
* Hazard-determining components of labelling:
Solvent naphtha (petroleum), light arom.
* Risk phrases:
10 Flammable.
20 Harmful by inhalation.
36/37/38 Irritating to eyes, respiratory system and skin.
51/53 Toxic to aquatic organisms, may cause long-term adverse effects in the aquatic environment.
65 Harmful: may cause lung damage if swallowed.
* Safety phrases:
9 Keep container in a well-ventilated place.
16 Keep away from sources of ignition - No smoking.
20 When using do not eat or drink.
45 In case of accident or if you feel unwell, seek medical advice immediately (show the label where possible).
53 Avoid exposure - obtain special instructions before use.
57 Use appropriate container to avoid environmental contamination.
16 Other information
This information is based on our present knowledge. However, this shall not constitute a guarantee for any specific product features and shall not establish a legally valid contractual relationship.
* Relevant R-phrases
The 'R' phrase listed below are for reference only and do not form the R phrases for the labelling or classification of the product. Refer to section 3 for this information.
10 Flammable.
20 Harmful by inhalation.
20/21 Harmful by inhalation and in contact with skin.
36/37/38 Irritating to eyes, respiratory system and skin.
37 Irritating to respiratory system.
38 Irritating to skin.
51/53 Toxic to aquatic organisms, may cause long-term adverse effects in the aquatic environment.
(Contd. on page 8)
Safety Data Sheet
according to 1907/2006/EC, Article 31
Printing date 06.08.2007
Trade name: SV 11 Screen Cleaner
SV 11 E Screen Cleaner (Emulsifiable version)
65 Harmful: may cause lung damage if swallowed.
* Training hints
Make users aware of the contents of this document and train according to use and risks within your operation.
* Department issuing MSDS: Product safety department.
* Contact: Sales Office in the first instance.
Revision: 06.08.2007
(Contd. of page 7)
GB
|
Tow Truck and Other Legislation Amendment Bill 2018
Explanatory Notes
Short title
The short title of the Bill is the Tow Truck and Other Legislation Amendment Bill 2018.
Policy objectives and the reasons for them
Private property towing
The Tow Truck Act 1973 (TT Act) and Tow Truck Regulation 2009 (TT Regulation) regulate the towing industry in Queensland. However, this regulatory framework applies only to towing vehicles from crash scenes and off-street regulated parking areas, and only in prescribed regulated areas in South East Queensland and along the east coast. All other forms of towing, including breakdown towing, trade towing, compliance towing, and removing vehicles from private property are not covered by the regulatory framework.
The Department of Transport and Main Roads (TMR) has periodically received complaints about the removal of vehicles from private property parking areas (hereafter referred to as private property towing). However, issues regarding this form of towing escalated in the first half of 2017. In response to rising community concerns, the Queensland Government commissioned an independent investigation into the tow truck and vehicle removal industry. The independent investigation culminated in a report titled Independent Investigation into the Towing Industry: Removal of Vehicles from Private Property.
The report acknowledged the divergent and often competing interests of stakeholders including motorists, property occupiers, and the towing industry. In particular, the report recognised:
* some property occupiers find unauthorised parking by motorists frustrating and detrimental to the rightful use of their parking spaces, with removal of the vehicles being viewed as a necessary self-help remedy to protect their interests; and
* limited parking availability can be frustrating for motorists, with many acknowledging their fault in parking contrary to signage but still believing that having their vehicle towed away is unethical, opportunistic and disproportionate to the parking transgression;
* towing operators regard private property towing as a legitimate practice to help enforce occupier's rights, but also acknowledge some in the industry may employ questionable business practices.
The report also examined the complex legal environment in which private property towing operates.
The report made 22 recommendations for reform to address issues regarding private property towing and raised a further eight matters for consideration about broader issues in the tow truck legislation. In 2017, the Queensland Government accepted all of the report's recommendations and matters for consideration and this Bill gives effect to the recommendations requiring legislative amendments.
Youth driving offences
A person may be eligible for a P1 provisional licence, which allows them to drive unsupervised, at 17 years of age.
Transport legislation prescribes a range of offences for drivers who fail to comply with driver licensing requirements or who contravene the road rules. Penalties for these offences include periods of driver licence disqualification, fines and demerit points. More serious driving offences, such as drink and drug driving and dangerous driving, incur mandatory disqualification periods. However, under the Youth Justice Act 1992 (YJ Act) a child who is found guilty of a driving offence only receives a mandatory disqualification if a conviction is recorded on their criminal record. If no conviction is recorded, the presiding Magistrate or judge has a discretion as to whether to impose a disqualification period.
In addition, the State Penalties Enforcement Act 1999 (SPE Act) does not apply to children, other than to allow a child to pay a fine should they choose to. An unpaid penalty infringement notice issued to a child cannot be referred to the State Penalties Enforcement Registry (SPER), and enforcement orders, fine collection notices and warrants cannot be issued to enforce the payment of a fine.
Demerit points are accumulated when a person pays a fine, SPER makes an enforcement order or the person is found guilty by a court. The restriction prohibiting the referral and enforcement by SPER of unpaid penalty infringement notices for children therefore affects the allocation of demerit points against young drivers' traffic histories.
The commencement of the Youth Justice and Other Legislation (Inclusion of 17-year-old Persons) Amendment Act 2016, on 12 February 2018, raised the age of a child within the youth justice system to include 17-year-olds. This change excludes 17-year-olds from mandatory disqualifications for serious offences and from the SPER regime to recover unpaid fines and the demerit point system if they do not pay the fine for a demerit point offence.
To ensure young drivers aged 17 years continue to be accountable for their driving behaviour, the Bill contains amendments to the YJ Act and SPE Act. The amendments will ensure 17year-olds remain subject to mandatory disqualification periods for serious driving offences, liable to enforcement action by SPER for unpaid penalty infringement notices for demerit point offences, and subject to the demerit point scheme.
Existing SPER debts
The Bill contains amendments to the SPE Act to support the ongoing management of debts belonging to 17 year olds which were registered with SPER for enforcement when the Youth Justice and Other Legislation (Inclusion of 17-year-old Persons) Amendment Act 2016 commenced. These amendments will enable SPER to continue to enforce any debts owed by 17-year-olds that were registered with SPER prior to that commencement.
Tolling demand notices
The tolling compliance process operates under a legislated framework in the Transport Infrastructure Act 1994 (TI Act). Under this framework when a toll is unpaid, the toll road operator issues a toll invoice to the registered operator of the vehicle. The toll invoice includes unpaid tolls incurred over a set number of days, an image processing fee per unpaid toll, and one casual user invoice fee for issuing the invoice.
If the toll invoice remains unpaid, the toll road operator previously issued an individual demand notice for each unpaid toll, each attracting an administration charge. Consequently, there can be a significant escalation in the amount payable to the toll road operator if multiple tolls remain unpaid after the issue of a toll invoice and multiple demand notices are issued each attracting an administration charge.
Amendments to the TI Act are required to provide a clear statutory basis for aggregating unpaid tolls (and associated image processing fees) on demand notices, putting beyond doubt a toll road operator's ability to issue a single demand notice for multiple unpaid tolls with only one administration charge.
Achievement of policy objectives
Private property towing
The Bill achieves the policy objectives by amending the TT Act and TT Regulation to address issues regarding private property towing by:
* increasing the penalties for operating an unlicensed tow truck and operating, or being employed in connection with, a tow truck without a driver or assistant certificate;
* requiring that private property towing may only be performed in regulated areas by drivers and assistants who have the necessary certificates and are using licensed tow trucks;
* requiring towing operators to have towing consent evidencing an arrangement with the occupier to remove vehicles from the property;
* imposing conduct requirements on tow truck licensees, drivers and assistants including prohibiting intimidating, abusive or insulting behaviour, and requiring reasonable steps be taken to locate the motorist before loading a vehicle onto the tow truck;
* requiring towing operators to notify the police commissioner as soon as practicable after removing a vehicle from private property;
* providing that vehicles removed from private property may only be taken by the most direct route to the licence holder's nearest holding yard;
* prohibiting the charging of call-out fees and charges for separate activities incidental to the towing service such as administration fees;
* setting maximum towing charges for a standard private property tow ($250), the on-site release of a vehicle ($150) and storing a vehicle ($25);
* safeguarding motorists' privacy by restricting the disclosure of information about the removal of a vehicle from private property and expressly protecting personal information about a vehicle's owner, driver or other party connected to a regulated towing service;
* removing the legislative requirement for when an application for a licence or certificate renewal must be made;
* allowing tow truck licences to be issued for a period of one to five years with scaled fees for both licences and driver and assistant certificates depending on the length of the term;
* increasing the maximum penalty that may be imposed under the TT Regulation from 20 penalty units to 80 penalty units; and
* clarifying that a person's entire criminal history, including any charge for an offence that has not been dealt with by a court or withdrawn or otherwise discontinued, may be considered when determining whether to grant a licence or certificate and whether a person is an appropriate person to continue to hold a licence or certificate.
Importantly, it is not intended that these amendments apply where the vehicle owner has expressly directed or requested the vehicle be towed. Nor will these amendments apply in circumstances where other legislation authorises the removal of the vehicle from private property. For example, where a police officer has authority under the Transport Operations (Road Use Management) Act 1995 (TORUM Act) or another Act to direct the removal of a vehicle, or where legislation relating to recovery of security interests in the vehicle applies. In these circumstances, the tow truck licence holder would not be required to have a towing consent evidencing an arrangement with the occupier.
Youth driving offences
The Bill achieves the objectives relating to youth driving offences by reinstating the penalty and enforcement regime applicable to driving offences by 17-year-olds that existed prior to 12 February 2018, including mandatory driver licence disqualification for serious driving offences and enforcement by SPER of unpaid infringement notices for demerit point offences. This ensures that demerit points can continue to be recorded on 17-year-olds' traffic histories where an infringement notice is not paid.
Existing SPER debts
Provisions in the Bill will achieve the policy objective of enabling the continued enforcement of any debts for 17-year-olds already registered with SPER at the time of their transfer to the youth justice system.
Tolling demand notices
The Bill achieves the policy objectives by providing a clear statutory basis for demand notice aggregation, thereby putting beyond doubt a toll road operator's ability to issue a single demand notice for multiple unpaid tolls (and associated image processing fees) with only one administration charge. This will streamline the toll road operator's processes and reduce administration charges for motorists while maintaining the integrity of enforcement procedures.
Alternative ways of achieving policy objectives
The approach outlined in the Bill regarding private property towing reflects the recommendations of the Independent Investigation into the Towing Industry: Removal of Vehicles from Private Property. Regulation supported by appropriate education of stakeholders is considered the most efficient and effective way of achieving the policy objectives.
There are no alternative ways of achieving the policy objectives relating to youth driving offences and tolling demand notices.
Estimated cost for government implementation
The cost of implementing the proposed reforms will be minimal and will be met from existing budget allocations.
Consistency with fundamental legislative principles
The Bill is generally consistent with fundamental legislative principles. Clauses in the Bill which potentially raise fundamental legislative principles issues are discussed below.
New offences and increased penalties for towing
The Bill introduces new offences with new penalties and increases a number of existing penalties. These amendments may raise fundamental legislative principle issues relating to the rights and liberties of individuals (section 4(2)(a) Legislative Standards Act 1992).
Tow truck operators, drivers and assistants provide services to the community, sometimes when the community member is quite vulnerable or distressed, such as when their vehicle has been involved in a crash. Additionally, the community concern raised during the independent investigation about private property towing illustrates the need for increased regulation regarding private property towing services.
The proposed penalty regime is designed to encourage compliance with the new and existing requirements of the tow truck scheme by ensuring the penalties exceed the benefit to the person if they operate outside the new laws.
The most significant penalty increases are those for operating an unlicensed tow truck or performing towing services without the relevant driver's and assistant's certificate. Previously, under section 40(3) of the TT Act, providing damaged or seized vehicle towing in regulated areas when the tow truck was not licensed or the driver or assistant did not have a certificate carried a maximum penalty of 40 penalty units and an infringement notice fine of 2 penalty units. Under the proposed amendments in this Bill, the maximum penalty for undertaking regulated towing services without a licence will be 160 penalty units with infringement notice fine of 12 penalty units. Similarly the maximum penalty for undertaking regulated towing services without a driver's or assistant's certificate will be increased to 80 penalty units and the infringement notice fine increased to 6 penalty units.
The proposal to introduce new offences in relation to private property towing is designed to ensure vehicles and persons are appropriate for the task, the conduct of persons involved and administration around the towing is efficient, professional and sufficient to protect motorists' property and personal information.
The amendment to section 43(2)(u) to allow the maximum penalty in the TT Regulation to be 80 penalty units is proportionate to the other amendments to the new penalty regime. It is noted that this Bill does not impose 80 penalty unit penalties for any regulation offence, but the capacity to do so in the future is necessary to ensure government can respond appropriately and in a timely manner to protect consumers.
Ultimately, the proposed penalties are considered proportionate to the seriousness of the offences and are considered necessary to encourage compliance, maintain the integrity of the scheme and protect consumers.
Amendment to definition of criminal history
Clause 22 amends the definition of criminal history to be applied when assessing the appropriateness of applicants for, and holders of, tow truck licences and driver's and assistant's certificates. This amendment may raise fundamental legislative principle issues relating to the rights and liberties of individuals (section 4(2)(a) Legislative Standards Act 1992).
The proposed amendment clarifies that the chief executive may consider a person's entire criminal history when assessing whether they are an appropriate person to be granted, or to hold, a licence or driver's or assistant's certificate. The operation of the Criminal Law (Rehabilitation of Offenders) Act 1986 currently allows consideration of the entire criminal history, however the provisions in the TT Act and TT Regulation in relation to the application of rehabilitation periods may create ambiguity. The proposed amendment seeks to clarify the position.
The proposed amended definition of criminal history will also slightly extend the charges that may be considered by the chief executive when assessing whether a person is an appropriate person to be granted, or to hold, a licence or driver's or assistant's certificate. The chief executive may currently consider any charges for offences under the Criminal Code, the Drugs Misuse Act 1986, section 790 of the Police Powers and Responsibilities Act 2000 and the Weapons Act 1990. The amendment will extend this to any charges including, for example, charges under the Summary Offences Act 2005 and the TORUM Act. However, the amendment will still not allow charges that have been withdrawn or otherwise discontinued to be considered as part of the person's criminal history.
The new definition is broadly consistent with the definition of criminal history that applies in the Transport Operations (Passenger Transport) Act 1994 and is applied when assessing applicants for passenger transport operator accreditation and driver authorisations. As mentioned above, towing services may occur in the context of people who are injured or distressed. The approach taken in the Bill is justified because it is important for the chief executive to be fully informed of matters that may impact on the appropriateness of a person providing services to protect consumers.
Powers of authorised officers
Clause 14 will introduce new powers of authorised officers for enforcement of offences under the tow truck scheme. These new powers may raise fundamental legislative issues because they confer powers of entry and search that may be exercised without warrant (see section 4(3)(e) Legislative Standards Act 1992).
The powers outlined in the Bill are necessary to ensure investigation of offences can be conducted efficiently without the need for a warrant. The powers are limited to either entry by consent, or entry to the business premises or holding yard of tow truck licence holders, and entry to premises where the officer reasonably believes a prescribed motor vehicle is located. Authorised officers under the TT Act are also authorised officers under the TORUM Act and the proposed powers are consistent with the powers officers have under that Act.
Evidentiary provisions
Clause 17 allows for the issue of certificates for certain evidential matters and allows courts to presume particular elements of an offence unless the defendant proves the contrary and may be seen as a reversal of the onus of proof (see section 4(3)(d) Legislative Standards Act 1992).
Allowing certificates to be issued for particular matters contained in departmental records is a common approach to ensuring efficient court processes as it removes the need to require witnesses to attend on matters of departmental record that are unlikely to be contested.
The presumptions of particular matters including that property was "private property" and a person was an "occupier" are also necessary to ensure efficient court process. Underpinning the private property towing amendments is recognition of the rights of an occupier to remove a vehicle from their private property and this is reflected in the terminology in the Bill. However, these elements are matters the occupier or their agent (the tow truck operator) are in a better position to provide evidence of. As a result, the approach in the Bill is justified because the defendant is in the best position to establish these matters.
Power to regulate certain matters
Clause 17 allows a regulation to indicate the requirements in the Act will not apply to private property towing in regulated circumstances. This may raise fundamental legislative principles issues because it may be viewed as having insufficient regard to the institution of Parliament by authorising the amendment of an Act through a regulation (see section 4(4)(c) Legislative Standards Act 1992).
The proposed provisions are necessary to ensure the legislative scheme is implemented in a flexible and practical way to avoid imposing a burden on those who were not intended to be captured by the scheme. If a regulation were to be made under the proposed section, through the usual regulation making processes, it would still be subject to scrutiny and possible disallowance by Parliament.
Consultation
Community consultation was undertaken in relation to the towing industry reforms as part of the independent investigation. Information was gathered from the community through the tow truck hotline established by TMR to receive complaints and feedback on the towing industry. In addition, the investigation sought and received written submissions and held meetings with a range of stakeholders. The investigation considered 368 records of complaints and feedback received by the hotline, 41 written submissions, and feedback provided by a range of stakeholders during meetings. The consultation process included local governments, towing operators, private property owners and occupiers, motorists and community and industry representative organisations.
Community consultation was not undertaken in relation to the proposed amendments regarding youth driving offences as these are consequential amendments resulting from the Youth Justice and Other Legislation (Inclusion of 17-year-old Persons) Amendment Act 2016 and the amendments in this Bill will simply reinstate the previous legislative position.
Consultation was undertaken with Transurban Queensland and Brisbane City Council in relation to the proposed amendments for tolling demand notices with both parties supporting the proposal.
Previous Parliamentary Committee inquiry and report
On 22 August 2017, the Tow Truck and Other Legislation Amendment Bill 2017, which is substantially the same as the current Bill, was introduced into the Legislative Assembly and referred to the former Parliamentary Public Works and Utilities Committee for detailed consideration. On 6 September 2017, the Committee held a public briefing on the Bill. The Committee also invited public submissions from industry and the community and written submissions were received from RACQ Operations Pty Ltd, the Queensland Trucking Association, the Queensland Law Society, Transurban Limited and the Shopping Centre Council of Australia. A late submission was provided by Toll Redress on 25 September 2017.
On 4 October 2017, the Committee tabled its report into the 2017 Bill (Report No.49 of the 55th Parliament) in which it recommended that the Bill be passed with just one amendment to require toll road operators to issue one aggregated demand notice, with only one administration charge, for multiple deferred toll amounts accumulated over a number of days. The report contained a Statement of Reservation from the Member for Southport relating to the towing reforms.
Consistency with legislation of other jurisdictions
Private property towing
New South Wales requires all tow truck operators to be licensed and drivers accredited, including when providing private property towing services. Maximum base charges are imposed for accident towing and stolen vehicle recovery towing. As at February 2018, the charges, exclusive of GST, are $238 and $157 respectively. Storage charges are set at $23 per day in metropolitan areas and $14 per day in non-metropolitan areas. These charges are the result of a review of towing industry fees undertaken by the New South Wales Independent Pricing and Regulatory Tribunal. New South Wales also provides a comprehensive list of additional charges that may not be imposed.
South Australia regulates all towing services in the greater Adelaide metropolitan area requiring tow trucks to be approved and drivers to be accredited. Charges for crash towing in South Australia are set at a maximum base charge of $345 during business hours and $402 outside of business hours. Maximum storage charges are $15 per day (if the vehicle is uncovered) and $25 if the vehicle is stored under cover.
In Victoria, where an occupier has entered into an agreement for the local government to control their parking area, the tow truck used to remove the vehicle must be licensed and the towing operator and driver accredited. Maximum base charges for crash towing in Victoria are $216.20 during business hours and $290 outside of business hours. Storage charges when vehicles are uncovered are $11.16 and covered $16.58.
Youth driving offences
In New South Wales, Western Australia and Tasmania, mandatory driver licence disqualifications for children are imposed for driving offences. In Victoria, South Australia and the Northern Territory, the application of a disqualification is at the court's discretion.
Tolling demand notices
The offence with respect to unpaid tolls in Queensland differs to similar offence provisions in New South Wales and Victoria. It is an offence in New South Wales not to pay a toll in the time and manner specified by the toll road operator. In Victoria, it is an offence to pass through a toll point without having an arrangement to pay.
Notes on provisions
Part 1
Clause 1 states that this Act may be cited as the Tow Truck and Other Legislation Amendment Act 2018.
Clause 2 outlines the commencement arrangements for the provisions of the Bill. It provides that part 2 and divisions 2 and 3 of part 6 commence on a date fixed by proclamation. The remaining provisions of the Bill will commence on assent.
Part 2
Clause 3 states that part 2 amends the Tow Truck Act 1973 (TT Act).
Clause 4 inserts new section 4D providing for the meaning of a towing consent for towing vehicles from an occupier's private property.
Clause 5 amends section 5 of the TT Act to provide that a person must not operate a tow truck to tow prescribed motor vehicles in a regulated area unless the person holds a tow truck licence for the tow truck. Prescribed vehicles include damaged, seized and private property motor vehicles (as defined in the Bill in schedule 2 (Dictionary)). Regulated areas are listed in schedule 4 of the TT Regulation. The maximum penalty that may be imposed under section 5 has also been increased to 160 penalty units.
Clause 6 amends section 6 of the TT Act to omit a redundant reference to issuing in relation to a tow truck licence.
Clause 7 amends section 7 of the TT Act to provide for consistent wording in relation to granting tow truck licences.
Clause 8 replaces sections 8 and 9 of the TT Act to allow licences to be issued for a term of up to 5 years, and to remove the requirement that applications for the renewal of a licence must be made 2 weeks prior to expiration of the licence.
Clause 9 amends section 11 of the TT Act to provide that a permit issued pending determination of an application for a licence authorises the permit holder to tow motor vehicles in regulated areas.
Clause 10 amends section 12 of the TT Act to apply the existing licence conditions to private property motor vehicles, and introduce relevant new conditions. As with the current licence conditions in section 12, compliance with the conditions is enforceable under section 40 of the Act.
Clause 11 amends section 13 of the TT Act to provide that driver's and/or assistant's certificates or permits are required for activities involved in the towing of private property motor vehicles in regulated areas.
Clause 12 amends section 17A of the TT Act to remove the requirement that applications for renewal of a driver's or assistant's certificate may be made no sooner than 2 weeks prior to expiration of the certificate.
Clause 13 amends section 19 of the TT Act to provide that a permit issued pending determination of an application for a driver's or assistant's certificate authorises the permit holder to operate or be employed on, or in connection with the use of tow trucks in regulated areas.
Clause 14 inserts new part 4A in the TT Act outlining powers for authorised officers, including allowing officers to enter places and exercise powers to search, inspect, copy or take extracts from documents, and to require production of documents required to be kept under the Act (also see clause 16 regarding production of documents requirements).
Clause 15 inserts new sections 27A and 27B of the TT Act. New section 27A makes it an offence for a person to obtain or attempt to obtain a towing consent (as defined in schedule 2 (Dictionary)) if the person is not the holder of a tow truck licence. This offence supports the requirement that private property motor vehicles may only be towed by licensed tow trucks. New section 27B makes it an offence for an occupier of an unlicensed place (as defined in schedule 2 (Dictionary)) to keep a private property motor vehicle at that place. This offence reinforces the requirement that private property motor vehicles may only be towed to the nearest holding yard of the licence holder for the tow truck used to tow the vehicle.
Clause 16 amends section 35 to require a licence holder, driver or assistant performing private property towing to produce documents such as licences or certificates or towing consents if asked by an authorised officer.
Clause 17 replaces section 37 with new section 37 and 37A of the TT Act. New section 37 introduces evidentiary requirements necessary to ensure efficient prosecution of offences under the Act. New section 37A clarifies the application of the private property towing related provisions. In particular, this provision aims to ensure that rights and powers to tow or remove a private property motor vehicle that exist under other Queensland or Commonwealth legislation, or a local law, are not altered by the amendments in this Bill. For example, the amendments are not intended to interfere with the actions of a person with rights relating to security interests in a private property motor vehicle, or to alter the powers or actions of police officers to remove and detain vehicles under other legislation.
Clause 18 makes a minor amendment to section 38 of the TT Act to remove an obsolete reference to a chapter of the Police Powers and Responsibilities Act 2000 that no longer exists.
Clause 19 makes a consequential amendment to section 40 of the TT Act to ensure the new licence conditions under section 12 are enforceable in the same way as existing licence conditions. The maximum penalty that may be imposed for a contravention of a licence condition has also been increased to 50 penalty units.
Clause 20 amends the regulation-making powers in section 43 of the TT Act in relation to regulated areas, the type and amounts of charges that may be imposed, and the maximum penalty that may be imposed for an offence under a regulation.
Clause 21 provides for transitional arrangements for persons who at the time of commencement of the tow truck related amendments, have pending applications for the grant or renewal of a licence. The current provisions will continue to apply to those applications.
Clause 22 amends schedule 2 (Dictionary) in the TT Act to move some definitions from the TT Regulation to the TT Act, amend existing definitions and insert new definitions relevant to private property towing.
The definitions of conforming premises, holding yard and owner are moved, with minor amendments, from the TT Regulation to the TT Act. The definition of criminal history is amended to clarify that the provisions of the Criminal Law (Rehabilitation of Offenders) Act 1986 regarding rehabilitation periods and charges do not apply. Definitions are inserted for destination, found property, moveable property, occupier, prescribed motor vehicle, private property, private property motor vehicle, regulated area, towing consent, unlicensed place and valid to facilitate the regulation of private property towing. Also the definition of licence has a minor amendment.
Part 3
Clause 23 states that part 3 amends the State Penalties Enforcement Act 1999 (SPE Act).
Clause 24 amends section 5 of the SPE Act to provide that the Act applies to a child who is at least 17 years old in the same way it applies to an adult in relation to offences for which demerit points may be allocated against their traffic history under the TORUM Act. This will allow SPER to continue to issue enforcement orders against 17-year-olds for demerit point offences where an infringement notice issued for the offence remains unpaid.
Clause 25 inserts a transitional provision into the SPE Act to deal with unpaid fines and penalties that were registered with SPER at the time 17-year-olds transitioned out of the adult justice system. Specifically, the Bill will ensure that any debts for 17-year-olds already registered with SPER (including any fees and costs payable under the SPE Act) when 17-yearolds transitioned out of the adult system can continue to be enforced. The amendments in this clause will only affect 17-year-olds and will not impact on the treatment of infringement notices issued for offences allegedly committed by persons under 17.
Part 4
Clause 26 provides that part 4 amends the Transport Infrastructure Act 1994 (TI Act).
Clause 27 amends section 92 to insert a new definition of 'image processing fee' for part 7.
amends section 93 of the TI Act to clarify:
Clause 28
* a reference to an image processing fee includes a reference to a video matching fee, and
* an image processing fee is a user administration charge,
* the application of an administration charge.
Clause 29 amends section 97 of the TI Act to alter the definition of deferred toll amount to include the unpaid toll and image processing fee for the toll. The administration charge is removed from the definition to facilitate aggregation of deferred toll amounts on a single demand notice.
Clause 30 amends section 98 of the TI Act to establish that a motorist who uses a toll road who does not make an arrangement to pay in accordance with division 3 is liable for the unpaid toll, image processing fee for each unpaid toll and an administration charge.
Clause 31 replaces section 99 of the TI Act with new sections 99 and 99AA. New section 99 clarifies the requirement for a demand notice issued to the registered operator of the vehicle used on a state toll road to specify each of the one or more deferred toll amounts for which the notice is given. The section also specifies a notice must not require the registered operator of the vehicle using a state toll road to pay more than one administration charge. It is the responsibility of the registered operator to either:
* provide a statutory declaration to assist in the identification of the driver of the vehicle at the time the unpaid toll was incurred, and pay any deferred toll amounts not covered by the statutory declaration and a single administration charge.
* pay the deferred toll amounts and administration charge, or
The section also provides that payment of an administration charge under the notice satisfies the liability for an administration charge under section 98(1)(b) for each toll included in a deferred toll amount listed in the notice.
New section 99AA allows the toll road operator to combine deferred toll amounts for state toll roads and local government tollways on to one aggregated demand notice, with only one administration charge. The section also clarifies that the payment of the administration charge is taken to be payment under both new sections 99(4) and 105ZH(4).
Clause 32 amends section 99A of the TI Act to update a cross-reference.
Clause 33 replaces section 101 of the TI Act with new sections 101 and 101A. New section 101 clarifies the requirement for a demand notice issued to the person identified as the driver of the vehicle used on a state toll road to specify each of the one or more deferred toll amounts for which the notice is given. This section also specifies that a notice must not require the person identified as the driver of the vehicle using a state toll road to pay more than one administration charge. It is the responsibility of the person identified as the driver to either:
* pay the deferred toll amounts and administration charge, or
* provide a statutory declaration to assist in the identification of the driver of the vehicle at the time the unpaid toll was incurred, and pay any deferred toll amounts not covered by the statutory declaration and a single administration charge.
The section also provides that payment of an administration charge under the notice satisfies the liability for an administration charge under section 98(1)(b) for each toll included in a deferred toll amount listed in the notice.
New section 101A allows the toll road operator to combine deferred toll amounts for state toll roads and local government tollways on one aggregated demand notice, with only one administration charge. The section also clarifies that payment of the administration charge is taken to be payment under both new sections 101(4) and 105ZK(4).
Clause 34 amends section 105 of the TI Act to provide that an evidentiary certificate issued with respect to non-payment of an administration charge or user administration charge is evidence of each of those matters. This section makes consequential changes to update references.
Clause 35 amends section 105B of the TI Act to insert a definition of image processing fee for part 8.
Clause 36 amends section 105ZB of the TI Act to clarify:
* a reference to an image processing fee includes a reference to a video matching fee, and
* an image processing fee is a user administration charge
* the application of an administration charge.
Clause 37 amends section 105ZF of the TI Act to alter the definition of deferred toll amount to include the unpaid toll and image processing fee for the toll. The administration charge is removed from the definition to facilitate aggregation of deferred toll amounts on a single demand notice.
Clause 38 amends section 105ZG of the TI Act to establish that a motorist who uses a local government tollway who does not make an arrangement to pay in accordance with the subdivision is liable for the unpaid toll, image processing fee for each unpaid toll and an administration charge.
Clause 39 amends section 105ZH of the TI Act to clarify the requirement for a demand notice issued to the registered operator of the vehicle used on a local government tollway to specify each of the one or more deferred toll amounts for which the notice is given. This section also specifies that a notice must not require the registered operator of the vehicle using a local government tollway to pay more than one administration charge. It is the responsibility of the registered operator to either:
* provide a statutory declaration to assist in the identification of the driver of the vehicle at the time the unpaid toll was incurred, and pay any deferred toll amounts not covered by the statutory declaration and a single administration charge.
* pay the deferred toll amounts and administration charge, or
The section also provides that payment of an administration charge under the notice satisfies the liability for an administration charge under section 105ZG(1)(b) for each toll included in a deferred toll amount listed in the notice.
The amendments also allow the tollway operator to combine deferred toll amounts for state toll roads and local government tollways on one aggregated demand notice, with only one administration charge.
Clause 40 amends section 105ZI of the TI Act to update a cross-reference.
Clause 41 amends section 105ZK to clarify the requirement for a demand notice issued to the person identified as the driver of the vehicle used on a local government tollway to specify each of the one or more deferred toll amounts for which the notice is given. This section also specifies that a notice must not require the person identified as the driver of the vehicle using a local government tollway to pay more than one administration charge. It is the responsibility of the identified driver to either:
* provide a statutory declaration to assist in the identification of the driver of the vehicle at the time the unpaid toll was incurred, and pay any deferred toll amounts not covered by the statutory declaration and a single administration charge.
* pay the deferred toll amounts and administration charge, or
The section also provides that payment of an administration charge under the notice satisfies the liability for an administration charge under section 105ZG(1)(b) for each toll included in a deferred toll amount listed in the notice.
The amendments also allow the tollway operator to combine deferred toll amounts for state toll roads and local government tollways on one aggregated demand notice, with only one administration charge.
Clause 42 amends section 105ZO of the TI Act to provide that an evidentiary certificate issued with respect to non-payment of an administration charge is evidence of that matter.
Clause 43 updates the cross-references in section 480(10) of the TI Act, replacing the definition of relevant tolling offence.
Clause 44 amends item 5 of schedule 5 of the TI Act by replacing "unpaid toll" with "unpaid deferred toll amount" to clarify the reference to an administration charge.
Clause 45 amends schedule 6 of the TI Act to redefine the definition of administration charge to include reference to the non-payment of a deferred toll amount. It also inserts a new definition of image processing fee for part 7 and part 8 of chapter 6.
Part 5
Clause 46 states that part 5 amends the Youth Justice Act 1992 (YJ Act).
Clause 47 amends section 254 of the YJ Act to provide that a child who is at least 17 years of age will continue to be subject to the mandatory driver licence disqualification provisions that apply to adults. Mandatory disqualification provisions apply to adults by operation of law, whether or not a conviction is recorded for the offence. As such, the amendment removes the requirement from section 254 that a conviction must be recorded for a child who is at least 17 years of age. It does this by inserting a new section 254(3A) into the YJ Act, which is subsequently re-numbered to become section 254(4). For children aged less than 17 years, the existing requirements will remain. That is, a court must order a specific period of disqualification or that a conviction be recorded before a licence disqualification can be imposed.
Part 6
Clause 48 states that division 1 amends the State Penalties Enforcement Regulation 2014 (SPE Regulation).
Clause 49 makes consequential changes to update section references as a result of amendments to the TI Act.
Clause 50 states that division 2 amends the SPE Regulation.
Clause 51 amends existing, and introduces new, infringement notice amounts for entries in the SPE Regulation relating to offences under the TT Act and TT Regulation.
Clause 52 states that division 3 amends the TT Regulation.
Clause 53 omits section 10(3) of the TT Regulation to support the new definition of criminal history in the TT Act.
Clause 54 amends section 13 to omit the definition of approval for that section.
Clause 55 updates the section heading for section 17 of the TT Regulation.
Clause 56 inserts new sections 17A, 17B and 17C in the TT Regulation. New section 17A requires the tow truck driver to carry a copy of the towing consent while undertaking private property towing activities, and new section 17C requires the licence holder to provide a copy of the towing consent to a motorist whose vehicle is towed or released on-site, if requested. New section 17B requires the licence holder to notify the police commissioner about a private property motor vehicle towed from private property.
Clause 57 replaces sections 20 and 21 of the TT Regulation with new sections 20, 21 and 21A. New section 20 extends some of the conduct requirements that apply at the scene of an incident to private property towing, and new section 21 moves the remaining conduct requirements that apply at the scene of an incident to a new section. New section 21A replaces the existing provision regarding the disclosure of information to extend the protection of information to private property towing, and to enhance the protections by clarifying that they apply to personal information.
Clause 58 amends section 25 of the TT Regulation to ensure record keeping requirements are appropriate for private property towing.
Clause 59 amends section 26 of the TT Regulation to require licence holders to keep towing consents in safe custody for at least 1 year after the consent ceases to have effect.
Clause 60 inserts new sections 29A and 29B of the TT Regulation. New section 29A requires the tow truck driver take reasonable steps to locate the vehicle's owner prior to loading a private property motor vehicle onto the tow truck, and, if the owner is located, to only load the vehicle if the owner refuses to move the vehicle or the driver reasonably believes the owner is unable or unwilling to move it from the property. The provision also requires the tow truck driver who has commenced but not completed loading the vehicle to release the vehicle without charge if the owner agrees to move the vehicle from the property.
New section 29B provides that if the tow truck driver or assistant has completed loading the vehicle onto the tow truck but the vehicle has not been moved from the property, and the vehicle's owner is present, the tow truck driver must advise the owner that they can pay an onsite release charge to have the vehicle released prior to it being removed from the property. If payment is made the vehicle must be released.
Clause 61 amends section 30 of the TT Regulation to require the driver of a tow truck to only tow a private property motor vehicle by the most direct route to the nearest holding yard of the licence holder.
Clause 62 replaces sections 31 to 34 of the TT Regulation with new sections 31, 32, 33, 34 and 34A. The new provisions introduce maximum charges for towing, storing and the on-site release of a private property motor vehicle, provide that the owner of a private property motor vehicle is liable for the payment of charges in relation to the towing and storage, prohibit the imposition of separate charges and provide that notice must be given before charging for viewing vehicles outside business hours.
Clause 63 amends section 36 of the TT Regulation to provide that the chief executive can also investigate charges for releasing and storing vehicles.
Clause 64 replaces section 37 of the TT Regulation to ensure that property found in prescribed motor vehicles that are towed is kept in safe custody until returned to its owner.
Clause 65 inserts new section 40 of the TT Regulation to prescribe the regulated areas referred to in the Act.
Clause 66 amends schedule 2 of the TT Regulation to prescribe the fees for 1, 2, 3, 4 and 5 year tow truck licences and driver's and assistant's certificates.
Clause 67 amends schedule 3 of the TT Regulation to prescribe maximum towing, on-site release and storage charges for private property motor vehicles.
Clause 68 amends schedule 4 of the TT Regulation to reflect the change in the authorising section for regulated areas.
Clause 69 amends schedule 5 (Dictionary) of the TT Regulation to omit the definitions of conforming premises, disqualifying offence, driver licence, holding yard and owner which have been moved to the TT Act, and to amend the definition of approval. The amendment also inserts an amended definition of standard tow into the schedule. The definition of standard tow was previously in section 32 of the TT Regulation.
|
DAVID L. RICE, J.D., LL.M., is a Certified Tax Specialist with the State Bar of California and Elder Law Specialist with the Na tional Academy of Elder Law Attorneys. His firm, David Lee Rice, A Professional Law Corporation, is located in Torrance, California.
A. LAVAR TAYLOR is the Founder of Law Offices of A. Lavar Taylor, APC, in Santa Ana, California.
WILLIAM S. RYDEN, J.D., is a Certified Family Law Specialist and a member of the American Academy of Matrimonial Lawyers. Mr. Ryden is a Partner with Jaffe and Clemens located in Beverly Hills, California.
Community Property—The Rules and Their Impact on Income Tax and Estate Tax Return Reporting
By David L. Rice, Lavar Taylor and William S. Ryden
David L. Rice, A. Lavar Taylor and William S. Ryden examine California Community Property Laws and the unique way community property ownership affects income and estate tax reporting and IRS collection efforts.
Background
It is important for every tax practitioner to understand State Property laws to properly advise clients on tax planning, estate planning and tax controversy mat ters. Federal tax law has always deferred to State laws to determine the character and nature of property. 1 As an example, can the IRS levy on a husband and wife's bank account held in joint tenancy for the wife's tax liability? If an estate plan ning lawyer prepares a deed adding a wife's name to real property, is that a proper transmutation? This article will focus on California Community Property Laws, but it should be noted that a total of nine States are community property states. 2
As discussed above, property acquired by the parties during marriage that is in joint form 6 (e.g., tenancy in common, joint tenancy, community property or community property with right of survivorship) is presumed to be community property for purposes of dissolution of marriage or legal separation of the par ties. 7 This presumption is rebuttable under Fam. Code § 2581. This legislative intention was set for in Fam. Code § 2581. Under that section, where parties are
California law defines community property as any asset acquired or income earned by a person while married or in a domestic partnership that is not a gift or inheritance. 3 There is a presumption in California that property acquired dur ing marriage is community property. 4 Separate property is defined as anything acquired by a spouse before the marriage; during the marriage by gift, devise or bequest, and after the parties separate. 5
determining how to divide property upon dissolution of marriage or upon legal separation, they may divide such property according to either (a) a clear statement in a deed or other documentary evidence of title by which property is acquired that such property is held in a manner other than community property (i.e., separate property), or (b) some other evidentiary proof that the parties have made a written agreement that the property is to be treated as separate property.
Community Property Transmutations
Statutory Law
Every tax practitioner must not only understand the basic tenets of California Community Property law but also gain an understanding as to when property may be transmuted from one form of ownership to another. If a domestic partner adds a partner as a joint tenant to a deed, was there a valid transmutation? If a husband and wife purchase property with community funds but take title as Joint Tenants, is the property community or separate under California law?
It is important for every tax practitioner to understand State Property laws to properly advise clients on tax planning, estate planning and tax controversy matters.
California Family Code § 850 provides that married persons may, by agreement with or without consideration, do any of the following: (a) transmute community prop erty to separate property of either spouse; (b) transmute separate property of either spouse to community property; and (c) transmute separate property of one spouse to sepa rate property of the other spouse. However, each of the transmutation sections is subject to fraudulent transfers. 8
Family Code § 852 specifically focuses on the require ment that a transmutation of real or personal property be made "in writing by an express declaration that is made, joined in, consented to, or accepted by the spouse whose interest in the property is adversely affected." Furthermore, a transmutation of real property is not effective as applied to third parties without notice given, unless such real prop erty has been recorded. However, certain gifts exchanged between the spouses of, such as clothing, jewelry or other tangible personal items that is solely or principally for the receiving spouse and that is not substantial in value (when considering the circumstances of the marriage) would not apply under this section.
California Family Code § 853 further clarifies circum stances where evidence leans in favor of or against a find ing of transmutation. A statement made in a will cannot be used as evidence of a transmutation if the proceedings started prior to the death of the person who made the will. A waiver of any joint survivor or annuity benefits under ERISA is not a transmutation. A written consent or join der of a nonprobate transfer is a valid transmutation if it comports with the provisions of Family Law Code § 582.
Case Law
One of the more interesting issues which has led to different conclusions is whether a couple can convert community funds to separate funds merely by using community funds to purchase property and then taking title in that property as joint tenants. The Ninth Circuit had to analyze this issue in the case of In re Ann Marie Summers. 9 In that case, the spouses made a down payment of $10,000 on the purchase of real property and the deed was recorded with their names along with their daughters as joint tenants. The trustee contended that the entire property was community property and was includible in the bankruptcy estate. The Bankruptcy Code provides that the estate of the debtor includes all interest of the debtor and the debtor's spouse in community property as of the commencement of the case. 10 The Court held that the source of funds for acquisition of the joint tenancy is not dispositive. The presumption that title reflects the parties' intent cannot be overcome simply by evidence of the source of the funds used to purchase the property.
The trustee further asserted that a transmutation had not occurred as the rebuttable presumption that property acquired during marriage is community property should apply. The Court then reviewed case law in this area and cited In re Pavich, 11 for the proposition that in California, the community property presumption is "overcome when a declaration in a deed or other title instrument indicates spouses take title to property as joint tenants." The Court, however, held that acquisitions of property are not neces sarily transmutations. In other words, when spouses acquire property, they can specify how title will be held. Thereafter, any change must meet the requirements of a transmutation. Real property transfers between spouses should be executed following all the usual rules and formalities of transfers of real property between any other persons or entities. Spouses can show their agreement to take the property as joint tenants by explicitly taking title as such.
Similarly, the Court determined in In Re. John T. Gorman 12 that although property acquired after marriage is presumed to be community property, property purchased with community funds, standing alone, is insufficient to rebut the presumption created by the form of the deed. The lower court's decision there was reversed and the Supreme Court of Nevada held the property in question to be in the form of joint tenancy.
Following the decision in Valli, the Bankruptcy Court in the case of In re Obedian 14 held that under California law, property acquired by debtor and her nondebtor spouse during their marriage with community property funds was community property and that the trustee failed to show by a preponderance of the evidence that debtor and nondebtor spouse transmuted the character of property from community property to separate property.
The California Supreme Court of In re Marriage of Valli 13 was decided shortly after Summers determined that the rationale in Summers was not persuasive authority with respect to transmutation and property characterization issues. In Valli, the husband during the marriage used community property funds to purchase a $3.75 million life insurance policy on his life, naming his wife as the policy's only owner and beneficiary. At the time of dissolution, the wife contended it was her separate property and the husband contended that it was community property. The Supreme Court of California concluded in a unanimous opinion that in a marital dissolution proceeding, unless the statutory transmutation requirements have been met, acquisitions of property made by one or both spouses from a third party during marriage are not exempt from the marital property transmutation statutes governing trans mutation of community property to separate property.
In In re Obedian, Wife, a Chapter 7 debtor, filed a motion in Bankruptcy court to avoid a judgment lien against the nondebtor Husband. The bankruptcy trustee and the IRS opposed the motion. The Husband and Wife were mar ried in 1972. During their marriage, Wife and Husband purchased a parcel of real property in Tarzana, California with community property funds and subsequently made the mortgage payments on the house with community income. After selling the property, in 2009 during their marriage, Wife and Husband used the proceeds from the sale of the Tarzana house as a down payment to buy an other real property in Beverly Hills. They took record title as joint tenants. The grant deed transferring the property to Husband and Wife stated that they were taking title as joint tenants, but there was no separate statement on the grant deed indicating that this was their express intention. They paid the mortgage on the Beverly Hills property with their community property income.
After Wife and Husband bought the Beverly Hills prop erty in 2009, a judgment was entered against Husband in the amount of $729,890.29. The judgment creditor recorded an abstract of judgment on February 22, 2011, to perfect its judgment lien against the Beverly Hills prop erty. Wife, a Chapter 7 bankruptcy debtor, filed a motion to avoid the judgment lien against her nondebtor spouse. The bankruptcy trustee and the IRS opposed the motion.
Based on Family Code § 760, the court preliminarily determined that the real property should be presumed to be community property since Debtor Wife and nondebtor Husband acquired the property during their marriage with community property funds and no evidence was presented that would rebut the community property presumption through tracing or earnings or accumulations while Wife and Husband were living separate and apart.
If debtor Wife's interest in the Beverly Hills was com munity property, the judgment lien against nondebtor Husband would attach to both spouses' interests in the Real Property Fam. Code §910. But if Wife's interest was separate property, as indicated by record title in joint tenancy, then the judgment lien against Husband would only attach to Husband's one-half joint tenancy interest, which would not be an asset of Debtor's bankruptcy estate.
Wife argued that she and Husband never validly trans muted the property because there was no express decla ration in writing that changed the character of both the community property sale proceeds from the sale of the Tarzana house and the community property mortgage payments on the Beverly Hills property to separate prop erty. Thus, Wife argued that under the California marital property transmutation statute, the Beverly hills property was community property.
However, the bankruptcy court noted the undisputed fact that Wife and Husband took record title to the Beverly Hills property as joint tenants and found Wife's argument to be in conflict with California Evidence Code § 662, which provides that "[t]he owner of the legal title to property is presumed to be the owner of the full ben eficial title."
The trustee argued that because the grant deed conveyed the Real Property to Wife and Husband as joint tenants, they owned the Real Property as joint tenants with each having a one-half separate property interest.
Because both California Family Code § 852(a) and California Evidence Code § 662 are statutory exemptions to California Family Code § 760 and yield conflicting characterizations of the property, the court undertook an extensive examination of California law regarding the evidentiary presumptions of California Family Code § 852(a), California's marital property transmutation
statute and California Evidence Code § 662, California's general presumption of record title in order to determine which rule to apply.
At the evidentiary hearing, Wife and Husband testified that they purchased the Real Property in 2009 during their marriage, that record title they took in the Real Property as joint tenants was not something they intentionally chose, but was something that the real estate agents put down, that their understanding was that the Real Property was community property as property acquired during their marriage, that they made no contemporaneous agreement among themselves to specify that title was to be taken as joint tenants and treated as separate property, that they used their community property funds from the proceeds from the sale of their Tarzana house acquired during mar riage to make the down payment on the Real Property, that they used their community property funds from the income from Husband's community property business generated during marriage to make the mortgage payments on the Real Property and that at no time did they intend to transmute the Real Property from community property to separate property through any written agreements with each other (i.e., the community funds used to purchase the Real Property were not transmuted into separate property) in accordance with the statutory formalities of California Family Code § 852(a).
After its exhaustive review, the court applied the hold ing in Marriage of Valli that third-party transactions are not exempt from the requirements of the transmutation statutes and stated that the Trustee could rebut the evi dentiary presumption under California Family Code § 760 only by proving by a preponderance of the evidence that Wife and Husband transmuted the property from commu nity property pursuant to the requirements of California Family Code § 852(a).
The trustee presented evidence that after the Real Property was acquired, both Wife and Mr. Obedian made separate statements that the Real Property was held in joint tenancy. On Schedule A to her bankruptcy petition, Wife listed the Real Property as being held in joint tenancy. Further, in Trustee's separate adversary proceeding against Husband for authorization to sell real property of his co-owned interest, Husband stated in his answer that he held a 50-percent interest in the Real Property. On cross examination, Wife and Husband testified that they were represented by a broker when they purchased the Real Prop erty in 2009 and that they signed the escrow instructions.
The court determined that these statements separately or in total did not prove by a preponderance of the evidence that Wife and Husband, by taking tile in joint tenancy, trans muted the Beverly Hills property from community property in order to rebut the California Family Code § 760 presump tion. Therefore, the property was community property in which each spouse had a 50-percent ownership interest.
A lien shall be considered to impair an exemption to the extent that the sum of—(i) the lien; (ii) all other liens on the property; and (iii) the amount of the exemption that the debtor could claim if there were no liens on the property exceeds the value that the debtor's interest in the property would have in the absence of any liens.
The Bankruptcy Code provides that "the debtor may avoid the fixing of a judicial lien or a nonpossessory, nonpurchase-money security interest lien on an interest of the debtor in property to the extent that such lien impairs an exemption to which the debtor would have been entitled under 11 U.S.C. § 522(f)(2)(A)."
Because the property was determined to be the com munity property of Wife and Husband, and each of them has a 50-percent fractional ownership interest in the Real Property, the Bankruptcy Court applied the specific formula under 11 USC § 522(f) and determined that the judgment lien impaired Debtor Wife's homestead exemption under 11 USC § 522(f)(2)(A) and could be avoided under 11 USC § 522(f)(1). The court granted Debtor Wife's motion to avoid the lien.
The authors question the result of the decision in Obedian case. As previously discussed, the presumption that spouses hold property as community property only applies upon divorce. A bankruptcy proceeding is different from a dissolution proceeding where spouses are dividing community property. Therefore, it could be argued that the court in Obedian should not have applied the com munity property presumption and transmutation rules over the title presumption.
Transmutation Agreements Must Be Clear
It is important to note that the California Courts have issued opinions in many cases as to what will (or will not) satisfy the requirements of the transmutation statutes.
MacDonald was an action by the decedent's Wife's chil dren to establish Wife's community property interest in the value of the Husband's IRA accounts. The evidence relating to the alleged transmutation was uncontroverted. Prior to Wife's death from cancer, Wife and Husband intended and attempted to completely divide the community estate so that Wife's children by a prior marriage would receive her
The case of MacDonald Est. 15 was the first significant case to address this transmutation issue head on. In this case, the Court exposed a defective attempt to create a transmu tation. The writing requirement must be clear concerning change of character and this case is a good example.
share of the community property and Husband's children from a former marriage would receive his share. The trial Court found that in signing a consent to certain agreements in connection with the Husband's IRA accounts, Wife intended to transmute her community property interest in those funds to the Husband's separate property.
The next important case to address a complicated trans mutation fact pattern was In re Marriage of Barneson. 16 Husband provided written instructions to his investment people at Schwab to "transfer" his Marina Oil stock into Wife's name or to "journal" stock in his Schwab account into Wife's account. The Appellate Court rejected Wife's reliance on California Evidence Code § 662 to argue that Husband failed to rebut the statutory presumption that she held full beneficial title to the stock placed in her name. The court ruled that the term "transfer" might or might not refer to a change of ownership. The term "transfer" could have several definitions. This demonstrated an ambiguity in husband's written direction.
The California Supreme Court reversed the Appellate Court, on grounds that the documents purportedly trans muting the IRA interest did not meet the writing require ments of Civil Code § 5110.730 (which is now Family Code § 852). The Court expressly disregarded the parties' intent interpreting what is now Family Code § 852 as an absolute bar to enforcement of a technically insufficient writing.
Transmutation Cannot Be Conditional
The Court in the case of Marriage of Holtemann 17 held that transmutations cannot be conditional. Even though a transmutation agreement may be executed for purposes of estate planning, the characterization as community property will not be limited only for estate planning if there is a later divorce. Once a valid transmutation oc curs, regardless of intent, it is valid and enforceable. In the Holtemann case, Husband and Wife married in 2003 and separated in 2006. During marriage, the parties re tained an attorney to prepare estate planning documents. The attorney prepared a written Transmutation Agree ment and Trust which the parties executed in 2005. An introductory provision in the Transmutation Agreement stated that "[t]he parties are entering into this agreement in order to specify the character of their property interests pursuant to the applicable provisions of the California Family Code. This agreement is not made in contempla tion of a separation or marital dissolution and is made solely for the purpose of interpreting how property shall be disposed of on the deaths of the parties." The parties also acknowledged that their attorney had explained the "legal consequences" of the agreement, and that they had decided not to retain separate counsel after being advised of the advantages of doing so:
Article 2.1 of the Transmutation Agreement stated as follows: "Transmutation of Husband's Separate Property to Community Property. Husband agrees that the character of the property described in Exhibit A (including any future rents, issues, profits, and proceeds of that property) is hereby transmuted from his separate property to the community property of both parties. Exhibit A is attached to and made part of this agreement."
One of the more interesting issues that have led to different conclusions is whether a couple can convert community funds to separate funds merely by using community funds to purchase property and then taking title in that property as joint tenants.
Article 1.3 of the Trust provided: "Statement of In tent. This is a joint trust established by the settlors in order to hold community property of the settlors, which community property was created by the trans mutation of separate property of settlor Frank G. Holtemann concurrently with the execution of this trust instrument."
At the bifurcated trial in the dissolution proceeding on the validity of Transmutation Agreement, the trial court found that under express terms of the agreement, Husband had transmuted his separate property to com munity property. Husband appealed. The question before the court was whether the Transmutation Agreement and the Trust were sufficient to establish Husband's express intent to transmute his separate property to community property, as contemplated by Code Sec. 852, given the fact that language in both documents indicated that they were executed solely for estate planning purposes. The court said:
"In deciding whether a transmutation has occurred, the court interpreted the written instruments indepen dently, without resort to extrinsic evidence. The court concluded that an express declaration of transmutation does not necessarily require use of the terms "transmu tation," "community property," or "separate property."
The court found that this was a valid transmutation. The Transmutation Agreement unambiguously stated that "Husband agrees that the character of the prop erty described in Exhibit A (including any future rents, issues, profits, and proceeds of that property) is hereby transmuted from his separate property to the community property of both parties."
The Trust similarly provided that it was created in order to hold community property of the settlors, which community property was created by the transmutation of separate property of Husband concurrently with the execution of this trust instrument.
Regardless of the motivations underlying the docu ments, the documents contained the requisite express, unequivocal declarations of a present transmutation. Moreover, the documents reflected that Husband was fully informed of the legal consequences of his actions. The court stated:
"Here we are presented with such a clear expression, in the form of an express agreement to transmute prop erty transferred into a trust established for the same purpose. We conclude that a present transmutation of separate property to community property was thereby effected, notwithstanding language in the transmuta tion agreement and trust that purports to qualify, limit or condition the transfer upon the death of either spouse. Once the character of the property has been changed, a "re-transmutation" can be achieved only by an express agreement to that effect that independently satisfies the requirements of subdivision (a) of § 852."
Parties Must Consider Reimbursement Rights
In dealing with transmutation issues or in drafting transmutation agreements, it is crucial that the parties or lawyers consider the impact of California Family Code § 2640 which provides:
(a) "Contributions to the acquisition of property," as used in this section, include downpayments, pay ments for improvements, and payments that reduce the principal of a loan used to finance the purchase or improvement of the property but do not include payments of interest on the loan or payments made for maintenance, insurance, or taxation of the property.
(b) In the division of the community estate under this division, unless a party has made a written
waiver of the right to reimbursement or has signed a writing that has the effect of a waiver, the party shall be reimbursed for the party's contributions to the acquisition of property of the community property estate to the extent the party traces the contributions to a separate property source. The amount reimbursed shall be without interest or adjustment for change in monetary values and may not exceed the net value of the property at the time of the division.
(c) A party shall be reimbursed for the party's separate property contributions to the acquisition of property of the other spouse's separate property estate during the marriage, unless there has been a transmutation in writing pursuant to Chapter 5 (commencing with § 850) of Part 2 of Division 4, or a written waiver of the right to reimbursement. The amount reimbursed shall be without interest or adjustment for change in monetary values and may not exceed the net value of the property at the time of the division.
Often times, the reimbursement rights derived from Family Code § 2640 in a dissolution of marriage action are not considered or are overlooked, and parties are surprised to find that a transmutation from separate property to community property bring with it a reimbursement claim of substantial value that has not been waived.
Income Tax and Community Property
In Poe v. H.G. Seaborn, 18 Seaborn and his wife were resi dents of the State of Washington, a community property state. The couple reported income on Seaborn's wages, as well as interest on bank accounts and bonds, dividends and profits from the sale of real and personal property. The husband and wife each reported one-half of the income on their respective tax returns and each of them filed as a single person, as there were no joint returns in existence at the time. The IRS contended that all of the income should have been reported by Seaborn. The Court held that State law controls in determining the ownership of property and that according to State law, the wife had a vested interest in the community property equal to that of the husband, including an interest in the income of the husband from salaries or wages. Therefore, the spouses may report one-half of the husband's income on their respective tax returns.
In R.D. Robbins, Jr., 19 the husband divided his wages between his wife and himself and filed his tax return showing 50 percent of the wages and his wife's tax return showing the other 50 percent of wages. The IRS contended
that because the husband had broad powers of control of community property at the time in question, the salary was deemed his. The Court agreed with the IRS and held that the husband's control of the property under California law made it his.
As a result of the Robbins case, the California legislature amended the community property laws of California in 1927 to make it abundantly clear that the wife had a vested interest in community property assets. In R.K. Malcolm, 20 a California married couple decided to divide the wages of the husband by filing two tax returns, one for the wife and one for the husband and this took place after the amendment to California's community property laws. The Supreme Court ruled that property rights are determined by State law, and that the couple was allowed to divide wages.
Joint Income Tax Return Finally Passes
Community Property States had a huge advantage over separate property states as married couples were permitted to split their wages in half. This caused several States to adopt for a short time community property laws 21 and led to many hearings in Congress calling for an amendment to file a joint return. Proposals to equalize the tax treatment of married couples were floated in 1933, 1934, 1937 and 1941, but none of the proposals were ultimately adopted. The closest that Congress came to making changes to the tax system came in 1941, when the House Ways and Means Committee proposed a mandatory joint return, with married couples to be taxed on their combined income without the option to file separate returns and without the option of applying community property laws which would have resulted in a tax increase on all twoincome married couples. 22
Is Illegal Income Deemed Community Income Under the Internal Revenue Code?
Code Sec. 66 Can Be a Powerful Tool
In Phyllis M. Curtis Berenbeim, 23 Taxpayer's ex-husband had obtained money by way of Ponzi scheme. The exhusband never told the wife about the money and never filed returns for the years in question. The wife had money of her own during that time and provided to her thenhusband joint returns that she believed he filed, although the ex-husband never did. Taxpayer was eventually con tacted by the IRS. She then showed them a photocopy of the returns she thought were filed. Thereafter, the Ponzi scheme failed and the IRS made an inquiry to the husband who gave the agents the photocopies of the returns, who then filed them without original signatures.
1. No valid returns were filed for the tax years in question;
Taxpayer contended that she was an innocent spouse under either Code Sec. 6013(e) or under Code Sec. 66(c). Taxpayer also contended that the illegal income of her ex-husband was not community income and that the returns filed were not joint returns for purposes of Code Sec. 6013(e). Taxpayer made a three-pronged argument as to why she is not liable for the Ponzi scheme money:
2. Without the joint returns being filed, the unreported income of the Ponzi scheme is not reportable by her under California Community Property Laws; and
The first question was whether a joint return was filed. Taxpayer contended that for a joint return to be valid, there need be original signatures. The IRS contended that a joint return is filed when two events occur: (1) the return is received by the location designated by the code and regulations, and (2) the taxpayer intends to file the joint return as reflected by his or her objective manifestations.
3. If the unreported income is deemed to be community property income, she is entitled to innocent spouse relief under Code Sec. 6013(e).
The Court held that the issue is whether the wife in tended to file a return when the return was delivered to the assigned Revenue Officer. At the time the returns were provided to the Officer, the wife believed that the joint returns had already been filed. There was no express or implied intent to file the returns when given to the agents by either spouse.
Under California law, a finding of theft by larceny by trick or device consists of appropriation of money or property, possession of which was fraudulently acquired and usually results when the victim intends it shall be ap plied to a special purpose, as a loan, to enable defendant to carry out some special plan, as an investment, or for the purchase of property, which money defendant intended to appropriate to his own use. In such instances, title does not pass. Here there was theft by trick or device and title never passed as the victims only intended to make a loan.
The second question was whether the income derived from the Ponzi scheme was community income. Under California law, the earnings of either spouse during marriage are the parties' community property. In order for property to be deemed community property under California law, one spouse must have title to the property before it can become community property.
Finally, the third question was whether the wife is entitled to innocent spouse relief if unreported income
is deemed to be community property. The husband had purchased a number of properties in the wife's name and the wife was aware of those properties. There were gains on the sale of those properties, part of which was attribut able to the wife. The Court there looked to the rules under Code Sec. 66(c), noting that the spouse seeking relief has not filed a joint return for any tax year. Furthermore, the income omitted from the gross income of the spouse seeking relief would be treated as the income of the other spouse under Code Sec. 879(a). The spouse seeking relief established that she did not know of and had no reason to know of such item of community income. Finally, under the facts and circumstances, it is inequitable to include such item of community income in the income of the spouse seeking relief.
The Court found that the wife knew of the real estate activity, was aware that she was a nominee on various real estate holdings and attended various closings and signed documents. The Court held that with her actual knowl edge and her education background (she held a Bachelor of Science degree and a supervisory credential from USC), she met the knowledge requirement. Finally, the Court held that it was not inequitable to hold her liable as she moved from an apartment to a home with a purchase price exceeding $300,000 and she had a sizeable inheritance along with her separate salary.
The Court specifically focused on the latter two points. The standard to be applied in determining knowledge is whether a reasonable person under the circumstances of the taxpayer at the time of signing the return could be expected to know of the understatement.
Estate Tax and Community Property
California has a long history dealing with community property and estate tax issues. In Goodyear, 24 the spouses were married in California on August 18, 1891, and remained residents of California. The law at the time deemed the wife to have only "expectancy" in commu nity property. Because the husband was deemed to have management and control of the property, for income tax purposes, the income earned by the husband could not be divided between the parties and had to be included solely on the husband's tax return. This occurred long before Congress allowed the filing of joint tax returns and due to the progressive tax rates, the husband paid substantially more tax than the couple would have, had they been al lowed to divide the income. In Goodyear, the husband predeceased the wife and the Court held that all of the community property must be included in his estate for estate tax purposes.
On July 29, 1927, the community property laws were amended where the law then made it clear that a wife's interest was no longer an "expectancy" interest but rather a present interest in community property. After amendments to the civil code became effective in 1923 and 1927, questions as to the divisibility of community property became at issue in numerous lawsuit, including the case involving the Goodyears. On January 1, 1931, the Goodyears entered into an agreement to alter their legal relations with respect to their property from a mere expectancy interest to a present and equal interest in the community property.
In M.I. Siegel, 25 Taxpayer and her deceased husband were residents of California and the property in ques tion was acquired subsequent to 1927 (i.e., where the law in California provided that each spouse had a vested interest in community property notwithstanding that the husband had management control over the prop erty). The decedent's will provided Taxpayer the right to take under the will, but which required her to waive any rights in her community property, and where tak ing under the will resulted in a life estate for Taxpayer and thereafter the property would be distributed to their adopted son. After consulting with profession als, Taxpayer determined that taking under the will would more likely result in her being able to maintain her standard of living for the rest of her life. The IRS contended, and the tax court confirmed, that the sur render of Taxpayer's community property rights was a gift to the estate to the extent that the value of the interest surrendered exceeds the value of the interest she received under the will.
The husband died in 1933, and the issue presented in that case was whether community property could be split between husband and wife. The court in that case held that the husband and wife held an equal but separate interest in community property. Therefore, only the husband's interest in the community property is held to be includible for estate tax purposes and the wife has such an interest in community income that she may separately report and pay tax on one-half of such income.
The Court of Appeals ruled that this case is contrary to cases in separate property states. 26 Under California law, each spouse owns a community interest in the property and upon the death of the husband, the only thing differ ent is the minor issue of control which is lost. When the husband makes a testamentary disposition of more than half of the community property and the wife chooses to take under the will, the half interest in the estate which she surrenders in a contract is deemed to be supported by adequate consideration.
Community Property vs. Joint Tenancy
Numerous cases also address the issue of whether there has been a transmutation of property from community to joint tenancy. In J.S. Pierotti, 27 Decedent and Taxpayer held property as joint tenants. Taxpayer filed the Estate Tax Return listing property as held in joint tenancy but stated that it was also community property. If the property was to be treated as joint tenancy, the entire value of such property would be included in the estate but if it were treated as community property, only one-half would be includible in the estate.
In Wayne-Chi Young Est., 29 the court found that the husband and wife there did take title to property as joint tenants because the evidence presented could not overcome the presumption of joint tenancy. There, the Youngs had acquired numerous properties under as joint tenants. The surviving spouse took the position that the real properties constituted community property and the estate was entitled to a fractional discount for the proper ties held in joint tenancy.
The court looked to State law to determine the character of property. Parole evidence was introduced in which it was shown that Taxpayer and decedent had retained an attorney for the purpose of vesting title as "post-1927" community property. The trial court found that the de cedent and Taxpayer orally agreed to vest their property as community property and granted Taxpayer a refund on the Estate tax return. 28 The attorney had erroneously advised Taxpayer and decedent to make a deed to each other as joint tenants. The court held that the law is well settled that common-law forms of conveyance should not alter the community character of the property contrary to the intention of the parties.
The court looked to state law to determine the nature of decedent's interest in the property. Although under California law, property acquired by spouses is presumed to be community, where spouses take property as joint ten ants, such presumption is rebuttable by evidence presented. The surviving spouse petitioned the court and contended that filing a spousal property petition in the Superior Court of California and alleged that the Young Property was community property. Petitioner argued that the language in the decedent's will transmuted the property from joint tenancy into community property. The court rejected the petitioner's arguments and found that the petitioner did not present sufficient evidence to support a finding that the decedent intended to transmute the Young property from joint tenancy into community property. Because the court found that the evidence presented by petitioner did not overcome the presumption of joint tenancy, the decedent and the surviving spouse held the Young Property as joint tenants with the right of survivorship.
However, the taxpayer in these cases failed to argue that the property is community property under the progeny of Valli and Obedian. Based on those cases, it could be argued that the husband and wife took title as joint ten ants solely because escrow put that title on the deeds. Prior to California's adoption of community property with rights of survivorship, most real estate brokers advised their clients to take title as joint tenants to avoid probate. Most taxpayers received very little information on the legal implications of separate as opposed to community property and it may require the surviving spouse to file a declaration delineating all the facts surrounding how the couple took title.
The court also rejected issues raised as to a fractional interest discount because the includible amount did not depend on valuation of property rights transferred at death. With respect to community property, each spouse owns a one-half interest 30 in the community property and each spouse's interest is deemed separately owned so that the decedent has no interest in the surviving spouse's share of the community property. On the other hand, at death, a decedent cannot devise a joint tenancy interest held by the decedent. The court looked to Code Sec. 2040, holding that Code Sec. 2040(a) starts with the inclusion of the entire value of the joint tenancy property held by the decedent and any other person in the joint estate of the first tenant to die, and the amount to be excluded from the decedent's gross estate is proportionate to the consideration furnished by the survivor. 31 The court went on further to hold that under the scheme of Code Sec. 2040, the amount included in a decedent's gross estate did not depend on a valuation of rights actually transferred at death or on a valuation of the interest held by the decedent. The decedent's gross estate included the entire value of the property held in a joint tenancy by him and any other person, except to the extent that another person furnished consideration. The statute did not inquire into what a willing buyer would pay because at the time of death, decedent holds no interest in the property. Finally, the court found that there were no issues as to a lack of a marketability discount because the court did not find any inherent difficulty in the sale of the property.
As discussed above, joint tenancy is deemed to be sepa rate property from a tax standpoint. Family Law attorneys have always viewed joint tenancy property as community property, but the family law attorneys are generally looking at end from a dissolution standpoint as opposed to a tax standpoint. California's Family Law Code states that joint tenancy property is community property for purposes of
dissolution or separation, not tax. From a collection stand point, it would surely be better off for the IRS to show that the property held by husband and wife or Domestic Partners is community property as opposed to separate property held in the form of joint tenancy. It will be recalled that community property is liable for the separate debt of either spouse as well as any community debt. 32 However, consider ing the holdings in Valli and Obedian, has the proverbial Pandora's box been opened for the IRS to argue that even if the property is held in Joint Tenancy, it is still community since it was never properly transmuted?
Conclusion
An understanding of California's community property laws is essential for a tax practitioner to properly advise his or her clients. From a tax controversy perspective, it is important to be able to distinguish between commu nity property versus other forms of holding property. If property is held in joint tenancy or tenants in common,
Although it is clear that Joint Tenancy property is not community property for income or estate tax purposes. Nevertheless, State law controls the nature and character of property. Considering the recent holding in Valli and Obedian, it appears that a practitioner who really un derstands community property and the issues revolving transmutation might be able to argue that property held in joint tenancy is community property notwithstanding how the married couple or Domestic Partners took title to the property. Similarly, it may give the IRS additional more arsenal to assert that property held as joint tenants is really community property for collection purposes.
ENDNOTES
1
2 There are nine community property states: Arizona, California, Idaho, Louisiana, Nevada, New Mexico, Texas, Washington and Wisconsin. Alaska and Tennessee have adopted community property systems, but it is optional.
R.F. Drye, Jr., SCt, 99-2 ustc ¶51,006, 99-2 ustc ¶60,363, 528 US 49, 120 SCt 474.
3 CA Family Law Code §§ 760 and 752.
5 CA Family Law Codes §§770(a)(1) and (3); CA Family Law Code §771(a).
4 CA Family Law Code §760.
6 Common ways of vesting in real property in clude:
‒ ‒ Two or more parties, where division of property may be either equal or unequal, and where creation of the interest may be through one or more conveyances.
* Tenancy in common
‒ ‒ Each party has equal possession and control of the property and the interest is transferrable.
‒ ‒ Upon the death of one co-owner, the decedent's interest passes to his or her devisees or heirs by will or by intestacy.
‒ ‒ Unless the parties are married or do mestic partners, co-owner's interest is not subject to liens of the others' debtor, although a forced sale can occur.
‒ ‒ Primary advantage is that the co-owner's interest may be separately transferable.
‒ ‒ Two or more natural persons must have equal interest in the property through a single conveyance.
* Joint Tenancy
‒ ‒ Each party has equal possession and control of the property and although
interest is transferrable, a transfer would result in the interest to become tenancy in common.
it is considered separate property by the IRS. Thus, if only one spouse is liable for a tax debt, the IRS is limited to only going after that spouse's interest in the property in question. From an estate plan perspective, as opposed to an asset protection perspective, it would surely be in a Domestic Partnership or marriage for the property to be held as community to get a step-up in basis on both halves of the property in the event of the death of one spouse.
‒ ‒ Each party has equal possession and control of the property but interest is only transferrable after mutual consent.
‒ ‒ The entire property may be subject to a forced sale to satisfy debt of either spouse or domestic partner.
‒ ‒ Decedent's interest automatically passes to the surviving joint tenant.
* Community property
‒ ‒ One co-owner's interest is not subject to the liens of the other's debtor, but a forced sale can occur prior to that coowner's/debtor's death.
‒ ‒ Primary advantage is the right of survivor ship, although there may be negative tax consequences.
‒ ‒ The parties must be either spouses or domestic partners with equal division of property, and an interest created from a presumption through marriage or domes tic partnership.
‒ ‒ The entire property may be subject to a forced sale to satisfy debt of either spouse or domestic partner.
‒ ‒ Each party has equal possession and control of the property but interest is only transferrable after mutual consent.
‒ ‒ Decedent's one-half interest passes to surviving spouse or domestic partner.
* Community property with right of survivor ship.
‒ ‒ An advantage is that there are qualified survivorship rights, but mutual consent is required for any transfer of interest.
‒ ‒ The parties must be either spouses or domestic partners with equal division of property, but an interest is created either from a single conveyance or through consent (i.e., for domestic partnerships).
‒ ‒ Primary advantage is right of survivorship, but mutual consent is required for any transfer of interest.
‒ ‒ Decedent's one-half interest passes to surviving spouse or domestic partner.
7 This presumption is for purposes of dissolution of marriage or legal separation of the parties. It does not apply for purposes of transmuting joint tenancy property into community property for estate tax purposes.
9 In re Ann Marie Summers, 278 BR 808 (9th Cir. 2002).
8 CA Family Code § 851.
10 11 USC §541(a)(2).
12 In Re. John T. Gorman, 159 BR 543 (9th Cir. 1993).
11 In re Pavich, 191 BR 838, 844 (Bankr. E.D. Ca. 1996).
13 In re Marriage of Valli, 58 Cal. App. 4th 1396 (2014).
15 MacDonald Est., 51 Cal3d 262, 272 (1990).
14 In re Obedian, 546 BR 549 (2016).
16 In re Marriage of Barneson, 69 Cal. App. 4th 585 (1999).
18 Poe v. H.G. Seaborn, SCt, 2 ustc ¶611, 282 US 101, 51 SCt. 58 (1930).
17 Marriage of Holtemann, 166 Cal App. 4th 1166 (2008).
19 R.D. Robbins, Jr., SCt, 1 ustc ¶154, 269 US 315, 46 SCt 148 (1926).
20 R.K. Malcolm, SCt, 2 ustc ¶650, 282 US 792, 51 SCt 184 (1931).
21 States enacting community property laws tem porarily include Michigan, Nebraska, Oklahoma, Oregon, Pennsylvania as well as Hawaii.
22 As Boris Bittker explains: (T)wo unmarried tax payers with separate sources of income would have to pay a heavier tax if they got married than if they lived together without benefit of clergy, and many married couples would be able to re duce their tax burden by getting divorced. Quite naturally, therefore, opponents of the proposal assailed it as "a tax on morality." The proposal was never enacted, so the inequality between common law and community property states continued through World War II. Some commonlaw states began taking matters into their own hands: Oklahoma led the way, enacting com
munity property provisions in 1939. Hawaii, Michigan, Nebraska, Oregon and Pennsylvania would follow Oklahoma's lead. Proposals to en act community property law were also debated in Massachusetts and New York, but were never passed. Finally in 1948, Congress acted. For the first time, filing statuses were created and we moved closer to the tax system we know today.
23 Phyllis M. Curtis Berenbeim, 63 TCM 2975, Dec. 48,209(M), TC Memo. 1992-272.
24
25 M.I. Siegel, CA-9, 57-2 ustc ¶11,731, 250 F2d 339.
Goodyear, CA-9, 38-2 ustc ¶9532, 99 F2d 523.
for value in accepting the provisions of the will and is not treated as a gratuitous object of the testator's bounty. By a relinquishment of her dower, the estate acquires a valuable right of property. The gift by will in lieu of the other right (dower right) is said to be equivalent to an offer, and to offer something to the devisee in return for his property or interest.
28 Note that oral transmutations were permitted at the time.
26 Where a widow's dower rights are involved as the spouse's dower rights only vest upon the death of the husband and becomes a "purchaser for value." In other words, the spouse is a purchaser
27 J.S. Pierotti, CA-9, 46-1 ustc ¶9230, 154 F2d 758.
29 Wayne-Chi Young Est., 110 TC 297, Dec. 52,691 (1998).
31 Code Sec. 2040.
30 Code Sec. 2033.
32 CA Fam. Code §910(a).
This article is reprinted with the publisher's permission from the Journal of Tax Practice & Procedure, a bi-monthly journal published by Wolters Kluwer. Copying or distribution without the publisher's permission is prohibited. To subscribe to the Journal of Tax Practice & Procedure or other Wolters Kluwer Journals please call 800-449-8114 or visit CCHGroup.com. All views expressed in the articles and columns are those of the author and not necessarily those of Wolters Kluwer or any other person.
|
ADMINISTRATION
DIRECTOR'S OFFICE
On September 17, Library Director Ramiro Salazar attended A Conversation with the Constitution organized by the San Antonio Public Library Foundation.
On September 18, Library Director Ramiro Salazar attended the San Antonio Public Library Foundation Board Meeting and delivered a report regarding the Library. At the conclusion of the meeting, members of the Library Foundation Board toured Connect at Central.
On September 19, Library Director Ramiro Salazar and Assistant City Manager Gloria Hurtado met with Councilwoman Elisa Chan regarding the new Branch Library planned for District 9.
Library Director Ramiro Salazar and Community and Public Relations Manager Caitlin Cowart delivered a presentation about the San Antonio Public Library to the Northwest Rotary Club on September 26. Later that evening, Ramiro Salazar attended the Landa Gardens Conservancy's Landa Nights, an annual fundraiser.
On September 28, Library Director Ramiro Salazar joined Councilwoman Ivy Taylor; Tracey Bennett, President of San Antonio Public Library Foundation; members of the Library's Team; and community volunteers from across the city for the KaBOOM! playground build at the Carver Branch Library. The KaBOOM! playground was funded by Foresters and supported by the San Antonio Public Library Foundation, San Antonio Parks and Recreation Department and the Library.
On September 30, Library Director Ramiro Salazar delivered remarks during NOWCast's 4 th Birthday celebration.
The Forest Hills Branch Library celebrated its 25 th year anniversary on October 5 with a community event. The program included remarks by District 7 Councilman Cris Media, District 7 Library Board Trustee Paul Stahl, Library Assistant Director for Public Services Dale McNeill and Branch Manager Mary Naylor.
On October 10, Library Director Ramiro Salazar, Assistant Director Dale McNeill and Interim Library Services Administrator Dianna Morganti met with Library Foundation President Tracey Bennett and Director of Development Lacey Fischer regarding the Texana collection.
On October 12, Library Director delivered welcoming remarks during the community meeting for the new District 9 Branch Library. District 9 Councilwoman Chan and City Architect Carol Warkoczewki also delivered remarks regarding the project for the new library.
Developer Sam Schaefer will be donating an additional parcel of land to provide a future access point to the District 2 New Branch Library. This additional land will allow the library to have a second driveway and other pedestrian and bike access on the south side of the site at the time when a street is developed in the adjacent residential area.
CHILDREN'S SERVICES [SYSTEM-WIDE]
In accordance with the strategic plan, children's services staff is working to increase both the number and quality of cooperative partnerships the library has across the community. On October 8, one such partnership reaped substantive dividends. SAPL's children's librarians along with their colleagues from the elementary and middle schools of the Northeast Independent School District took part in a professional development day held at the Central Library. This joint mini-conference with its theme of "Tell Us Your Story" featured morning keynotes by poet Naomi Shihab Nye and historian Bill Perryman. Both speakers suggested that engaging the student's emotions is a key component of successful writing and research. The afternoon included breakout sessions on everything from Ancestry.com to Twenty-First Century Learning skills to digital storytelling. Cheryl Sheehan (Branch Coordinator) and Dale McNeil (Assistant Director) were key players in instituting this professional opportunity. From the school district, Faye Haggerty and DeeDee Davenport assumed responsibility for much of the planning and deserve credit for the success of the day. SAPL's children's librarians responded very favorably to the event with several remarking that in addition to the actual information they received, the day provided an invaluable look into the world of school librarians. While public children's librarians share a clientele with their school library colleagues, the way in which the two groups approach the work is quite different. Hopefully, understanding and appreciating those differences will result in an even stronger relationship and greater opportunities for young learners. (Additional thanks to Andy Gordon and the SAPL facilities staff for transforming the Central Library into a conference venue for the day.)
LITTLE READ WAGON
The entire Little Read Wagon team had the opportunity to obtain some continuing professional development at the annual conference of the Texas Association for the Education of Young Children (TAEYC). The three-day conference drew early childhood professionals from all of Texas and surrounding states to learn about various aspects of child development, leadership, math, science, literacy, music and more! Cresencia Huff and Julia Lazarin also had the honor of presenting a session focused on the Play & Learn model as a means of building family engagement and early literacy.
On October 11, the first of five Play & Learn events was held at the YWCA on Castroville Road. A group of four adults and five children gathered to share books and explore activities related to bugs. The group voted on a fall theme for the next event. Several one-time Play & Learn events have been added to the Little Read Wagon schedule. Some of these events are for participants in Northside Independent School District's family literacy program. Due to their rigorous class schedule, these families do not usually have an opportunity to participate in Play & Learn, so Little Read Wagon is going to bring the program to them. Two other Play & Learn events have been scheduled at apartment complexes in different areas of San Antonio. Based on these trial events Little Read Wagon may offer a full series at these sites later in the year.
After months of preparation, on September 21 Little Read Wagon offered the first Exploring Math, Science and Early Literacy workshop for early childhood teachers. Workshop participants especially enjoyed circulating around the auditorium to examine and play with a wide variety of materials that could be used to support math and science experiences. Participants were randomly assigned a pair of math and science outcomes and then challenged to share ways to use the materials at hand to develop specific preschool math and science skills.
MARKETING
The Marketing has been very busy since October 15 with preparations for the WWI poster exhibit, Winds & Words of War, and Hispanic Heritage Month programs. Additional programs have included the Johnston Branch Library open house, Kaboom! Playground build and media communications at Carver Branch Library as well as the first public hearing for the District 2 new library.
The graphic design team has been busy working on the following: Johnston National Night Out/Extreme Library Makeover reopening materials, Guerra Extreme Library Makeover reopening materials, Forest Hills 25th Anniversary invitations, programs, and promotional flyers, new signage for Express Collection, BookCellar sale posters/signage, updating welcome brochures and location map, Remembering JFK materials, November Bookmarks, Affordable Care Act promotions, Rosemary Catacalos promotions, Marie Swartz Art Resource Center materials development, Native American Heritage Month promotions, Connect Grand Opening invitation, Quilt exhibit promotions.
SAPL received 104 media mentions during the reporting period.
Social media: The SAPL Facebook paged reached a major milestone by surpassing 6,000 friends. There are currently 1,581 Twitter followers as well.
TEEN SERVICES [SYSTEM-WIDE]
Staffing
Caroline Mossing started at Central Teen Services as a Librarian I on September 30. She will focus on science and technology programming for teens and is a great addition to the Teen Services staff.
Off-Site Service
On September 30, Teen Services Librarian II, Kathleen Fordyce, attended an orientation for incoming students at the Academy of Creative Education (ACE). She spoke to students about the services and resources the library offers for teens, including Live Homework Help and Learning Express Library. Students also received library cards. Kathleen gives presentations at these orientation sessions every few weeks because ACE has rolling enrollment during the year.
On October 3, Kathleen and Caroline visited Jefferson High School and gave 14 presentations to over 1,200 students. Kathleen talked to the teens about the after-school programs offered by their closest neighborhood libraries, and then showed a video made by Teen Services teen volunteers that highlights the services and resources the library offers for teens. Then, Caroline spoke to the teens about the downloadables the library offers.
Partnerships
The Kids Café after-school snack program started up at Central Teen Services in September. Kathleen has supervised the program for several years and continues to do so. Teen Services staff picks up snacks at the S.A. Food Bank and serves them to hungry teens after school from September through May.
The first Inspire U workplace mentoring (part of SA2020) meeting of the school year took place on September 30. Library "bigs" met with their "littles" at Edison High School. The littles are now in ninth grade and were very happy to see their mentors after the break during the summer. Kathleen continues to serve as the liaison for the program, administered by Big Brothers Big Sisters.
CENTRAL LIBRARY
CHILDREN'S SERVICES
Fall is a busy time for Central Children's staff. Planning for several in-house and system wide programming initiatives is in full swing. The décor on the third floor features many playful elements including a Halloween/Autumn reads area where patrons can visit the "Stuck on a Good Book" spider web display created by Amy Lewis (Librarian I). A battle of the genres is taking place in the Juvenile Fiction section featuring two "Rockem' Sockem'" robots facing off with two new genres weekly. Books have been flying off these new displays and many visitors have mentioned how eye catching and fun they are. Visitors this month included librarians from NEISD who were at Central for a joint mini conference with SAPL children's librarians. Many of these school librarians took pictures of the displays on the Children's floor and ideas for activities, bulletin boards, and displays were all shared. All the Department librarians were in attendance at the conference and were able to participate in several sessions.
Outreach relationships during the new school year are flourishing. New librarians Amy Lewis and Jasmin Salinas learned the ropes and took on their first Outreach visits to Madison Square Child Development Central and Central Christian Child Care Center. Kate Sandoval (Librarian II) and Ruth Chiego (Department Manager) provided both Lewis and Salinas with training and assisted as needed during their first visits. Both Lewis and Salinas are already making plans to visit Pre-K 4 SA sites and are also working with a few local elementary schools.
Ms. Sandoval took the lead in several specialized tours highlighting art at Central as well as the Young Pegasus competition. She and Ms. Salinas, Ms. Lewis, and Library Assistants Mary Elizabeth Fernandez and Judith Slaughter all worked as a team with large groups from St. Luke's Episcopal School. Ruth Chiego (Librarian (III) led students from SAC and UIW in collection orientation tours which highlighted their areas of study. Ms. Chiego also provided the groups with best practices for collection development for the specific age groups of focus. The student teachers in both groups will be working with students in pre-kinder, elementary, middle and high school grades.
Ms. Sandoval, who was an instrumental member of the Hispanic Heritage Month Committee, was able to work with Ms. Salinas on making the HHM Committee's 2013 program come to life during Family Fun programming. After some exciting tales, children were invited to create their own paper molas, play with Central American animal puppets and get involved in some interactive globes on iPads, all while listening to the music of the region. The Family Fun excitement didn't stop there. Other recent themes have included a lucha libre story time and craft where children (and their grown-ups) could make their own outfit complete with mask and cape. The topic of "seeds" was brought alive when Ms. Sandoval brought a variety of both small and large seeds in for the children to examine with large magnifying glasses. The children also created their own wall garden showing the cross section of seeds sprouting roots, and then blooms.
Ms. Salinas also began preparing for and implementing in-house visits with Central Christian and Green Acres Child Care Centers. Both groups meet with Ms. Salinas a couple of times each month. Ms. Lewis continued Toddler Time activities with lots of new faces and themes of the season including fall, owls and monsters.
Ms. Chiego and Ms. Sandoval continued to partner up on Play & Learn at Central creating everything from a jungle landscape to a shopping mall for young participants and their caregivers to explore.
Ms. Salinas and Ms. Lewis also worked diligently on updating the third floor's end panel signs. This is an ongoing project and both have identified new ways to make locating materials in the Children's area much easier for visitors and for staff.
In her work as Chair of the Cataloging Issues Committee for Children's Services, Ms. Chiego worked with Nohemi Lopez-Rosdahl (Librarian II – Collection Development) to identify corrections needed in the collections across the system. Ms. Chiego has also been working to continue revamping the way summer reading book supplies are stored and inventoried to make supply tracking and distribution easier for years to come. Ms. Sandoval has also been invaluable in helping to develop these processes. Ms. Chiego also has been providing training to staff both in the Children's Department and other Central Departments in working with parents and children, and ensuring good customer service. She has also acted as a consultant for the Safety and Security Work Group which discusses issues on a system-wide basis.
DIGITAL SERVICES
On September 18, Adam Spana attended a webinar to learn about upcoming enhancements to the library's AirWatch mobile device management platform. On September 30, Ignacio Albarracin and Adam Spana met with the library management team and Hugh Miller, Director of ITSD, to discuss the library's participation in Apple's Volume Purchase Program. On September 26, Ignacio Albarracin and Rolf Laun met with ITSD and Fiscal to discuss implementation of the online payment system. On October 1, Digital Services staff completed year-end activities in the Millennium ILS, including the updating of circulation statistics, addition of new loans rules, and the collection of fiscal year patron data. On October 11, Adam participated in a focus group regarding the City of San Antonio's Core Values.
OUTREACH
After more than 80 years of service, the bookmobile is going out of business. October 4 was the last day that patrons could check out items from the vehicle; October 24 will be the last day that patrons can return items to the vehicle. The Outreach office will then close and its staff will go on to new assignments.
On September 27, Outreach's deposit-collection service to assisted-living centers terminated. On September 28, Ramona Lucius ran an information table at a fall festival in Kirby.
REFERENCE/GOVERNMENT DOCUMENTS
Reference staff is kept very busy in Connect at Central; assisting patrons at the Computers and checkingout Laptops and Tablets are just a few of the daily activities in this popular area of the Library. In the Connect Training Center, staff holds regular classes on a variety of topics. Every Monday afternoon, a Reference Volunteer provides one-on-one help on job searching in the 'Employment Assistance' class.
On September 24, Jim Laferla provided an informational class on patent searching. On September 28, Pannaga Prasad presented information on the skill building and practice test features available on the 'Learning Express Library' Database; these features support educational and career advancement and enhancement efforts. Another class created for Connect is Adolph Lopez' 'Technology Questions Answered' series. The class is offered every Wednesday as an open forum; Adolph assists people with questions pertaining to basic computing, smart phones and the Internet.
TEEN SERVICES
Weekly Programs
Mondays with J.D. Elizondo (Library Assistant): J.D. continued Eclectic Electric music programming, with an additional art component throughout the reporting period. The teens learn to play instruments and are able to express themselves creatively by working on art projects afterward. J.D. is facilitating the teens' planning and construction of the second annual Teen Services Haunted House. The teens provide all the creativity and manpower, as well as acting ability for the haunted house (by being "scarers" on the tours). On October 14, J.D. hosted a "Sharknado" edible craft program requested by teens in which they decorated cupcakes with shark gummy candy, blue frosting (for the water) and ice cream cones.
Tuesdays with Caroline Mossing (Librarian I): During the reporting period, Caroline hosted Science and Tech Tuesdays, during which teens explored principles of flight with paper gliders, examining how small changes in form affected the speed and direction of their gliders, and created simple animations with Scratch, a web-based coding interface from the MIT Media Lab. Caroline (a new librarian in Teen Services!) will be continuing Science Tuesdays, while adding in a Tech component. Future programs will include learning how to code and exploring robotics.
Wednesdays with Kathleen Fordyce (Librarian II): During the reporting period, teens enjoyed playing video games, as well as board games. Teens continued to work on J.D.'s haunted house program on Wednesday nights during the reporting period. On October 9, Matthew Molpus from the S.A. Food Bank did a demonstration for teens of how to make healthy yogurt parfaits.
Thursdays with Regina Almanza (Library Assistant): Teens made tasty snacks to round out their September Thursdays. On September 19, in honor of "Talk Like a Pirate Day," teens made pies. Afterward, they decorated votive candle holders using glue, gems and stained glass paints. The following week, in honor of Hispanic Heritage Month, teens recreated and modified a Chilean dish, Tomaticán. At Teen Services, all October Thursdays consist of teens engaging in creative activities or enjoying a food craft inspired by most teens' favorite holiday: Halloween. To start things off, teens used a plastic sheet, glue, paints and mylar sheets to create a spooky eye mirror. Teens also made smoothies using leftover items from Matthew's Food Bank demonstration. After each activity, teens requested the use of a video game system. Teens competed against each other in a supportive manner, offering tips to each other when recognizing others might need them. Peer interaction and encouragement, creative expression and friendly competition rank high on Thursday nights. Pictures from select Thursday programs (as well as other fantastic teen programs around the system) are on Teen Services' Flickr page: http://www.flickr.com/210teenlibrary.
For a special Saturday event, teens participated in a teen-suggested program, making waffles (hosted by Regina). Teens made the batter, shared waffle-making duties and paired ingredients to create one-of-akind waffles to their liking. As a result, in an encouraging and positive environment, many teens suggested future program ideas they want to happen at their shared space at the Library.
TEXANA / GENEALOGY
Hiring a Professional Genealogist was the subject of September's genealogy class at Igo Branch. Eleven people sought Andrew Crews' advice on what to look for and what to expect if hiring someone else to assist in their research.
On October 1, Matt DeWaelsche gave a program on online archives at Connect at Central. The class discussed locating archival resources and how o use them.
Central Library was the site of workshops for a NEISD librarians' conference in early October. Deborah Countess spoke to a group of eleven on the topic of Genealogy for Students.
On October 12, a group of local archivists from UTSA, City Records Facility, and other local institutions joined Matt DeWaelsche to explain to parents, educators, and others the resources available local archives, especially in regard to National History Day.
BRANCH LIBRARIES
BAZAN
Librarians Patricia Soderberg and Esperanza Sonnen attended several Affordable Health Care Act workshops, gathering information that will assist staff in guiding community members to website information.
Children's Librarian Esperanza Sonnen continues her outreach at two local SAISD elementary schools doing Book Clubs to 4 th and 5 th graders. The students really enjoy her visit. She also visits her Avance group reading stories and taking Board Books for teachers to read to their children. She also celebrated Hispanic Heritage Month with a program called Destination: Central America. The kids and adults enjoy hearing stories from Central America with a follow up craft making Molas.
85 participants stepped by the library table at the National Night Out event held at La Trinidad United Methodist Church. Librarians Rebecca Alvarez & Esperanza Sonnen were glad to know that so many members were already library users!
Two guest presenters highlighted Hispanic Heritage Month: Dr. Marco Portalles presented an overview of the Mexican Revolution, the topic of this work: A Mexican Revolution Photo History: Pancho Villa, Emiliano Zapata, and U.S. Interests. Mr. Gus Martinez a local historian and re-enactor visited and talked about the Battle of Alazan Creek which took place on the Westside in June 1813 and was part of the Mexican War of Independence.
BROOK HOLLOW
Brook Hollow Library was pleased to partner with the Department of Public Safety in serving as a mobile station location to offer Election Identification Certificates on October 1 and October 2.
On October 6, the branch hosted Pretty and Drought Tolerant? Alternative Solutions to Traditional Lawns a program in partnership with San Antonio Water System and San Antonio Botanical Gardens.
,
Brook Hollow Library continues to be a popular meeting place for community home owner associations, who often book the meeting room on evenings the branch is open late.
Teen Time has found new success with a changed day and time slot, on Wednesdays from 4:30-6:00pm. Teens have been enjoying planning activities and how to decorate the new teen zone that resulted from the branch's extreme makeover.
Many patrons commented on how pleased they were to attend a book sale hosted by the Brook Hollow Friends of the Library on September 21.
CARVER
Assistant Branch Manager D.L. Grant made an outreach visit to the District 2 senior center, where he met with dozens of retired persons who wanted to learn more about the services offered by San Antonio Public Library.
In September, the branch celebrated Hispanic Heritage Month with a writing workshop led by author Antoinette V. Franklin. In the spirit of the occasion, students were encouraged to write stories relating to
Hispanic culture and influence. That event was followed by Savor, a Latin-inspired food-tasting and poetry reading sponsored by the branch and the Friends of Carver Library. Staff also gathered a collection of Latino-themed materials that likewise celebrated accomplishments of Hispanic Americans.
After months of planning, Carver's much-anticipated children's playground became a reality. Dozens of volunteers and from the Carver community and across the city descended upon the branch to make it happen. After the foundation was allowed settle, the playground officially opened on October 1. Children flocked to its swings and slides for a good time. The project was sponsored by non-profit organization KaBOOM! and national partner Foresters.
District 2 Councilwoman Ivy Taylor launched her book discussion group at Carver Branch on Saturday, October 12. The group considered The Pact by Sampson Davis, George Jenkins and Rameck Hunt.
Carver's Hispanic Heritage children's program was on September 18, during which the children looked at examples of Central American molas, listened to and watched information about the Mayas and made molas of their own from construction paper. On September 28, the play ground was built at Carver. While the adults worked on construction, the kids, with children's librarian Amy Thorne, painted murals on plywood boards, played games and made the paper ring "ribbon" for the ribbon cutting ceremony. The following week, Family Fun was held outside at the new play ground—where after the book was read, kids used solar paper to make their craft. Amy spent National Night Out on October 1 at the Artisan apartment complex, signing up residents for library cards and telling them about the library's offerings. She's also been visiting Miller Child Development Center with books to help support teachers' early literacy efforts.
Carver's teens—some of whom volunteered during the play ground build day - were happy to see that the playground build included two new garden planters in addition to their own container garden. They continue to meet on Thursdays for games, fun, movies and garden activities.
CODY
Sheila Acosta, Children's Librarian, resumed her visits to the Head Start on Rhapsody on September 19. The new director invited Sheila to continue visiting the five classes each month, bringing books for each class.
Cody children and families celebrated Hispanic Heritage Month with a family fun program on September 19. After Sheila read a couple of folk tales from Central America, she had the children replicate Panamanian folk art called "molas." The children enjoyed these as much as the parents. Snacks were served at the end.
Lego fans attended Cody's monthly Lego Club meeting on September 24. Children formed teams to work on their "outer space" creations, which was the theme of the day. Each of the teams had their Lego creations displayed in the New Book section for a couple of weeks.
Children who registered for the Rocky Pals art program held on September 26 were also entertained by the Rocky Pals puppet assistant, Charlie. Charlie would ask each of the children about their "rocky pals" or "pets" throughout the workshop, so the children were doubly entertained.
Howsman Elementary Art students from both first and second grades have their art work displayed in the children's area through the middle of October. Sheila contacted Kristy Lee, Howsman Elementary art teacher, who was very interested and eager to bring some of her students' art work to exhibit. Children have brought their family members in to the library to show off their art on display.
Using the "phone booth" app, Tweens shared their fun art work that they created on the children's dept. iPads on September 30. In addition to the iPad art, they also enjoyed creating art with "post-its", which Sheila displayed in the children's area.
Sheila hosted a special "story time" on October 3 to promote "Read for the Record." She reported reading the book Otis – the book selected for this year- to a total of 30 children on that day. Crafts related to the story, and a snack followed the reading.
Sheila addressed over 300 people attending Colonies North Parent Math and Reading Night on October 10. Families heard about the Young Pegasus contest, BookFlix and TrueFlix databases for children, as well as information on events at the Cody Library. The principal invited Sheila to speak to each of the grades as they rotated to various stations.
Over 100 Cody patrons attended the Bats! Bats! Bats! Event on October 12. Fran Hutchins from the Bracken Bat Caves gave a multimedia presentation on bats and entertained questions at the end. Sheila hosted a couple of "bat" crafts for the children following the presentation, and Deborah Bender, Library Assistant, handed out door prizes to attendees.
Branch Manager Hayley Latshaw and Debbie Bender attended the Ta'am Ha'Ona: Celebrate Sukkot event at the Barshop Jewish Community Center on Sunday, September 22. They spoke about the variety of services that the library offers. They spoke to several families about Overdrive, TruFlix, and BookFlix.
On October 1, Sheila had a story time as part of Cody Library's National Night Out event for patrons. Patrons of all ages were treated to cake and lemonade. Attendees enjoyed the opportunity to meet to meet their neighbors and members of their local branch library staff.
On October 12 Cody celebrated Hispanic Heritage Month with a classical guitar performance by musician Luis Berrios.
Teens at Cody made history during the month of September and start of October. Teen Leaders put on two different events at the library. The first event was a classic movie night. Teens collaborated on selecting the classic movie to watch and decided to show one film along with the movie trailers from their alternate movie choices. A teen leader introduced the 1959 film Some Like It Hot, then teens ate popcorn and watched the flick. After the movie teen leaders held their monthly meeting to plan their next events.
The next event Teen Leaders implemented was a Jam Sesh. The Jam Sesh was an open music jam for teens to bring their musical instruments and play music. A teen leader created a flier and other teens were confident they had enough supplies, amplifiers, and musical instruments to make a rocking event. Nonetheless, teen services session musician J.D. Elizondo brought his Eclectic Electric gear and added to the mix of guitars, drum machines, percussion tools, and a saxophone. The Jam Sesh ultimately was chaotic sounding, with many people playing at the same time, however teens enjoyed creating a program of their own. In teen leader Allison's words, "We jam hard".
COLLINS GARDEN
Children's Librarian Leigh Bedford has increased the range of her outreach programs. She is visiting elementary schools, passing out bookmarks about library services to children and talking to parents and students about Young Pegasus. It is her hope that increased visibility in the school communities will increase public awareness of local library services.
The Collins Garden Branch has also created several displays in hope of increasing public interest in the branch collection. Displays have included poetry, Hispanic Heritage and titles to assist students with homework assignments. Each display includes free bookmarks that mention services such as BookFlix, TrueFlix, and Young Pegasus.
CORTEZ
Children's Librarian Connie Hejl designed an informative display about events and programs scheduled in celebration of Hispanic Heritage Month. The movie Girl Fight was screened on Saturday September 28 and the acoustic group Optic Arrest performed on Saturday October 5 in celebration of Hispanic Heritage Month.
Branch Manager, Pam Longoria, Librarian Jerry Madrigal, and Circulation Attendant, Charlotte Espinosa continued processing birth certificates and immunization records for sale at the library through the month of October. The program will transfer to Las Palmas Branch Library beginning on November 5.
Zombie Meet, hosted by Library Aide Madeline Vasquez, continues to be a popular monthly program.
Cortez continued to offer its weekly Teen Time program on Thursdays. Loyal patrons regularly attend this program, which offers teens a chance to play video games, use the Internet on laptops, participate in craft activities, and socialize with friends.
The teenagers especially appreciate the snacks and refreshments provided by the Friends of Cortez Library. On average, around 9-12 teenagers attended this program. Library Assistant, Jo Ann Paredes, designed an eye catching display promoting Young Adult reading.
Cortez continues offering ESL weekly. The class remains popular. Attendance for the Saturday ESL classes continues to steadily increase.
Cortez continued its regular slate of programming for children including offering two new popular monthly programs for children and teens. Children's librarian Connie Hejl hosted the LEGO club and the Teen Brony/Anime club.
FOREST HILLS
The Forest Hills Branch Library celebrated 25 years of service to the community on October 5. The public was invited to join staff for an afternoon of refreshments and musical entertainment. Assistant Director Dale McNeill, Councilman Cris Medina, Library Board member Paul Stahl, and Branch Manager Mary Naylor kicked off the event with a remarks followed by St. Mary's Code Blue dancers and cheerleaders, music from the St. Mary's Music Department (singers) and the San Antonio College Music Department (a Latin Jazz Combo). Children were entertained with a special visit from Artpace (creating family-friendly art projects) and the Jolly Joeys of Clown Alley (doing temp tattoos and face painting). A photo booth offered attendees the opportunity to don silly props and take photos to commemorate the occasion. Saldaña & Associates and Deborah Dockery, the Architects involved with the design of the building and its subsequent addition, sent dozens of green and purple balloons. Blue Bell Ice Cream donated 120 cups of vanilla ice cream, Starbucks offered coffee and tea service, and the Holmes High School Culinary Dept students created themed cupcakes and sweets. The Friends of the Forest Hills Branch Library provided funds instrumental in the creation of the event. Purple and green were chosen as the color theme in honor of the Forest Hills's unofficial mascot "Forest", a large purple and green dinosaur, which was created by Library Assistant Robert Solis and has sat at the Forest Hills Circulation Desk for many years. The event was a very successful celebration marking the branch's 25 th anniversary.
Adult Programs
The weekly Qigong class continues to be a popular offering with senior patrons. The attendance has steadily grown to a well predictable number each week. The class meets every Saturday morning in the Forest Hills Branch meeting room.
Sandra Griffin, the Adult Services Librarian, met with partners (UTSA, Alamo Area Agency on Aging, and Morningside Ministries) who participated in the Spanish language Caring with Respect program. The group is now planning for another dementia care for seniors program at Forest Hills (in English this time) for February 2014.
Children's Services
Change a day and see them come! The pre-school Storytime was changed from meeting on Tuesdays to meeting on Thursdays. It was a huge swift in what has "always been". The regular group used to meet in the children's seating area, but has grown to such numbers that it was necessary to relocate the program to the branch meeting room. Ms. Shelley led the pre-schoolers in learning about the human body and has included easy Spanish books to incorporate a bilingual aspect into the program.
Second graders from Esparza Elementary School toured the library and learned how to get library cards. The students were eager to learn about the library and checkout books.
The tweens have enjoyed playing games and using the hula hoop during Tween Time on Tuesdays. They made paintings with a tree and ghosts using their arms and hands for the trees and their feet prints for ghosts. They were ghoulishly fun to design.
Teen Services
Teen Time has some faithful participants and the group is expanding. Library Aide Monica Castillo successfully appeals to teens and invites them to participate in the activities every Wednesday evening. They recently made placemats for the Jimenez Thanksgiving dinner.
Outreach to the Community
October proved to be a busy month for outreach activities by Forest Hills. On October 6, Mary Naylor, Branch Manager, attended State Representative Justin Rodriguez's 8 th Annual Health and Resource Fair at Sul Ross Middle School. Mary distributed information on library services and programs. She was delighted to see many familiar faces of regular patrons at the fair. Many individuals asked how they could take care of accounts that had balances, or how to replace lost cards.
Valerie Shelley ventured to Longfellow MS to address an excited a group of 6-8 th graders for a book review chat and breakfast. She also teamed with LRW on a visit to Oak Hills Terrace Elementary School where parents given information about early literacy and invited to visit the Forest Hills Branch. Parents at the Villarreal ES PTA October meeting were also provided with information about using the library and the many services available to them. Valerie continued working with Villarreal Elementary School as she presented a story time book to the first graders and reviewed the electronic SAPL catalog, TrueFlix, Bookflix, and homework help to third graders. Valerie continued outreach to the Children's Summit Learning Center where children were provided with books on the topics celebrations, me, and fall. Valerie participated in the Read for the Record event with Martin ES, reading to 126 students and 6 teachers. Forest Hills provided a table at the Woodlawn Apartment's National Night Out. Valerie provided activities for the children and materials to give to the adults. The atmosphere was lively and was a great opportunity to spread the word about the library as a community resource.
Valerie and Mary presented Our Story about renovating the children's area at Forest Hills at a join miniconference held at the Central Library on October 8. Librarians from the North East Independent School District as well as SAPL Children's librarians came to the breakout session to learn about the ways San Antonio librarians have recharged their library spaces for children.
GREAT NORTHWEST
Adults
Theresa Brader, Library Assistant, attended the National Night Out event at Knowlton Elementary. Cari Raley, Children's Librarian, attended an outreach event at Home Depot on October 5.
The band Optic Arrest was a hit during the Great Northwest Hispanic Heritage event, September 28. Customers enjoyed music and refreshments.
On October 7, customers filled the meeting room to enjoy the haunted stories, audio and videos played by Sixth Sense Paranormal.
Children
For Kids Time and School Time, Hispanic Heritage was celebrated. More customers have been attending compared to last year.
Teens
Teens have been attending the programs that Teen Librarian, Stephanie Vasquez, has been creating for them. Movie night and food crafts are a big hit with them. Teen anime club had a tea party trying different teas from Japan.
GUERRA
Library patrons expressed pleasure and appreciation for the facilities improvements. The Friends held their semi-annual book sale on October 4 and 5. Staff held a pumpkin carving event on October 13 for 30 members of the community.
Branch Manager Dexter Katzman attended COLS on September 26, the Safety Security Work Group meeting on October 2, and the branch manages meeting on October 3.
During the reporting period, Children's Librarian Arlene Richardson-Gibbs planned and presented four Toddler Times and four Story Times--September 18, 25, and October 2 and 9. With help from Library Assistant Leticia Guerra, she planned and presented four Tween Times, on September 17 and 24 and October 1 and 8. On October 1, she presented a Hispanic Heritage Month program. On September 20, she presented Story Times to 30 at The Greatest Gifts Daycare. On September 24, she attended Rayburn Middle School's Parent Night where she promoted library programs and services. On September 27, she presented Story Times to 92 at Lackland Village Headstart. In celebration of Star Wars Reads Day (October 5), Arlene, Library Assistant Leticia Guerra, and Library Aide Celicia De Los Santos planned and presented a program which included a display and craft activities for families. On October 8, Arlene participated in an NEISD/SAPL Mini Conference at the Central Library; the theme was Telling Your Story. She used this opportunity to learn and network with her SAPL and school library colleagues. She participated in both full group and breakout sessions.
On September 18, Stephen Jackson, Adult Services Librarian Stephen Jackson attended EPDP training. He held Game-Ra programs on August 23 and October 10. On September 26, he moderated the Club de Lectura (Spanish book club). Participants discussed El príncipe de la niebla (The Prince of Mist) by Carlos Ruiz Zafón. That evening, he supervised the teen movie World War Z. Mr. Jackson conducted outreach at Cable Elementary School during National Night Out on October 1. On October 3, Mr. Jackson supervised teens who helped the Friends of the Library set up for the book sale. The next day, Mr. Jackson gave a bilingual presentation to parents of elementary children on the importance of reading at home to children sponsored by Comprehension Instructional Sequence (CIS). October 9 Stephen attended a Teen Services meeting. Two new volunteers started at during the reporting period.
On October 12, Corinna Cabeza, Library Aide, hosted guest speaker Larry Johnson, an author and broadcaster. Mr. Johnson spoke about his life traveling to Mexico as a blind person with just a guide dog for support, broadcasting the 1968 Olympics from Mexico City, and covering the Apollo 11 lunar landing. He took questions from attendees following his presentation. Twelve people attended the program.
IGO
Children
The Children's Services Department at the Igo Library continues its highly successful programming efforts, with an average attendance of 45 children at each weekly session.
In additional to regular early literacy programs, the children's service staff offered a special Family Fun event on Friday, September 20, to celebrate Hispanic Heritage Month. Participants had the opportunity to hear traditional folktales from the various regions of Latin America and invited to create original folk art molas, traditional layered appliqué art based on the book selections.
Discovery Time Science offered preschoolers a closer look at changes in nature brought about by the change of seasons. Three- to five-year-olds and their caregivers explored the rich grounds around the large live oak behind the library, collecting specimens for the magnification exploration station. Creating nature books and leaf rubbings, along with reading wonderful early science fiction and non-fiction, rounded out the session.
Tween Time is finding an audience with 9- to 12-year-old patrons. Tween Time is offered on the 2nd and 4th Monday of the month this fall. Activities included book talks, exploring pre-loaded iPad apps, construction using Straws and Connectors, as well as, duct tape crafts and painting. Participation is slowly growing with five to nine Tweens attending the bimonthly program.
Teen Services
Teen Services at Igo offers programming for several teen interest groups. The Igo Teens DigiLab is still at work on its inaugural production, which should be completed by the end of November. The Igo Starbooks Café (book discussions) and I..Go Otaku (anime) are strongly attended, averaging 25 teens per meeting. A newly formed group are the I..Go Who-vians, teens with an ongoing interest in the Dr. Who television series. This group recently acquired a Dr. Who "TARDIS" poster to adorn the Digi-Lab door. I..Go Around the World, an international club with over 15 members, celebrated its third anniversary last week and is preparing several interviews for recording in the Digi-Lab.
,
Teens at Igo have also the opportunity to create a new clubs as well. The newest addition is Igo Quartet working on short programs to be recorded in our DigiLab.
Igo Teen Leadership Group is working on two upcoming events. On October 23, the group will hold a book release party celebrating the publishing of Rick Riordan's House of Hades. On October 30, the Igo Teens will conduct a Halloween party.
Adult Services
On September 21, Michelle Ricondo kicked off the Igo Creative Writing series for the burgeoning novelists in the community. The first session, titled Getting Started on Your Novel, proved to be popular with 28 attendees all participating.
The Igo Library hosted Dr. Michelle Bushey of Trinity University and Pam Rosser, Conservator of The Alamo, on September 28 for an engrossing presentation of The Chemistry of Art at The Alamo. Dr. Bushey went through the chemical aspects of the art found on the walls of the Alamo and Ms. Rosser explained what steps she and fellow conservationists are taking to preserve the art. All the program attendees asked many questions and stayed behind to discuss the future of the Alamo with Dr. Bushey and Ms. Rosser.
The Igo Elderberries met on Thursday, October 3. Niki Lake, a Texas Parks and Wildlife Ranger, presented the history and resources of the Government Canyon State Natural Area. She illustrated her talk with various Native American and natural artifacts. 24 people attended.
JOHNSTON
The Johnston Branch Library reopened for business on Monday, September 23 after an extensive renovation that included replacing the branch's carpeting and furniture, repainting the building's interior and exterior, installing new automatic front doors, new insulation, and upgrades to its HVAC system. The extreme makeover has prompted rave reviews from Library patrons and staff alike. The branch's open house ceremony took place on October 1 in conjunction with National Night Out with about 100 attendees.
Library Assistant Christina Martinez has been bringing neighborhood teens into the library with programs tailored to their interests, including a paranormal program on October 9 that had 18 in attendance. Movie and game nights using our new television have also proven popular with the library's younger clientele.
LANDA
Children's Librarian Clair Larkin was busy with regular programming, outreach and attending conferences. The early results of programming changes are beginning to be seen. Tuesday morning Baby Time is very well attended, with upwards of 25 babies plus their caregivers participating. Wednesday afternoon Baby Time is slowly growing and developing a core of five babies in regular attendance, plus more who are not necessarily coming every week. Toddler Time has been broken into two groups, each group sees between 15-20 or more toddlers plus their caregivers. Story Time remains popular. Come and Go Crafts are a big hit with children and adults, especially the fact that the crafts are available all day on Fridays. Clair went out and spoke to over 150 students in grades K through 5 at Lamar Elementary in SAISD, then spoke to about 300 St. Anthony Catholic High School students in their cafeteria later that same day. On October 4 and 5, Clair was given the opportunity to attend, for free, the Texas Association for the Education of Young Children conference held at the convention center here in San Antonio. For two days, Clair attended such sessions as using sign language in programs, incorporating math into story time, and afterschool programs. Clair was also able to attend a one day joint NEISD/SAPL conference at Central Library centered on story telling on October 8. It was a great opportunity to meet school librarian colleagues and attend sessions on digital story telling, presentation skills, poetry and history.
Landa Teen Services experienced exciting programming by teens. There were 18 programs and 111 teens participating during the reporting period.
The Teen Library Leadership Council continues to encourage teen outreach in the form of advocacy. Teen Council members Maddie C. and Hana K. wrote about their meeting with Councilman Diego Bernal.
http://210teenlibrary.wordpress.com/2013/10/09/landa-teen-outreach-a-meeting-with-councilman-diegobernal-district-1/
The council members have used their time wisely by creating inventive, teen programming such as a Teen Debate about the current US government's shutdown.
On October 13, Bea Canales, Teen Liaison, strengthened peer-to-peer relationships during the Teen Read Week. The theme "Seek the Unknown" led to a discussion of seeking to understand, with empathy, disabilities in others by leading each other around the library with opaque glasses. Teens remarked that they felt, "laughing at first then scared if this was permanent."
The International Teen Club remains strong in promoting international themes in the form of blogging and peer-to-peer communication to another country. "Ale" has blogged on issues relating to cultural diffusion, international technology and Japanese kimonos. On October 13, Ale interviewed Rubi Jaimes, Landa teen club leader in a student exchange program in Japan, via a Skype session. She was the guest speaker for the club meeting, too.
Adult programming at Landa continues to blossom. Landa Manager Michael Kaminski has established a series that brings in quality musical performers. In September, Sellers and Hymel presented a Saturday afternoon program that attracted an enthusiastic audience of 30 adults. The musicians sang both old favorites and original selections and accompanied themselves on guitar and banjo. These programs are attracting an increasingly larger audience since the series began earlier this year.
This month's members of the Seniors Mystery Book Club read the current thriller Suspect by Robert Crais. Silver Screens Classics, a monthly movie matinee for seniors, featured Singin' in the Rain, a musical with Gene Kelly, Debbie Reynolds, and Donald O'Connor. Both of these groups continue to attract dedicated, faithful participants.
Manager Michael Kaminski and Adult Services Library Karen Sebesta represented Landa at the annual National Night Out Event. This year's location for the Monte Vista area was at Laurel Heights United Methodist Church. Approximately 35 adults and children stopped by the Landa table to find out about library events, do an owl craft, and enjoy a fruit cup.
LAS PALMAS
Gina Brudi, Children's Librarian visited three daycare centers at which she presented several story times and took library books for their leisure reading. 74 children and ten adults enjoyed her presentations. In the Library Gina presented four Family Fun programs which drew a total of nineteen children. Gina also presented three Tween sessions with activities for the nine to twelve year old age group. Six Tweens participated in various theme-based programs.
Sylvia Pachecano, teen librarian, presented four Wednesday evenings of teen activities using various theme based crafts. She had 30 participants in her colorful craft sessions. Sylvia also continued to lead teen volunteers in assisting in the Library with shelving magazines, media and some books keeping the Las Palmas Library looking well organized. Sylvia has also been excelling in attracting new teens to the Las Palmas Library through her efforts of recruitment when she visits schools and other organizations in the community promoting the Library with every visit. Sylvia Pachecano was also the representative from Las Palmas who participated in the National Night Out at Benavides Park on Tuesday, October 1.
Raymond Villarreal, manager, led the Las Palmas Book Club for the month of September in the discussion of the novel Heading Out to Wonderful by Robert Goolrick, "an altogether unforgettable story of love gone terribly wrong".
Raymond Villarreal has been working with his supervisor, Joel Bangilan in redesigning the interior of the Las Palmas Library. A floor plan and a timetable for project completion were discussed and affirmed by his supervisor.
The Las Palmas Library is in the process of being established as a Vital Records library. Work is in progress in the remodeling of the circulation desk and in the transfer of documents and equipment. Melissa Perez from the Las Palmas Community Link Center is now with the Las Palmas Library as a staff member who comes to the Library with the needed experience and excellent customer service skills.
MAVERICK
Several events have happened this month at the Maverick Branch Library. The Friends of the Maverick Library held a successful Fall book sale on September 21 and September 22. On September 28, a résumé program presented by a patron, Deb Banks, had great participation with ten adults in attendance. There is great demand for more resume programs in the future. On October 4, for Hispanic Heritage Month, Dr. Marco Portales from Texas A&M shared his knowledge of Pancho Villa to 17 patrons. Children's Librarian, Amy Roberts, did a presentation on the Wild West/Pioneer Life for 7 1 st grade Tiger Cub Scouts and their parents. The Tiger Cubs were attentive and enjoyed the worksheet that Amy created for them. A wonderful acoustic guitar program was the last Hispanic Heritage event at Maverick on October 12 with 40 attendees.
Training has also been an essential part during this time period. Maverick hosted HR and library staff for Open Enrollment Benefits Training on September 24. Amy attended a joint mini-conference with NEISD Librarians and SAPL Children's Librarians at Central Library on October 8.
MCCRELESS
Two Family Fun events were held during this time period. At the end of September, in celebration of Hispanic Heritage month, families gathered to learn about Central America, Mayans and to make Panamanian molas. In October, parents and children participated in Construction Fun, making structures out of gumdrops, toothpicks, straws, blocks and magnets. Both events were well attended with 27 and 37 participants respectively.
Story Time themes included the jungle, the desert, farm animals and horses. Children danced, sang, created a paper rocking horse and a lizard painting, among other activities.
The branch had to bid farewell to Adult Services Librarian David Liserio as he has returned to service in the San Antonio school system as a Librarian. There was a party on October 9 to send him off in style.
Teen Time at McCreless had record attendance in October. The branch has two new volunteers approved for Teen Time and they are very excited to get involved.
Book displays for this time period included "Healthy Eating" in September and "Fear Factors" for October.
The branch got a new boiler as part of the capital improvements and it is much smaller and more energy efficient than the old one. The work was done with no disruption in service.
The Friends of McCreless met on September 30 and agreed to fund the holiday staff party and additional purchases of shelf holders for the branch. In addition, they set the date for the December book sale.
MEMORIAL
The Memorial branch hosted a San Antonio Water System affordability program on Saturday, September 21. Patrons had the opportunity to learn about eligibility requirements for discounts on monthly water bills.
In celebration of El Día De Los Muertos / the Day of the Dead, the works of Valerie Chagolla were on display at the Memorial Branch. The works included oil paintings with Día De los Muertos themes as well as popular cultural icons. A reception was held for the artist on Tuesday, October 8. Ms. Chagolla's works will be on display throughout the month of October.
The Memorial Branch library played host to a National Night Out gathering October 1. Three neighborhood associations came together with community members and City officials to strengthen neighborhood spirit and police-community partnerships. The St. Mary's University Code Blue Dance team and Cheer group performed. The event was sponsored by the Memorial Amigos and the Friends of the San Antonio Public Library.
For its meeting on October 1, the Teen Tuesday group volunteered at the National Night Out gathering. Their help was greatly appreciated by all. Program attendance has remained strong as the group continues to enjoy a variety of activities including gaming and movies.
Families at the Memorial Library enjoyed creating marvelous masterpieces using Lego building blocks. Children's Librarian, Trina Smith, was invited to attend Open House at Roy Cisneros Elementary School to share information about the library's services and resources. In celebration of Hispanic Heritage Month, Flamenco/Folklorico dancer, Karlene Bernal, presented traditional Mexican dances to all who attended. One of Memorial's favorite entertainers, Donnabelle the Clown, introduced the art of creating balloon sculptures to kids of all ages.
MISSION
Hispanic Heritage Month was celebrated with several programs at Mission. Patrons had the opportunity to meet the author Frank "Pancho" Mendoza. Immigration policy was discussed with Academia America's Mario Compean. The October 6 program Immigration Reform and Citizenship: Reality or Illusion was well attended. Visitors were invited to screen The Longoria Affair, a film related to the civil rights movement in the Hispanic Community. Advertsing assistance came from Harlandale High Spanish Club students who distributed program flyers to the surrounding area.
The classic movie club continued its run with a screening of Attack of the Fifty Foot Woman.
Mission partnered with the YMCA to host Diabetes Prevention Programs.
The teens are taking more ownership of teen programs each week. They planned programming for the entire month of October including the teen Halloween party. With Teen Librarian Sarah Weinblatt's encouragement they have been much more involved and vocal about the types of programs they would like to see during Teen Time.
As a response to interest expressed by several home school families, a home school support group has begun meeting at Mission once a week. So far, after just two meetings, the group has four families with 8 children. The group plans on meeting to discuss what they have been doing with their children, sharing ideas and offering support. At least once a month, the children's librarian, Jane Miller, plans to address the group on various library related topics such as homework help through tutor.com, and how to use the catalog and library resources.
Baby Time continues to be a good introduction to the importance of reading to children. Several new parents and their babies have joined in September; most of them first time parents. It is definitely an opportunity for them to relate to their children through shared books, song and rhyme, and learn early literacy activities they can continue at home.
Toddler Time continues to be well attended. Many new families have joined in the fun. To many, Toddler Time is their first experience with a library activity.
Discovery Time is a popular program. Children and their parents work together to reinforce math and science concepts. September programs focused on shapes, building, making predictions and graphing results.
PAN AMERICAN
Children's Librarian Carol Collins is now serving five daycares with a monthly story time and delivery of library books for a month's use. Carol delivered new Every Child Ready to Read posters to eight elementary schools and two additional daycares. Carol also delivered to our area elementary and middle schools Young Pegasus posters and information on Pan American's four-week poetry writing series.
Many families enjoyed the visit by Scholastic Literacy Caravan to Pan American on October 5.
Teen time Mondays with Angela Olivarez has grown in the past few months and now has a group of regular attendees who look forward to movies and fun activities each week. To kick off the school year, teens watched an animated showing of Wreck It Ralph. The following week, they learned how to create their own guitar pick jewelry. While incorporating recycling into this nifty craft, teens punched picks out of used plastic gift cards and created their own artsy bracelets, earrings, and necklaces. As the next week approached, teens were informed they would be flashed back to the 80's and what better way to do so than with a showing of the hit comedy The Goonies. Teens were encouraged to dress up in 80's fashion but said they had no idea how people dressed in the 80's. Gnarly! As October kicked in, teens used their crafty skills and created D-I-Y Journals. Cardstock, glitter, sequins, markers, stamps, and lots of glue allowed them to explore their creative side and capture their favorite memories of this fall season.
PARMAN
Teen Librarian Marisa DeBow spent an evening at Johnson High School's Greenback night where she talked to potential patrons and gave out Parman lanyards to cardholders. Later that week she spent the day at Johnson High with AVID (Advancement via Individual Determination) classes, telling them all about SAPL and Parman.
Circulation Attendant Sharleen Daube has taken over facilitating the Jane Austen Book Club. For her first meeting, she planned a tea party for the participants. The group will read books by Austen as well as titles inspired by or about Jane Austen and the time period.
Parman Staff stayed late one Friday night to prepare another Teddy Bear Sleepover program. Over 60 stuffed animals were dropped off before closing on Friday. The animals had a great time ordering pizza, dressing up as pirates, having a sack race, and various other antics. The following morning, 90 people showed up to have breakfast and to see the slideshow highlighting their animal's adventures. Local restaurant Order Up supplied cinnamon rolls. The program was a huge success and is now a semi annual tradition.
September 19 was International Talk like a Pirate Day. Parman Staff dressed up for the occasion. The two regularly scheduled Thursday programs, Family Fun and Tween Time, each had a pirate theme for the day. Assistant Manager Tim Johnson read pirate stories and participants made pirate hats. Teen Librarian Marisa DeBow hosted Tween Time and planned crafts including feathered parrots and jolly roger flags. Staff gave out jolly rancher candies to any patron who would give them an Aaarr!
Parman hosted its own National Night Out Block Party. The School of Rock performed in the amphitheater for the second year in a row. Yard games were played out front including volleyball, croquet, bean bag toss, and Frisbee golf. The Friends of the Parman Library served hotdogs and popcorn.
For the monthly staff book club, Parman Staff shared favorite Ted Talks. Some videos were shared in advance and staff watched a few together. All staff present the morning of the discussion are encouraged to participate. Several had not heard of Ted Talks before and were excited to learn of the free lectures online.
PRUITT
Children Services Librarian Cynthia Saenz conducted a fun Read for the Record event on October 3. The children listened to this year's title Otis by Loren Long. They created an interactive barn scene as the craft. Pruitt children also participated in the Hispanic Heritage children's Kids' Time entitled Destination: Central America. Participants listened to Central American folk tales and created Latin American folk art pieces called molas.
Teen Services Librarian Rae Downen has undertaken the organization of the teen volunteers for Pruitt. Many of the students at Roosevelt need community service hours for graduation. Rae has conducted an orientation for teen volunteers. She has also organized a Teen Leadership Committee. This committee will conduct a needs assessment for programming. This group will lead the programming decisions for the upcoming school year and beyond.
A Beginning Sewing class is underway. There are three initial students in the class. Patron Emily Baur volunteered her time and efforts in organizing the six week class. The last class is going to be held October 16. Plans to offer this class at a different time to make it convenient for a new group of students is in the works. Discussion is underway to offer an advanced beginner class soon. The TGIF Book Club is reading Room: A Novel by Emma Donoghue for the October 25 meeting.
SAN PEDRO
Everybody loves a fire truck. Members of the San Antonio Fire Department brought a truck to San Pedro Branch Library in early October and 20 children and 18 adults explored the truck and talked with firefighters.
Children's Librarian Betsy Dalton worked with two classes at Bonham Elementary School as they participated in Read for the Record. Betsy also presented story time to 18 children at Educare. She also attended the Northeast Independent School District-SAPL joint training session "Telling Your Story."
Adult Services Librarian I Monty Holcomb facilitates a chess group every week, with an average of about 10 participants.
SEMMES
In honor of National Gospel Music Heritage Month, the Childress Memorial Church choir performed at the Semmes Branch Library on Saturday, September 21, 2013. The group sang Gospel songs and answered questions from the audience about the tradition of Gospel music. Special thanks to DiAnne Schutte from Brook Hollow for organizing this program for the Semmes patrons.
For the third year in a row, the Semmes Branch Library co-hosted National Night Out with the Friends of Comanche Lookout Park on Tuesday, October 1, 2013. The Comanche Lookout Friends toasted marshmallows on the patio and gave away a lot of white elephant goodies. It was a very successful event.
The Friends of the Semmes Branch Library held a book sale on Saturday, October 5, 2013. The sale was very successful and the Friends made about $1,400 for the branch. Staff is already planning on how to best use these funds. Staff is grateful to have such a terrific group of Friends!
THOUSAND OAKS
Personnel
Two changes at Thousand Oaks in regards to personnel. Rhonda Woolhouse, formerly of Igo, joined the Thousand Oaks staff as the new Librarian 1 on September 21. Karen Sagun, the branch's full-time Library Assistant, received a promotion to Librarian 1 at the Westfall Branch. Her final day at Thousand Oaks was on September 20.
Children
Story Time and Toddler Time
Children's Librarian Leslie Elsasser did the following: had a camping and campfire activity, with real marshmallows over a campfire (well, not a real campfire). Fall story time came next, with a painted tree craft. A favorite animal was next on the agenda for both story and toddler time: squirrels. All the young ones in attendance enjoyed the stories and songs picked by Ms. Elsasser for these programs. Ms. Elsasser concluded this period with a reptile-themed story and toddler time, which featured an extremely popular craft: lizard doorknobs. Attendance remains consistent and high for both programs, and parents continue to express their immense satisfaction with the topics selected and with Ms. Elsasser's "wonderful programs."
Children's Librarian Leslie Elsasser attended the NEISD-SAPL joint in-service day on October 8. It was a good opportunity for her to meet the school librarians of NEISD, and attend breakout sessions on topics such as genre-fying your collection, digital story times in iPads, and blogging.
Teen Time
On September 25, special guest J. D. Elizondo visited from Central Teen Services, bringing both electric and acoustic guitars and amplifiers. The kids got to hone their musical chops on several songs. As always when J.D. visits, the teens had a great time. The evening also marked the first time the teens met their new teen leader, Rhonda Woolhouse.
On October 2, Ms. Woolhouse conducted her initial teen time at Thousand Oaks, with a boisterous crowd of teens who were excited to have her. It was a fun craft night, with the teens creating all kinds of interesting things with aluminum foil.
On October 11 the teens enjoyed a screening of the comedy/fantasy classic The Nightmare Before Christmas, directed by Tim Burton. It came down to that or Ghostbusters, and while staff was rooting for the latter, the teens went with the former; Ghostbusters just seemed "too old" for them.
Adult Programming
Book Groups
On September 19, Library Assistant Karen Sagun led her final Thursday Afternoon Book Group, as the group discussed the modern classic The House of Spirits by Isabel Allende. As always, a lively debate was had, with half the group loving the title, and the other half voicing their dislike of the selection. The presence of yummy treats made the discussion mostly civil.
On October 7, the Thousand Oaks Monday Evening Book Group met to discuss the novel Chronicle of a Death Foretold by Kate Morton. The discussion was led by Circulation Attendant Brenda Ramos, as she filled in to head the discussion. In a rare book group phenomenon, everyone enjoyed the selection!
eReader Training
Thousand Oaks staff members continue to train patrons in the intricacies of the e-reader and digital downloadables. Library patrons travel from far and wide for our superior e-reader training. With the new Overdrive interface, we have seen folks coming in for refresher courses. Once they see the new features, and how easy they are to use, they leave much happier.
Foro Abierto de Tecnología
Adult Services Librarian Jorge Chavez conducted an Open Forum seminar in Spanish on October 5. Attendance was not as high as desired or expected, but the patrons who attended were so thrilled that the branch was having this forum. Mr. Chavez will continue to host the forums, with the intention of expanding them in the future.
Outreach
Branch Manager Troy Hoyles represented SAPL on National Night Out at Springfield Manor. Over 50 people visited the table to obtain information about the library system, including information on how to get a library card, children's programming, upcoming events, and what resources are available to assist students. Overall, a good outreach event for the library, as a lot of folks walked away with a lot of good information and a desire to get a library card.
TOBIN
Library Assistant, Elvia Ramos and Librarian, Keri Moczygemba helped coordinate a performance by Ballet Del Folklorico in honor of Hispanic Heritage Month on September 28. Elvia also assisted at Central's Palabras con Poder event on September 15 as an active member of the Celebrate Diversity Committee.
Ariel Cummins, Children's Librarian established a new popular Lego Club that meets once a month where creations are made and then displayed in the library. Ariel and Teen Librarian Betsey Leitko designed an Art Box that teens and tweens check out with rotating activities like 3D Art, drawing and Origami.
Betsey started a teen Anime Club in September as well as MacTeach Tutoring launched with students from MacArthur High School. Students tutor two nights a week at Tobin for Kindergarten - 12th grade and GED students. In addition, Betsey promoted library services to a crowd of teens at MacArthur on Brahma Night.
Ariel now attends monthly outreach at Northwood Presbyterian Day School and completes four story times with eight classes. Ariel also participated with Little Red Wagon's early literacy program at Regency Place Elementary. For National Night Out, Ariel helped at Northwood Elementary for Greenback Night while Keri Moczygemba and Aide, Jesus Jimenez attended Forest Oaks and MacArthur Park's neighborhood gathering. Several new families have visited the branch for Toddler and Toddler Too programming as a result of these outreach events.
Director Ramiro Salazar visited Tobin to present Maria Taylor recognition and special thanks for her 25 years of service with the library and City of San Antonio on September 27.
WESTFALL
Karen Sagun joined the Westfall Branch Library staff as Adult Services Librarian I, replacing Teen Services Library Caroline Mossing, who transferred to Central Library. Karen is planning a number of programs to expand services to adults. Karen comes to Westfall from Thousand Oaks where she worked as a Library Assistant for about 18 months.
Westfall hosted Larry Johnson as part of Celebrate Diversity's observance of Disabilities Awareness Month. Mr. Johnson has authored several books and worked for many years as a disc jockey in Mexico. Mr. Johnson has been blind since infancy.
Children's Librarian Imelda Merino spoke to about 150 adults and 20 children at a parents meeting at Maverick Elementary School. Mrs. Merino also visited a class at Woodlawn Elementary School. On Friday mornings, Mrs. Merino presents story time at Career Point Institute Day Care. Baby Time at Westfall kicked off in October. Many young mothers in the service area have requested the program. Imelda also attended the Northeast Independent School District-SAPL joint training session "Telling Your Story."
A program exploring the library's Jobs and Career Accelerator, a resource for people seeking jobs, writing resumes and learning basic computer skills, was presented in September. Library Assistant Francisca Clark discussed how the resource is beneficial to those in the job market.
Westfall also has played host to the City Manager's Office Focus Groups.
|
131 Cedar Street Newington, Connecticut 061 11
Commission Guidelines Subcommittee Special Meeting Minutes Newington Town Hall, Conference Room L-IOO April 23, 2018 at 5:00 P.M.
I) Call to Order
* Councilor Anest called the meeting to order at 5:06 P.M.
2) Attendance
* Councilor Anest
* Councilor Serra (5:51 PM)
* Councilor Budrejko
3) Public Participation
* None
4) Old Business
a. Continued Review of proposed changes to "Information and Guidelines for Committees, Boards and Commission" Booklet
* The members continued the review and acceptance of prior suggested changes at original Section #5 through new proposed section #26, Attendance.
5) New Business
* None
6) Approval of Minutes
a. April 9, 2018 Special Meeting Minutes
* Councilor Budrejko, seconded by Councilor Serra moved a Motion to Approve the Special Meeting Minutes of April 9, 2018. Motion carried unanimously.
7) Public Participation
* None
8) Committee Remarks
* Subcommittee scheduled the next meeting for May 10, 2018 at 5:15 PM in Conference Room L-JOO.
9) Adjournment
* Councilor Serra, seconded by Councilor Budrejko moved a Motion to Adjourn. Motion carried unanimously. Meeting adjourned at 6:54 PM.
Recording Secretary
TOWN OF NEWINGTON
INFORMATION AND GUIDELINES FOR BOARDS, COMMISSIONS AND COMMITTEES
Prepared by the Office of the Town Manager
December 1983
Revised 1989, 1993, 2018
TOWN OF NEWINGTON
INFORMATION AND GUIDELINES FOR BOARDS, COMMISSIONS, AND COMMITTEES
1. Familiarity with the Town Charter
The Charter is the organic law of the Town. It functions for the Town as constitutions do for the State and Federal Governments. It lays out the basic structure of Town Government and apportions powers and duties to officials and agencies. In addition, it specifies important procedures, especially pertaining to Town finances and personnel practices. Citizens appointed to committees for the first time are well advised to begin their familiarization with a reading of the Charter to understand the functioning of Town Government. Copies may be obtained from the Town Clerk.
2. Freedom of Information Requirements (FOI)
All local public officials and agencies in Connecticut are subject to the State's Freedom of Information Act (Connecticut General Statutes, Chapter 14). All committee members, new or experienced, are required to become current with the basics of this law. If any member of the BCC has further questions on the FOI Act, they should contact the Town Attorney for further information.
The most important provisions of the law pertain to the need and timing for proper meeting notices (normally 24 hours, posted in the Town Clerk's office), the filing of minutes and the holding of open meetings. Executive sessions are restricted the following reasons:
1. Personnel;
2. Strategy & negotiations regarding claims & litigation;
3. Security matters;
4. Real Estate;
5. Matters that would disclose exempted public records.
A summary of important provisions of the Freedom of Information Act is attached in Appendix A of this booklet.
13. Proper Official Conduct: Ethics
1
The Town of Newington has adopted an Ordinance on Ethics which deals with the requirement of ethical conduct and certain disclosures by its officials. Members of BCC'S are, by definition, "officials" of the Town, so you are required to become familiar with it.
43. Duties and Responsibilities
The duties and responsibilities of your board, commission or committee, hereinafter referred to as "BCC", may be derived from one or more of four official documents or "source laws." The Town Plan and Zoning Commission, the Zoning Board of Appeals, Library Directors, Board of Assessment Appeals, Board of Parks and Recreation, the Development Commission, Conservation Commission, are specifically provided for in the Charter. In addition, there are some BCC's that also derive their powers and duties from the Connecticut General Statutes. Matters relating to Municipalities can be found in Title 7 in the Connecticut General Statutes; Planning and Zoning in Title 8; and taxation matters regarding the Board of Assessment Appeals are in Title 12 and the Newington Town Charter §604.
Certain committees are created by local ordinances passed by the Town Council. Their powers and duties may be found in the Newington Code of Ordinances. The Code is available for reference at the Town Clerk's office, the Lucy Robbins Welles Library or the Town website. Some of these may also have Connecticut General Statutes which apply to their responsibilities and procedures.
Finally, some committees are created by resolution of the Council. These are usually study committees or task forces and their powers and duties originate from the resolutions which created them or amendments to those resolutions. The source of your committee's official grant of powers and responsibilities will be included in your appointment packet.
54. Swearing In
Before commencing your service, it is required that you be "sworn in." The Town Clerk will perform this function any business day between 8:30 a.m. and 4:30 p.m. Occasionally committees are
sworn in as a group, but usually individual members take their oath by appearing at the Town Clerk's office. You may not participate in your BCC's activities until you are sworn in. At this time, the Town Clerk will present you with an Ethics Form to list any disclosure or potential conflict of interest you may have.
Upon Swearing In you will receive:
a. Ethics Packet & Disclosure Form
b. BCC Booklet
c. Signature Form indicating supplied information has been reviewed
d. Authorizing Legislation for your BCC
65. Newly Created BCC
If your BCC is newly created, the Town Manager or the Town Clerk will call for the first official meeting. The Agenda includes, but not limited to:
1) election of officers,
2) review of the BCC's charge,
3) discussion of BCC's goals,
4) setting future meeting dates.
5) Public Participation (See Section 22)
76. Annual Organizational Meeting
The annual Organizational meeting Agenda should include:
a) Election of Officers
b) Meeting Dates
c) Review of FOI Act (FOI Section)
87. Officers
Committees usually have a chairperson, a vice-chairperson and a secretary. The officers are normally elected by the members of the committee at its first meeting, and either annually or biannually. In some instances, the chairperson is designated by the appointing authority. Election of
officers shall be by open nomination. Specific details can be found within the official source law.
98. Chairperson
The chairperson presides at meetings and makes official communications on behalf of the committee representing therein committee consensus at all times, not his or her personal opinion. The chairperson is not an administrative official with directive or operating authority.
109. Quorums:
No meeting of a "BCC" may be taken unless a quorum is present. A quorum is 51% of the membership or a larger number of members as set forth in the "BCC" rules, by-laws or authorizing statutes . No unofficial (i.e. "off-the-record") meetings are allowed. The Freedom of Information law prohibits them (see Section 11).
8. Getting Started
For new committees an agenda of essentials is issued as part of the call for the first meeting. One of the things that will probably be specified for consideration is discussion on the committee's task assignment. If the committee has been created by local ordinance or resolution of the Council, this discussion should start with a review of the "charges" which usually appear in the official source law. It is important to talk out these charges to assure that all committee members have a common understanding of what they mean.
The second step is to decide on how to go about completing the assignment which the committee has been given; so a workplan needs to be developed.
Third, if the committee's task is to produce a product such as a report or a recommendation, then a timetable should be established with specific work objectives. In some cases the Council sets a deadline which committee members should be aware of and set their schedule accordingly. The chairperson may wish to designate individual members or subcommittees to complete certain research to coincide with
such a schedule.
Fourth, a schedule for committee meetings must be agreed upon which will allow sufficient groupwork time to achieve the objectives. A list of regular meetings must be sent to the Town Clerk.
Fifth, the committee should agree on an agenda for the next meeting and authorize the chairperson, the Town Manager, or an assigned Town staff person to prepare the agenda and send it out.
11. Regular Members
121. Alternates
Some boards and commissions officially have alternate members whose positions are established by law. Official alternate members may vote and may be counted for a quorum when they are filling in for an absent member. Persons without official alternate status who are substituting for a regular member do not have the same capacity, however. Generally speaking, substitutes may not vote nor be counted as part of a quorum. With the permission of the Chair, they may participate in discussion. Otherwise, a substitute should be deemed to be only monitoring the proceedings for the person represented.
If a member is holding membership on a committee by virtue of his/her status in some other organization or group (see section 10 on ex officio members), the member may be temporarily replaced by a substitute, but that substitute will not have voting and quorum status unless and until officially named as permanent replacement by the organization or group who has been given the authority to appoint.
132. Ex Officio Members
If there are Ex Officio members of the committee, they hold their position by virtue of their official capacity. That capacity may be as an elected Town official, as an administrator, as a member of another board or commission, as a representative of a local club or organization, etc. Ex officio members have
the right to vote unless the source law states that they do not.
142. Minutes of Meetings
Minutes must be taken for every BCC meeting. The minutes must identify the date, time and place of the meeting, who was in attendance, which members were absent, and what topics were discussed. It is required that there will be an audio recording of all public meetings. A Digital recorder is available in the Town Clerk's Office. A tape recorder is available for use from the office of the Town Manager or the Superintendent of Schools. The BCC rules, by-laws or statutes will indicate if the minutes should be detailed or in summary. If the committee is unable to record the meeting, the minutes should be provided in enough detail to indicate the substance of what took place.
Minutes must be signed by the secretary or clerk, and one copy must be filed with the Town Clerk within seven (7) calendar days after the meeting. All motions must be filed within forty-eight (48) hours and specify how each member voted. Each member of the committee, the Town Council's liaison(s) and pertinent Town staff personnel should be provided with copies of minutes as soon as they have been completed.
15. Agenda Setting
The BCC must post in the Town Clerk's Office an Agenda stating the place and time of each meeting (regular or special) which includes the business to be addressed. The agenda should list items to be discussed or action to be taken and be sent to committee members along with any pertinent back-up information. This is required at least 24 hours prior to the meeting. Any committee member can have an item placed on the agenda by notifying the committee chairperson or the staff person assigned to serve the committee. If the committee does not have rules of procedure which prohibit it, items may be added to the agenda at the meeting itself, by a 2/3 vote of those present and voting. (see Attachment 1 HIGHLIGHTS OF THE CONNECTICUT FREEDOM OF INFORMATION ACT, "Public Meetings," Item III.
165. Staff Assistance/Clerical Help
If the Town Council has not made arrangements for staff and/or clerical assistance, the BCC should
contact the Town Manager's office.
176. Meeting Room Availability
BCC's have the choices of the following meeting rooms in the Town Hall (860) 665-8510
(1) Donald McKay Conference Room 1;
(2) Bicentennial Room Conference Room 2
(3) Auditorium (Old Council Chambers)
(4) Conference Room L-100;
(5) Council Chambers Room L-101 (E. Curtis Ambler Meeting Room)
To reserve the Helen Nelson Meeting Room you must contact the Superintendent's Office for availability. (860) 559-
Rooms are also available at the Joseph P. Doyle Community Complex and Lucy Robbins Wells Library. Reservations may be made through the office of the Director of the Senior and Disabled Center or the office of the Library Director.
There are some priority assignments for Town Hall meeting rooms. The Board of Education has priority with respect to the Helen Nelson Meeting Room. Conference Room L-101 is permanently assigned on the 2 nd and 4 th Tuesday of each month to the Town Council, 2 nd and 4 th Wednesday of each month to the Town Plan and Zoning Commission, the 1 st Thursday of the month to the Zoning Board of Appeals, and the 3 rd Tuesday of to the month to the Conservation Commission. The Town Council has priority with respect to use of all meeting rooms, with the exception of the Helen Nelson Room.
Committee and subcommittee meetings must be held in a public building unless the meeting involves a tour or field trip.
18. Legal Advice:
Under the Charter, the Town Attorney is the legal advisor to all Town agencies. To obtain the Town Attorney's advice, the committee chairperson or the staff member who might be assigned to the BCC, with the knowledge of the committee, should call the Town Attorney directly.
19. Legal Opinions
Requests for formal legal opinions shall be made in writing by the chairperson or the staff member assigned to the BCC, with the knowledge of the committee. Formal written requests to the Town Attorney must include a copy to the Town Manager. All Town Attorney Legal Opinions must be in writing and filed in the Town Clerk's office, excluding privileged opinions requested during Executive Sessions.
20. Procedural Advice
Procedural advice not covered by these guidelines may be obtained by calling the Town Manager.
21. Public Participation
It is the Town Council's policy that all Town agencies maximize the opportunity for public participation. If the BCC does not have rules of procedure (see Section 30) which specify conditions of public participation, then, as a minimum, time should be scheduled at the beginning and end of each meeting.
22. Reports
The Town Council, may from time to time, request a BCC to provide updates or completed projects for acceptance.
23. Consultation with Appointing Authority
If the BCC wishes to consult with its appointing authority, they should contact the Town Manager to schedule a meeting.
24. Expenses
Before a BCC member incurs expenses connected with their assignment, they must obtain approval by their Chairperson and Staff Liaison.
25. Liability
The Town of Newington carries public official liability insurance. Should you or your BCC be sued for actions taken on behalf of the Town, you will be indemnified by the Town through this policy and the Town will provide legal representation. You are cautioned that ultravires acts (arbitrary abuses of authority or other acts outside of the scope of one's official duties) are not necessarily covered, especially if the act is willful or wanton. Questions of legal authority should be taken up with the Town Attorney to avoid such exposure.
26. Attendance
The Town Council's official policy is that members and alternates of BCC's must attend at least 75% of all posted meetings of the BCC, for the calendar year. The chairperson of each BCC is required by the Town Council to submit a bi-annual report of the attendance of all members, by a form provided by the Town Manager's office.
If you are unable to attend the meeting you MUST notify the Chairperson prior to the start of the meeting. If members of your committee are not attending regularly the chairperson should discuss this matter immediately with the individual. If discussions do not produce improvement, the Town Council will take action.
28. Resignations
All resignations must be addressed and sent to the Town Clerk, copies to the political party chairperson. Resignations are not official and will not be acted upon by the Town Council until the Town Clerk receives the Letter of Resignation. Resignations by email will not be accepted. Copies to the Mayor, the Town Council or political party chairman are suggested also, but a resignation is not official and will not be acted upon until the Town Clerk receives the transmission.
29. Meeting Times
New committees should naturally schedule times for meetings which will be most conducive to full participation by all members. Convenience for public and news media attendance should also be kept in mind when setting meeting times. New committees are requested to stay away from Tuesday evenings which conflict with established Town Council and Conservation Commission meetings. Wednesday evening is also busy - the Town Plan and Zoning Commission, the Board of Education and the Development Commission regularly meet on that night. Meeting schedules should take into account the adopted list of Town Observered HolidaysObservance of all important holidays, including important religious holidays, should be respected when scheduling meetings.
Each board, commission or committee must file, by January 31 of each year, a schedule of regular meetings for the ensuing year. The filing is made with the Town Clerk by the chairperson. Newly created committees must file a schedule of regular meetings for the balance of the calendar year as soon as possible after their organization. Unless the committee has rules of procedure which make other provisions for calling a special meeting, special meetings may be called by the committee chairperson, vice chairperson, or staff person assigned to the committee.
30. Rules of Procedure
Formal Rules of Procedure are required for BCC's.permanent boards, commissions and committees only. A committee with a specific time deadline may burn up precious amounts of a limited schedule by pondering Rules of Procedure. It is recommended that committees try to keep meetings as informal as possible to encourage full participation by all members and to generatea healthy discourse. Rules should be applied only to the extent that is necessary to keep order and to make progress. Any committee not having rules shallwillbe governed by the Town Council Rules of Procedure, as revised., in a situation where the imposition of rules becomes imperative, be deemed to be governed by "Roberts Rules of Order." Sample Rules of Procedure are available from the Town Manager's office for those desiring to
establish their own rules.
31. Smoking
Smoking in prohibited within all public buildings.
32. Budget Preparation
Annually your board or commission may be asked to prepare and submit a proposed budget for its operation during the succeeding fiscal year (July 1-June 30). Budget request forms and instructions will be sent by the Town Manager. On request, the Town Manager's staff and the Finance Department will provide guidance above and beyond that which the written instructions will furnish.
33. Committee Member Responsibilities
The committee shall act as a body and no member shall act on behalf of the committee unless authorized by the committee. The chairperson may speak on behalf of the committee.
Appendix A
HIGHLIGHTS OF THE CONNECTICUT FREEDOM OF INFORMATION ACT
(Be sure to consult Connecticut General Statutes)
PUBLIC AGENCIES
I. THE PUBLIC HAS THE RIGHT TO OBTAIN RECORDS AND ATTEND MEETINGS OF ALL PUBLIC AGENCIES WITH CERTAIN LIMITED EXCEPTIONS.
- This applies to all state and local governmental agencies, departments, institutions, committees, authorities, boards and commissions.
- This includes any executive, administrative or legislative office as well as the judicial branch with respect to its administrative functions.
PUBLIC MEETINGS
I. MEETINGS, INCLUDING HEARINGS AND OTHER PROCEEDINGS, MUST BE OPEN TO THE PUBLIC UNLESS CLOSED BY A 2/3 VOTE OF THE AGENCY IN LIMITED, SPECIFIED SITUATIONS.
- A public meeting is any hearing or other proceeding of a public agency, or gathering of or communication by or to a quorum of a multi-member agency, to discuss or act upon any matter over which it has authority.
- The following are not public meetings: personnel search committees, collective bargaining strategy and negotiating sessions; caucuses; chance or social gatherings not intended to relate to official business; administrative or staff meetings of a single-member agency (e.g. mayor); and communication limited to notice of agency meetings or their agendas.
- No registration or other requirements may be imposed on a member of the public seeking attendance at a public meeting. (There are special rules for legislative lobbyists.)
- The public, as well as the news media, has the right to photograph, record or broadcast meetings, subject to prior reasonable rules regarding non-interference with the conduct of the meeting.
II. ONLY THREE KINDS OF MEETINGS ARE RECOGNIZED UNDER THE FREEDOM OF INFORMATION ACT: REGULAR, SPECIAL AND EMERGENCY.
- A state agency must file each year a schedule of its regular meetings with the Secretary of the State. A town or city agency must file each year a schedule of its regular meetings with the clerk of the town or city.
- A special meeting may be called up to 24 hours before the time set for the meeting by posting a notice stating the time, place and business to be transacted. No other business may be transacte4. A state agency files this notice with the Secretary of the State; a local agency files this notice with the municipal clerk.
- An emergency meeting may be held without complying with the preceding notice requirements.
However, the agency must file its minutes, including the reason for the emergency, within 72 hours of the meeting with the Secretary of the State if a state agency, or the municipal clerk if a local agency.
III. THE PUBLIC IS ENTITLED TO RECEIVE A COPY OF THE NOTICE AND AGENDA OF A MEETING.
- To any person who has made a written request, each agency is required to send a notice of its meetings, where practicable, at least one week prior to the meeting date. The agency may establish a reasonable charge for this service.
- Each agency must make available its agenda for each regular meeting at least 24 hours before the meeting to which it refers. Upon a 2t3 vote of the members present and voting, new business, not put on the agenda, may be considered and acted upon.
IV. THE MINUTES AND RECORD OF VOTES OF EACH AGENCY MUST BE AVAILABLE TO THE PUBLIC.
- The minutes of each agency meeting must be made available to the public within seven days of the session to which they refer in the agency's office if it has one, or, if none, in the Office of the Secretary of the State for state agencies or in the municipal clerk's office for local agencies. The minutes must contain the record of each member's vote upon any issue before the agency.
- The votes of each member upon any issue at any agency meeting must be put down in writing and made available to the public within 48 hours, excluding weekends and holidays, of the meeting at which the votes were taken.
V. CONDUCT OF MEETINGS
- In the event that any meeting of a public agency is interrupted by any person or group of persons so as to render the orderly conduct of such meeting unfeasible and order cannot be restored by the removal of individuals who are willfully interrupting the meetings, the members of the agency conducting the meeting may order the meeting room cleared and continue in session. Only matters appearing on the agenda may be considered in such a session. Duly accredited representatives of the press or other news media, except those participating in the disturbance, shall be allowed to attend any session held pursuant to this section. Nothing in this section shall prohibit such public agency from establishing a procedure for readmitting an individual or individuals not responsible for willfully disturbing the meeting.
EXECUTIVE SESSION
I. AN AGENCY MAY CLOSE TO THE PUBLIC CERTAIN PORTIONS OF MEETINGS BY A VOTE OF 2/3 OF THE MEMBERS PRESENT AND VOTING. THIS VOTE MUST BE CONDUCTED AT A PUBLIC SESSION.
- Executive session is defined as a meeting of a public agency at which the public is excluded for one or more of the following purposes:
(1) Discussion concerning the appointment, employment, performance, evaluation, health or dismissal of a public officer or employee, provided that such individual may require that discussion be held at an open meeting;
(2) strategy and negotiations with respect to pending claims and litigation to which the public agency or a member thereof, because of his conduct as a member of such agency, is a party until such litigation or claim has been finally adjudicated or otherwise settled;
(3) matters concerning security strategy or the deployment of security personnel, or devices affecting public security;
(4) discussion of the selection of a site or the lease, sale or purchase of real estate by a political subdivision of the state when publicity regarding such site, lease, sale, purchase or construction would cause a likelihood of increased price until such time as all of the property has been acquired or all proceedings or transactions concerning same have been terminated or abandoned; and
(5) discussion of any matter which would result in the disclosure of public records or the information contained therein described in subsection (b) of section 1-211.
- Any business or discussion in a closed session must be limited to the above areas.
- The agency may invite persons to present testimony or opinions in an executive session, but their attendance must be limited to only the time necessary for that testimony or opinion.
- The minutes must indicate the votes of each member of the agency upon any issue and also all persons who were in attendance at the closed session, except for job applicants who were interviewed.
PUBLIC RECORDS
I. MOST RECORDS OR FILES OF STATE AND LOCAL AGENCIES, INCLUDING MINUTES OF ALL THEIR MEETINGS, ARE AVAILABLE TO THE PUBLIC FOR INSPECTION OR COPYING.
- This includes information or data which is typed, handwritten, tape recorded, photostatted, printed, photographed or recorded by any other method.
- Inter-agency and intra-agency memoranda or letters are generally included.
II. RECORDS SPECIFICALLY EXEMPTED FROM DISCLOSURE BY FEDERAL LAW OR STATE STATUTE ARE NOT AVAILABLE TO THE PUBLIC.
- In addition, the following records may not be available to the public:
preliminary drafts or notes; personnel or medical files; certain law enforcement records, including arrest records of juveniles and some victim identification information; records relating to pending claims and litigation; trade secrets; test questions used to administer licensing, employment or academic examinations; real estate appraisals and construction contracts until all of the property has been acquired; personal financial data required by a licensing agency; records relating to strategy or negotiations with respect to collective bargaining; tax returns and communications privileged by the attorney-client relationship; names and addresses of public school students; information obtained by illegal means; the Attorney General's investigation records of reported misconduct in state government or names of state employees who report such misconduct to the Attorney General; petition information until certified; and certain adoption records.
III. THE PUBLIC MAY INSPECT PUBLIC RECORDS DURING REGULAR OFFICE HOURS. HOWEVER, A WRITTEN REQUEST FOR A COPY, PRINTOUT OR TRANSCRIPT SHOULD BE SUBMITITED TO THE AGENCY HOLDING THE RECORD THE PUBLIC DESIRES.
- The fee for a copy of a public record must not exceed 50 cents per page. The fee for a printout or transcript, or a copy thereof, must not exceed the actual cost to the agency involved. The agency may also require the prepayment of these fees if their estimated cost is $10.00 or more. No sales tax may be imposed for copies of the public records requested under this Act.
- The agency is required to waive any fee for copies if the person requesting the copies is poor and cannot afford it; if the records are exempt from disclosure; or if the agency determines that the request benefits the public welfare.
- There is an additional charge for a certified copy of a public record.
- A denial by a public agency of a written request to inspect or copy records must be made in writing within four business days. If the agency fails to respond to the request in that period, it shall be treated as a denial of the request.
http://ct.gov/foi
|
Prince George
Chronic Pain Directory
Produced by: Northern Health Chronic Pain Working Group
October 2016 (revised November 1, 2016)
PRINCE GEORGE CHRONIC PAIN DIRECTORY
If you notice an error, omission or outdated information, please contact:
Joanna Paterson
Lead, Chronic Diseases Strategic Initiatives, Northern Health
firstname.lastname@example.org
Phone: 250-565-5784
Contents
Section A:
Services and Resources for Patients and Providers
Developed based on the Kootenay Boundary Division of Family Practice's Chronic Pain database 1 , this directory was created for people living with chronic pain in and around Prince George, and for health care providers who support them.
The following three beliefs have guided the development of this directory:
1. Chronic pain is often caused by a multitude of factors and requires a multi-pronged approach;
2. People who live well with chronic pain do best when they feel like valued partners in a multidisciplinary approach to their care; and
3. Health care providers should understand the different ways that the client/patient might approach the management of their chronic pain.
Resources, services and health care providers are divided into 6 categories: medical, body work, education, cognitive, self-management, and complementary.
1 Available at https://divisionsbc.ca/kb/chronicpaintool
SELF
MANAGEMENT
BODY WORK
COGNITIVE
THERAPIES
MEDICAL
COMPLEMENTARY
METHODS
EDUCATION
Self-Management
Feedback from people who manage their chronic pain well includes the importance of their own self advocacy. As a health care professional, you have an opportunity to educate and motivate your client to better self-manage their condition. At the same time, it is important to consider the social determinants of health including income, level of education, home and community environment, etc.
Advocacy and Support
Connect for Health Program (Pain BC)
Description:
Pain BC's Connect for Health program advocates for people in pain and their families, connecting them with services and support that go beyond the doctor's office. In collaboration with health care and social service providers, volunteers advocate for you, provide information, and follow up to ensure you're getting the support you need in your local community. This program can connect you to resources such as: housing, employment/income security, food security, parenting support, child care, and respite services, education, recreation services, social services, and health services.
Contact:
https://www.painbc.ca/chronic-pain/connect-for-health
Cost?
No.
Printable Pain Plans
Canadian Pain Coalition
Description:
To help Canadians learn to live well with pain, the Canadian Pain Coalition has developed a Pain Plan, a tool that can help people with pain deal with everyday issues whether they are having a normal or tough pain day.
Contact:
http://livewellwithpain.ca/wp-content/uploads/2011/10/Pain_Plan_Online.pdf
Cost?
No.
Audio Guided Meditations
Pain Solutions Inc.
Description:
guided mindfulness for pain relief (audio guides for breathing, physical relaxation, pain relief)
Contact:
http://www.painsolutions.info/resources.html
Cost?
Yes. (available for purchase on iTunes)
Canadian Institute for the Relief of Pain and Disability
Description:
Introduction to Mindfulness for Chronic Pain – 5 part series (online videos). This webinar series provides an introduction to Mindfulness Based Stress Reduction (MBSR) practice and its influence on chronic pain. You are also provided with audio recordings of mindfulness meditations you can practice.
Link:
http://www.cirpd.org/Webinars/Pages/Webinar.aspx?wbID=24
Workshops
Self Management BC (University of Victoria)
Description:
The Chronic Pain Self-Management Program is a free six-session workshop. The workshop helps people living with chronic pain and their caregivers to better manage symptoms and activities of daily life. Participants receive the “Living a Healthy Life with Chronic Conditions” companion book, the “Chronic Pain Workbook” and the “Moving Easy” CD. Participants should attend all six sessions to get the maximum benefit.
Contact:
1-866-902-3767 http://www.selfmanagementbc.ca
Cost?
No.
Online Resources
All About Depression: Online Relaxation Exercises
Description:
Relaxation exercises including deep breathing, guided imagery, etc.
Contact:
http://www.allaboutdepression.com/relax
Cost?
No.
CarePath
Description:
Online early intervention resource for teens (ages 12-17) with complex pain, developed in partnership with BC Children's Hospital and UBC's Department of Paediatrics, Office of Strategy and Innovation. Includes resources for understanding pain, tools to manage pain, and ideas for making small positive changes to improve well being.
Contact:
www.mycarepath.ca
Cost?
No.
Chinese Holistic Health Exercises
Description:
Website with breathing, stretching, etc. Downloadable ($) videos also available for different exercise programs, including self-massage and acupressure techniques.
Contact:
http://www.chinese-holistic-health-exercises.com/do-breathing-exercises-at- home.html
Cost?
No (some free instructions, videos), but Paid downloadable video exercise programs ($20) provide detailed instructions/guides for specific conditions (anxiety, low back pain, neck pain, etc.)
How to Cope with Pain
Description:
Website with breathing, relaxation and guided imagery exercises, and blog posts.
Contact:
http://www.howtocopewithpain.org
Cost?
No.
Inner Health Studio: Coping Skills and Relaxation Resources
Description:
Relaxation scripts, articles about guided imagery, relaxation audio downloads, etc.
Contact:
http://www.innerhealthstudio.com/pain-relief.html
Cost?
Some free downloads, some must be purchased.
Life is Now Pain Care "Pain Care Pro"
Description:
PT Neil Pearson's pain self-care curriculum for people in pain
Contact:
http://www.lifeisnow.ca/pain-care-pro/
Cost?
$180 (Pain Care Pro)
Live Plan Be (via Pain BC)
Description:
Interactive platform with pain education, self-management tools and peer support forum
Contact:
http://www.liveplanbe.ca
Cost?
No.
medSchool For You
Description:
“Free health information courses for all Canadians” – info on low back pain provided by pharmacists (listed under Pharmacy Corner) (site operated by mdBriefCase)
PRINCE GEORGE CHRONIC PAIN DIRECTORY
Contact:
http://www.medschoolforyou.ca
Cost?
No.
Mindful.org: 3-Minute Breathing Space
Description:
Guided meditation practice, and articles about mindfulness.
Contact:
http://www.mindful.org/the-three-minute-breathing-space-practice/
Cost?
No. (affiliated magazine available for purchase)
Pain Resource Centre
Description:
via Canadian Pain Coalition: includes information about conditions and management, accessing care, and directory of associations, advocacy groups
Contact:
http://prc.canadianpaincoalition.ca
Cost?
No.
The Pain Toolkit
Description:
Downloadable toolkit (adult and youth) and App available. Site also provides links to MANY other resources (e.g., Canadian Toolkit, Pain Toolkit for Teens, Persistent Pain booklet, etc.)
Contact:
http://www.paintoolkit.org
Cost?
No.
Pain Waves Podcast (via Pain BC)
Description:
The Pain Waves podcast by Pain BC is where you can hear leading chronic pain experts and people living with pain discuss the latest pain management research, tools, stories, and trends.
Contact:
https://www.spreaker.com/show/pain-waves https://itunes.apple.com/ca/podcast/pain-waves/id1169792513
Cost?
No.
People in Pain Network
Description:
PIPN supports self-management peer groups (currently the only Northern BC group is in Vanderhoof). Website also provides links to PIPN YouTube channel and resources (e.g., adult and youth pain toolkits - require registration).
Contact:
http://www.pipain.com
Cost?
No (some free links, resources), but Paid memberships ($15/yr) provide access to additional toolkit, resources, events, education, etc.
StopPain.org: Relaxation Exercise
Description:
Guided relaxation exercise, as well as general information about low back pain, intro to chronic pain, etc.
Contact:
http://healingchronicpain.org/relax
Cost?
No.
Stress Relief Exercises
Description:
Descriptions and instructions for deep breathing exercises, progressive muscle relaxation, etc.
Contact:
http://stress-relief-exercises.com
Cost?
No.
YouTube videos
Canadian Institute for the Relief of Pain and Disability
Description:
Includes videos about self-management, and Yoga for People in Pain series
Contact:
http://www.youtube.com/user/cirpdadmin
Cost?
No.
Canadian Pain Coalition
Description:
Series of videos from people living well with pain that share ideas on how to work with health care providers and how to talk to loved ones about your pain.
Contact:
https://www.youtube.com/user/CdnPainCoalition/videos
Cost?
No.
Self-Managing and Self Management Support
Description:
about Self-Management: what is SM? why? how patients can work together, especially for chronic conditions
Contact:
http://www.youtube.com/watch?v=uRQ853sRt0o
Cost?
No.
PRINCE GEORGE CHRONIC PAIN DIRECTORY
Complementary Methods
A growing body of scientific evidence suggests that some complementary approaches to chronic pain can be beneficial. Although many complementary approaches studied for chronic pain have good safety records, that doesn't mean that they're risk-free. It is important to take into account such factors as a patient's age, health, special circumstances (such as pregnancy), and medicines or supplements when engaging these methods.
To learn more, visit https://nccih.nih.gov/health/pain/chronic.htm
See also: College of Physicians and Surgeons of British Columbia Professional Standards and Guidelines re: Complementary and Alternative Therapies (https://www.cpsbc.ca/files/pdf/PSG-Complementaryand-Alternative-Therapies.pdf)
Acupuncture
CBI Health Centre
Contact:
250-562-3537
1310 5th Ave.
https://www.cbi.ca/web/physiotherapy-prince-george-5th
Dragonfly Acupuncture and Traditional Chinese Medicine Clinic
Provider(s):
Cyndi Sarrazin
Contact:
250-614-3527
#105-1811 Victoria St.
http://www.wss.yellowpages.ca/documents/QvHpw9xOXr/dragonfly_brochure.pdf
Cost?
WorkSafeBC Contracted
Healthtrends Naturopathic Clinic
Provider(s):
Dr. Deborah Phair
Description:
Acupuncture (Registered Acupuncturist)
Contact:
250-614-0112
1556 10th Ave.
Micah Yoder Acupuncture
Description:
acupuncture, cupping, tuning forks, ear points, acupressure
PRINCE GEORGE CHRONIC PAIN DIRECTORY
Contact:
250-649-0886
300 - 1811 Victoria St.
http://www.micahyoderacupuncture.janeapp.com/
Cost?
60 minutes Acupuncture: $56
60 minutes Massage:
$56
60 minutes Foot massage: $50
Dr. Michael O'Malley (GP)
Description:
Family Physician who offers acupuncture.
Contact:
250-563-7522
408 - 2155 10th Ave.
Oriental Therapy Clinic
Provider(s):
Michael Forster
Description:
Traditional Japanese Acupuncture, Meridian therapy
Contact:
250-563-5551
215 - 1717 3rd Ave.
http://www.orientaltherapyclinic.ca
Oriental Wellness Centre
Description:
Acupuncture, Deep Tissue Massage, Foot Massage
Contact:
250-564-9263
5100 N Nechako Rd.
Prince George Acupuncture
Provider(s):
Samantha Peppard
Description:
Acupuncture, Acupressure, Cupping, Sound Therapy, Healing Touch, NAET Allergy Elimination, Auricular Treatments, Electro-Acupuncture, Diet and Lifestyle recommendations.
Contact:
236-423-0834
203 - 1257 4th Ave.
princegeorgeacupuncture.com
also practices at Krell Chiropractic:
250-981-2295
513 Ahbau St.
http://www.krellchiropractic.com
Cost?
30 minutes: $60
45 minutes: $75
60 minutes: $90
90 minutes: $145
Prince George Family Chiropractic
Provider(s):
Wael Fawzi
Contact:
250-561-8908
3320 Massey Dr.
www.princegeorgechiaropractor.com
Salveo Medical Clinic
Provider(s):
Maryamossadat Mirhosseinian
Contact:
250-614-0005
2155 Ferry Ave. (inside Superstore)
Traditional Chinese Medicine
Dr. Jody Brandolini
Contact:
1-877-614-6585
Practices in Nukko Lake and Quesnel
Oriental Traditional Healing
Provider(s):
Dr. Jian Xiao
Description:
Acupuncture, Herbal medicine
Contact:
250-563-8365
313 - 1669 Victoria St.
http://www.orientaltraditionalhealing.com
Naturopathic Medicine
Healthtrends Naturopathic Clinic
Provider(s):
Dr. Deborah Phair
Contact:
250-614-0112
1556 10th Ave.
Northern Centre for Integrative Medicine
Provider(s):
Dr. Jason Boxtart, Dr. Cher Boomhower
Description:
Prolotherapy (nonsurgical ligament reconstruction), Platelet Rich Plasma injections
Contact:
250-649-0886
206 - 1811 Victoria St.
http://www.ncim.ca
Prince George Naturopathic Clinic
Provider(s):
Dr. Nicole Zutz
Contact:
250-596-9300
1556 10th Ave.
Shiatsu
Keystone Massage Therapy and Healing Centre
Provider(s):
Ivana Minovec
Description:
Specializes in relief from chronic pain. Massage services include: therapeutic, shiatsu, relaxation, warm stone, reflexology.
Contact:
250-562-9341
2020 Massey Dr.
www.keystonehealing.ca
also practices at Mind Body Soul Wellness:
778-840-6935
300 - 1811 Victoria St.
www.mindbodysoulwellness.ca
Cost?
1 session: $50
4 sessions: $180
Seniors rate (1 session): $40
Homeopathy
MedPure Natural Pharmacy
Provider(s):
Suzanna Molnar (Pharmacist, M. Pharm)
Description:
Products and principles of Bioregulatory and Homeopathic Medicine, and collaboration with other healthcare providers in order to augment existing Pharmaceutical Care.
Contact:
250-562-2266
1531 Victoria St.
www.medpurepharmacy.com
Cost?
1 hour session: $45
Reflexology
Carol Brown
Description:
Certified Reflexologist
Contact:
250-562-3668
210 - 1717 3rd Ave.
carolbrownreflex.com
Sole Therapies
Provider(s):
Kathleen Hogh
Contact:
250-640-0030
4874 Meadowbrook Rd www.soletherapies.ca
Education
People who suffer from pain often look for a simple, single solution to what is a complex set of circumstances, as unique to them as their own fingerprints. It is important for people suffering from pain to understand why their pain has become chronic, why it doesn't necessarily improve with time and why medications or surgery often provide only partial, temporary relief.
Online Resources
Breathworks
Description:
Online mindfulness courses for chronic pain
Contact:
www.breathworks-mindfulness.org.uk
Cost?
Yes. Can apply for bursaries.
But You Don't Look Sick - website and online community
Description:
Website with interviews, blog posts, discussion board started by a Lupus patient, and has an aim of helping people with chronic illnesses and invisible disabilities.
Contact:
www.butyoudontlooksick.com
Cost?
No.
Canadian Pain Coalition
Description:
Conquering Pain for Canadians Booklet, Pain resources, Helpful Links.
Contact:
www.canadianpaincoalition.ca
905-404-9545
Family Caregivers Network Society
Description:
Online resource for caregivers
Contact:
www.familycaregiversbc.ca
1-877-520-3267
Get Self Help for Chronic Pain or Fatigue
Description:
CBT self-help info for chronic pain
Contact:
www.getselfhelp.co.uk/chronicfp.htm
Life Is Now Pain Care
Description:
Online program: Guided meditations, Body Awareness audio CDs, Overcome Pain with Gentle Yoga program, etc.
Contact:
www.lifeisnow.ca/product-category/pain-management-products/#products
Cost?
Yes. Products available for purchase online.
Live Plan Be
Description:
Interactive platform with pain education, self-management tools and peer support
Contact:
www.liveplanbe.ca
Cost?
No.
MoodGym Training Program
Description:
Online training program to learn CBT skills for preventing and coping with depression.
Contact:
www.moodgym.anu.edu.au/welcome
Cost?
No. Requires free sign-up.
Pain BC Toolbox
Description:
“Treatment Options for Pain: Beyond Medications, Surgery, and Injections” This toolbox was originally developed in 2011 by leading pain experts, and has since been revised and updated by Pain BC. Online and print-ready versions are available.
Contact:
https://www.painbc.ca/chronic-pain/pain-toolbox
Cost?
No.
Pain Matters: A Family Guide to Pain Management and Dementia
Description:
Resource for caregivers of people with dementia, outlining reasons that pain can go untreated, and Daily Pain Journal for patients/families.
Contact:
http://www.alzheimer.ca/
Site also includes Alzheimer's resources, e-learning for health care providers (formerly Physician's Corner): http://www.alzheimer.ca/en/on/We-can- help/Resources/Resources-for-health-care-professionals
Cost?
No.
Paul Ingraham, Pain Science.com
Description:
Online resource developed by former massage therapist in Vancouver with articles and tutorials about pain. (Formerly www.saveyourself.ca)
Contact:
www.painscience.com
Cost?
No.
Spin Health: Chronic Pain Health Center
Description:
A large website that covers a variety of topics from chronic pain to depression, coping, and specific back pain/disease issues. The discussion boards can be very helpful
Contact:
www.spine-health.com/conditions/chronic-pain
Cost?
No.
YouTube Videos & Webinars
Body in mind - the role of the brain in chronic pain (Lorimer Moseley)
Description:
Video from "The Mind & Its Potential Conference" (Australia, 2011)
Link:
www.youtube.com/watch?v=RYoGXv22G3k
Canadian Institute for the Relief of Pain and Disability
Description:
Includes videos about self-management, and Yoga for People in Pain series. Chronic Pain Webinars are also accessible (live and recorded archives).
Link:
www.youtube.com/user/cirpdadmin http://www.cirpd.org/Webinars/Pages/ChronicPain.aspx
Pain, Is it all in your mind?: Silje Endersen Reme at TEDxNHH
Link:
www.youtube.com/watch?v=tiwmVTScusg
Pain BC
Description:
YouTube Channel
Link:
www.youtube.com/user/PainBC
People In Pain Network
Description:
YouTube Channel
Link:
www.youtube.com/channel/UC8BjHclD7geGhiKixXwdzuw
The Secret World of Pain (BBC Documentary)
Description:
"Horizon reveals the latest research into one of the most mysterious and common human experiences - pain. Breakthroughs have come from studying a remarkable woman in London who has felt no pain at all in her life, a man in the US who cut off his own arm
Link:
https://www.youtube.com/watch?v=75wkm9NTOb8
Transitions: Living Well with Chronic Pain symposium
Description:
Videos from Symposium (Nov. 6 2011) available online. Presentations/discussions about managing pain and living with pain.
Link:
www.youtube.com/user/CdnPainCoalition/videos http://livewellwithpain.ca/watch-the-symposium/
Understanding Pain What to do about it in less than five minutes
Link:
https://www.youtube.com/watch?v=RWMKucuejIs
Why Things Hurt (Lorimer Moseley at TEDxAdelaide)
Description:
Why do we hurt? Do we actually experience pain, or is it merely illusion? In this video, Lorimer Moseley explores these questions, and suggests that the pain that we feel as our bodies' way of protecting us from damaging tissues further.
Link:
https://www.youtube.com/watch?v=gwd-wLdIHjs
Books
"How to Live Well with Chronic Pain and Illness"
Author:
Toni Bernhard (2015)
Link:
www.tonibernhard.com/
"Explain Pain" (2nd Ed.)
Authors:
Dr David S. Butler and Prof G. Lorimer Moseley (2013)
Description:
Written for patients. Book brings together neurophysiology, brain imaging, immunology, psychology and cellular biology to explain mechanisms of pain. (see also Evidence Base under Provider resources)
ISBN:
978-0-9873426-6-9
Link:
www.noigroup.com/en/Product/EPBII
"Managing Pain Before it Manages You"
Author:
Margaret Caudill (2008)
ISBN:
1593859821
"Pain -Learning to Live Without It"
Author:
David Corey (1993)
ISBN:
0788167960
"Living Beyond Your Pain: Using Acceptance and Commitment Therapy to Ease Chronic Pain"
Authors:
J. Dahl & T. Lundgren (2006)
ISBN:
1572244097
"The Brain That Changes Itself"
Author:
Norman Doidge (2007)
ISBN:
0143113100
"Visualization for Change"
Author:
Patrick Fanning (1994)
ISBN:
1879237849
"The Chronic Pain Control Workbook"
Authors:
Kimeron Hardin & Ellen M Catalano (1997)
ISBN:
1567312101
Guided Mindfulness Meditation
Author:
Dr. Jon Kabat-Zinn
Description:
Dr. Jon Kabat-Zinn's approach to mindfulness-based stress reduction (MBSR). Titles include: “Wherever You Go, There You Are” (1994) and “Full Catastrophe Living” (1990). Available as book or CD (audiobook).
Contact:
www.mindfulnesscds.com
"The Fine Arts of Relaxation, Concentration and Meditation"
Authors:
Joel Levey and Michelle Levey (2003)
ISBN:
0861713494
"Living a Healthy Life with Chronic Conditions"
Authors:
Kate Lorig, Halsted Homan, David Sobel, Patrick McGowan, et al. (2006)
ISBN:
9781933503080
"The Challenge of Pain"
Authors:
Ronald Melzack & Patrick Wall (1993)
ISBN:
9780140256703
"Manage Your Pain"
Author:
Michael Nicholas (2006)
ISBN:
0285636790
"Mayo Clinic on Chronic Pain"
Author:
David Swanson (2006)
ISBN:
1893005275
"The Power of Now: A Guide to Spiritual Enlightenment"
Author:
Eckhart Tolle (2004)
ISBN:
1577311523
"The Pain Survival Guide - How to Reclaim Your Life"
Authors:
Dennis C. Turk and Frits Winter (2005)
ISBN:
1591470498
"The Pain Relief Handbook"
Authors:
Dr. Chris Wells, Graham Nowin & Dr. Ronald Melzack (1998)
ISBN:
0091813719
"Break Through Pain: How to Relieve Pain Using Powerful Meditation Techniques"
Author:
Shinzen Young (2007)
ISBN:
1-56455-365-5
Medical Treatments
Medication can help manage chronic pain when it is used in balance with the rest of an overall chronic pain management plan. It is important to recognize that some medications, such as opiates, can do more harm than good should a person become addicted.
Family Physicians
College of Physicians and Surgeons of BC
Description:
Use online search function to find a local family physician who may be accepting new patients.
Instructions:
- Fill in your city/community
- Check the 'Family physicians' box
- Select 'accepting new patients' from the drop down menu
- Add additional specifications as desired
- Click Search.
Results for those family physicians who have indicated that they are currently accepting new patients will be displayed.
Contact:
https://www.cpsbc.ca/physician_search
Interventional Approaches
Dr. Richard Kraima
Pain Clinic at UHNBC
Description:
Interventional pain clinic
Contact:
250-964-8574
Referral required? Yes.
Cognitive Therapies
General counseling, addiction counseling, psychologists, life coaches and other cognitive therapies help with the depression and coping problems that can so often affect the mental health of chronic pain sufferers.
Meditation
Chinook Yoga
Provider(s):
Jaylene Pfeifer
Description:
research-based transformative practice of deep relaxation and meditative inquiry that effectively reduces chronic pain (among other conditions)
Contact:
250-564-9642
320 Vancouver St.
www.chinookyoga.com OR http://www.jaylenepfeifer.com/#!/iRest®_Meditation
Cost?
3 hour workshop: $50
6 weekly classes: $50
Pain Solutions Inc.
Provider(s):
Debbie Patterson (physiotherapist)
Description:
guided mindfulness for pain relief (audio guides for breathing, physical relaxation, pain relief)
Contact:
www.painsolutions.info/resources.html
Cost?
Yes. (available for purchase on iTunes)
Tilopa Buddhist Society
Provider(s):
Sarah Dowling
Description:
Tues 19:30-21:00
Contact:
http://kmcvancouver.org/classes/meditation-in-prince-george
250-962-6876
classes at: Chinook Yoga Studio, 320 Vancouver Street
Cost?
Drop-in: $10
5 classes: $40
Buddhist Meditation Society of Northern BC
Provider(s):
John DeGrace 250-964-2685
Cory Tataryn 250-981-8228
John Neumann 250-963-7330
Description:
Zen: Tuesdays, 18:15-20:15
Vipassana: Wednesdays, 19:15-20:15
Contact:
www.bmsnbc.com
Greek Orthodox Church
511 S Tabor Blvd
Cost?
By donation: For newcomer's we suggest $5 for each evening, and for ongoing members, a monthly donation of $25 is expected. Those who are unable to give financially are welcome and can contribute in other ways.
Guided Mindfulness Meditation
Provider(s):
Dr. Jon Kabat-Zinn
Description:
Dr. Jon Kabat-Zinn's approach to mindfulness-based stress reduction (MBSR)
Contact:
www.mindfulnesscds.com
Cost?
Yes. Products available for purchase online.
Counselling & Mental Health Services
Sustain Mental Health (formerly Brazzoni and Associates)
Provider(s):
Christina Dobson, Laurie Zoppi, Heidi Kasewater, Janette Dixon, Lori Larkin, Michelle David, Melanie Lansall, Denise McKinley
Contact:
250-614-2261
301 - 1705 3rd Ave.
www.sustainmentalhealth.ca
Cost?
available through EFAP
Walmsley & Associates
Provider(s):
Ida Alleman, Andy Bellamy, Jenny DeReis, Kristi Francis, Paula Hunter, Blaine Powel, Rob Ziegler
Description:
Counselling available in: Prince George, Mackenzie, Quesnel
PRINCE GEORGE CHRONIC PAIN DIRECTORY
Contact:
250-564-1000
1512 Queensway St.
www.walmsley.ca
Charis Counselling Services
Provider(s):
Brian Bulgin
Contact:
250-562-7882
www.chariscounselling.ca
BCCA Centre for the North, Patient and Family Counselling
Provider(s):
Tracey Angove (CCC)
Wellspring Counselling
Provider(s):
Jesse Bowen (RPC)
Description:
Counselling services- private
Contact:
250-561-0410
218 - 1717 3rd Ave
www.wellspringcounsel.ca
Aroha Counseling & Consulting
Contact:
250-640-2706
209 - 1717 3rd Ave.
Disability Support Services, CNC
Provider(s):
George Dunne
Contact:
250-561-5848 x 5250
Dawn Sather
Description:
Child and Family Therapy- private
Contact:
250-564-6230
213-1717 3rd Ave
Linda Schmidt
Description:
Counselling services- private
Contact:
250-563-7331
193 Quebec St
Marina Ursa
Description:
Counselling services- private
Contact:
250-562-6607
Michael Pratt
Description:
Counselling services- EAP & EFAP
Contact:
250-561-5818
217 - 1717 3rd ave
Miss Mieke
Description:
Counselling services- Aboriginal
Contact:
250-981-8255
302 - 1717 W. 3rd Ave
John Howard Society
Provider(s):
Lisa Loewen
Description:
Counselling services- public
Contact:
250-961-8517
154 Quebec St.
Worth Counselling
Provider(s):
Cindy Worth
Description:
Psychology
Contact:
250-563-7331
217 -1717 3rd ave
Healing the Spirit
Provider(s):
Maria Brower (RPC)
Contact:
250-612-1321
2246 Northwood Pulpmill Rd.
Sue Muirhead Counselling Services
Provider(s):
Sue Muirhead
PRINCE GEORGE CHRONIC PAIN DIRECTORY
Description:
Counselling services- private
Contact:
250-562-4344
www.suemuirhead.com
Mirror Image Counselling
Provider(s):
Gaylene Neary (APC)
Description:
Member of Professional Association of Christian Counsellors and Psychotherapists
Contact:
250-692-6271
3986 Barnes Dr.
UNBC Community Counselling Centre
Provider(s):
Ryan James
Contact:
250-960-6450
1310 3rd Ave
Tanya Bedford (RCC)
Description:
Eye Movement Desensitization and Reprocessing, Observed Experiential Integration, CBT, Play therapy, Attachment theory, Existentialism theory
Contact:
250-640-9027
310 - 1705 3rd Ave
http://www.tanyabedford.com
BC Responsible and Problem Gambling Program
Provider(s):
Darryl Anderson
Contact:
250-617-5253
www.bcresponsiblegambling.ca/getting-help/find-counsellor/darryl-anderson
SOS Society
Description:
Counselling services- public
Contact:
250-564-8302
193 Quebec St.
Victim Support Services
Description:
Counselling services- public
Contact:
250-563-1113
1575 5th ave.
Intersect
Description:
Counselling services- public youth
Contact:
250-562-6639
1294 3rd Ave
Aboriginal Child & Youth Wellness
Description:
Counselling services- public Aboriginal youth
Contact:
250-564-3568
1600 3rd Ave
Native Healing Centre
Description:
Counselling services- public Aboriginal
Contact:
250-564-4324
3rd flr 1600-3rd ave.
NH Community Acute Stabilization Team (CAST)
Description:
services for adults 19+ and older presenting with a variety of Mental Health and Addiction diagnoses (e.g., Mood Disorders, Personality Disorders, Concurrent Substance Related Disorders, Bi-Polar Disorders, Grief, Adjustment Disorders, Obsessive Compulsive Disorder (OCD), Post Traumatic Stress Disorder (PTSD) and Post-Partum Depression).
Contact:
250-565-2666
NH Community Outreach and Assertive Services Team (COAST)
Description:
comprehensive treatment for adults based on a psycho-social rehabilitation model with a DSM IV diagnoses: Psychosis NOS, Schizophrenia, Schizoaffective disorder, Bipolar I and II, Co-occurring Substance Related disorders, and Developmental Disabilities above 70.
Contact:
250-565-7472
NH Community Response Unit (CRU)
Provider(s):
PRINCE GEORGE CHRONIC PAIN DIRECTORY
Description:
CRU acts as an entry point for Mental Health and Addiction programs, agencies and supports by facilitating referral and access to services. CRU provides brief assessments, short term supportive counselling and crisis intervention, in a variety of environments to meet the needs of the clients.
Contact:
250-565-2668
BounceBack CMHA
Description:
Mental Health Coaching
Contact:
250-564-8644
1152 - 3rd Ave.
Spiritual Care
Healing Rooms Ministries (Prince George Healing Rooms)
Provider(s):
Director: Dawn Farber
Description:
Pastoral care Mon 7:00-9:00 PM
Contact:
www.healingrooms.com/CA1379
Prince George Pentecostal Church 497 Ospika Blvd.
Westwood Church
Description: Prayer and spiritual care
Contact:
250-562-3711
2658 Ospika Blvd.
Aboriginal spirituality
Description:
Chaplaincy, 2nd & 4th Fridays: 10:00am-12:00pm
Contact:
UNBC: 7-210 3333 University Way
BC Muslim Association
Description:
Spiritual care
Contact:
250-564-5412
College Heights Baptist Church
Description:
Pastoral care, Tues-Fri business hours
Contact:
250-964-4181
5401 Moriarty Cres.
Fort George Baptist
Description:
Pastoral counselling
Contact:
250-564-6287
1600 Johnson St.
Gateway Church
Description:
Pastoral counselling
Contact:
250-563-1003
2055 20th ave
Grace Anglican Church
Description:
Pastoral care
Contact:
250-562-5611
2640 Goheen St.
Lakewood Alliance
Description:
Pastoral care
Contact:
250-564-8737
4001 5th ave
Life Centre
Description:
Spiritual support: Drop-in centre Mon- Thurs 10:00-3:00 PM Saturday 4:30-8:30 PM
Contact:
250-563-5721
1164 3rd ave
Body Work
Exercise strengthens the body, reduces fatigue and can help with sleep disorders and depression. An individualized program should include stretching, strengthening, and an aerobic component. Passive therapies such as massage are not a solution on their own, but can complement other bodywork.
Physiotherapy
Accelerated Sport & Spine Physiotherapy
Provider(s):
Diane Collard, Karla Kelly, Davis Rodrigues
Description:
Acupuncture also available.
Contact:
250-960-5323
3333 University Way (Northern Sports Centre)
www.stronger-you.com
Cost?
WorkSafeBC Contracted
CBI Health Centre
Provider(s):
Pamela Parker
Contact:
250-562-3537
1310 5th Ave.
https://www.cbi.ca/web/physiotherapy-prince-george-5th
Cost?
WorkSafeBC Contracted
Child Development Centre
Provider(s):
Lynn Bergmann, Andrea Fredeen, Jenny Hogan, Fabiola Toyata, Sandy Van Kleeck
Contact:
250-563-7168
1687 Strathcona Ave.
http://www.cdcpg.org/therapy.shtml
Healing Rivers Physiotherapy
Provider(s):
Sonja Redden
Description:
Member of the International Association for the Study of Pain
Contact:
250-649-0886
206 - 1811 Victoria St.
www.healingrivers.ca
Physio North Sports and Wellness Centre
Provider(s):
Mitchell Bourne, Vickie Laverdue, Sandy Van Kleeck
Contact:
250-563-0050
104 - 1302 7th Ave
www.physionorthcentre.ca
Cost?
WorkSafeBC Contracted
Phoenix Physiotherapy Clinic
Provider(s):
Wendy Marchlewitz, Carly Tayler, Jon Chuby
Contact:
250-562-8248
410 - 2155 10th Ave
www.phoenixphysiotherapyclinic.ca
Cost?
WorkSafeBC Contracted
Physio In Motion
Provider(s):
Cleo Lajzerowicz
Contact:
250-612-9379
Victoria Sports Physiotherapy Clinic
Provider(s):
Dustin Robin, Jurien Van Den Heever
Contact:
250-564-3820
204 - 1669 Victoria St.
www.victoriasportsphysiotherapy.com
Cost?
WorkSafeBC Contracted
YMCA of Northern BC
Provider(s):
Lesley Schwab, Kerrie Roberts
Contact:
250-613-4890
2020 Massey St.
http://www.nbcy.org/health_and_fitness/health_management.php
Registered Massage Therapy
Active Balance Massage Therapy
Provider(s):
Myron Bedford, Christine Brunner
Description:
see http://www.activebalancemassagetherapy.com/Conditions-List.html
Contact:
250-562-9801
309 - 1705 3rd Ave.
www.activebalancemassagetherapy.com
Cost?
30 minutes: $60
45 minutes: $75
60 minutes: $90
90 minutes: $140
Azure Massage Therapy
Provider(s):
Carmen Steblin
Contact:
250-277-2290
101 - 707 Canada Games Way
www.azurepg.com
Body Elements Spa & Wellness
Provider(s):
Laurel Turcotte
Contact:
250-964-7337
5075 Domano Blvd.
www.bodyelements.ca
Cost?
30 minutes: $65
60 minutes: $97
90 minutes: $137
Borealis Massage Therapy
Provider(s):
Roger Sandahl
Description:
Myofascial release, muscle energy, manual massage (Swedish technique), manual lymph drainage, relaxation massage
Contact:
250-614-9070
201 - 1669 Victoria St.
www.borealismassage.com
Coral's Reef Massage Therapy
Provider(s):
Coral Edmonds (Leung)
Contact:
250-563-8338
304 - 1705 3rd Ave.
http://coralsreefmassage.weebly.com
Cost?
30 minutes: $60
45 minutes: $75
60 minutes: $90
Healing Connections Massage Therapy
Provider(s):
Ashley Stevens
Contact:
250-960-8090
760 Victoria St.
Krell Chiropractic
Provider(s):
Kyla Elphee, Nicole Swan, Chaylene Carter*, Amber White*
Description:
Chiropractor, Acupuncture, Hydromassage, Yoga & fitness classes also available on site. *Chaylene and Amber are RMTs in Alberta and are working towards obtaining BC registration.
Contact:
250-596-3236
513 Ahbau St.
www.krellchiropractic.com
Keystone Massage Therapy and Healing Centre
Provider(s):
Kristine Hansen, Alexandra Harris, Emily Kwitkoski
Description:
Specialize in relief from chronic pain. Massage services include: therapeutic, shiatsu, relaxation, warm stone, reflexology
Contact:
250-562-9341
2020 Massey Dr.
www.keystonehealing.ca
Prince George Family Chiropractic
Provider(s):
Guy Elliott, Kaile Richards
PRINCE GEORGE CHRONIC PAIN DIRECTORY
Contact:
250-561-8908
3320 Massey Dr.
www.princegeorgechiropractor.com/
Quality of Life Massage Therapy
Provider(s):
Kristy Lynch (Fuller)
Contact:
778-349-8184
304 - 1705 3rd Ave.
Synergy Health & Wellness
Provider(s):
David Baroff, Samantha Radloff, Trevor Scott, Korrin Scott
Contact:
250-596-9355
112 - 1717 3rd Ave.
www.synergyhealthprofessionals.ca
Therapeutic Massage Centre
Provider(s):
Frances Shelest (Anderson)
Contact:
250-561-1958
412 - 1669 Victoria St
Vital Motion Massage Therapy
Provider(s):
Gaston Gilliard
Contact:
250-614-1645
1722 8th Ave.
Karen Anderson
Contact:
250-961-9018
815 Harper St.
James Cryderman
Contact:
Jim is living Barriere and visits PG to work every 4-6 weeks
250-613-5582
www.jimcrydermanrmt.com
Connie Erickson
Contact:
250-561-2177
4831 Zimmaro Ave.
Kathryn Gaudet
Contact:
250-552-0656
4115 Eva Pl.
Michelle Gaudet
Contact:
250-301-7752
106 - 490 Quebec St.
http://michellegaudet.janeapp.com
Cost?
30 minutes: $60
45 minutes: $75
60 minutes: $90
90 minutes: $140
Allison Madder
Contact:
250-981-6913
317 - 1669 Victoria St.
Wendi McKay
Contact:
250-564-6639
3833 Forest Pl.
Collin McTaggart
Contact:
250-564-3171
1543 8th Ave.
www.collinmctaggart.ca
Cost?
30 minutes: $60
45 minutes: $75
60 minutes: $90
Sarah Sapergia
Contact:
250-614-3005
957 Vedder Cres.
Amanda Soares
Contact:
778-349-1139
1635 8th Ave
www.amandasoaresrmt.com
PRINCE GEORGE CHRONIC PAIN DIRECTORY
Cost?
30 minutes: $60
45 minutes: $75
60 minutes: $90
90 minutes: $135
Barbara Wells-Klein
Contact:
250-562-0448
825 Vancouver St.
http://barbarakleinrmt.com
Other Massage
Relax-in-chair on-site Massage
Provider(s):
Kathy Baker
Description:
Certified Chair Practitioner.
Contact:
250-962-5003
www.relaxinchair.ca
Cost?
Drop-in sessions (public venues): $1 per minute (5 min minimum)
In-home sessions
30 minutes: $30
60 minutes: $65 ($50 per subsequent hour)
May be subject to $5 travel fee
Chiropractic
Ezaki Chiropractic
Provider(s):
Dr. Ken Ezaki
Contact:
250-562-8855
311 - 1705 3rd Ave.
www.ezakichiro.com
Cost?
Initial visit: $60
Subsequent visits: $45
Premium Assistance - Initial visit: $30; Subsequent visits: $15
Krell Chiropractic
Provider(s):
Dr. Tina Krell
Description:
RMT, Acupuncture, Hydromassage, Yoga & fitness classes also available on site.
Contact:
250-596-3236
513 Ahbau St.
www.krellchiropractic.com
Merritt Chiropractic
Dr. Larry Merritt & Dr. Celynne Merritt
Provider(s):
Contact:
250-564-4202
1543 8th Ave.
http://merrittchiropracticcorp.com
Prince George Family Chiropractic
Provider(s):
Dr. Travis Morgan & Dr. Scott Anderson
Description:
RMT also available on site.
Contact:
250-561-8908
3320 Massey Dr.
www.princegeorgechiropractor.com/
Trombley Chiropractic
Provider(s):
Dr. Danielle Trombley
Contact:
250-564-1144
310 - 1669 Victoria St.
Dr. Elisa Braccia & Dr. Brad Kreitz
Contact:
250-561-2707
385 Winnipeg St.
Dr. Randy Mills & Dr. Russill Mills
Contact:
250-563-4563
443 Carney St.
www.drmillschiropractic.ca
Cost?
Initial visit: $275
Subsequent visits: $45 with adjustment, $30 without adjustment
Dr. Scott Norgren
Contact:
250-563-8887
1635 8th Ave.
Dr. Dean Rigler
Contact:
250-562-2225
1543 9th Ave.
www.drrigler.com
Cost?
Patients who have exhausted their income assistance medical plan coverage, may have their fee refunded from their account by doing volunteer services with a registered charity that has signed up with our office and presenting the office with a written rec
Dr. Terrance Warawa
Contact:
250-562-2377
1525 Victoria St.
http://drwarawa.com
Dr. David Wheatcroft
Contact:
PRINCE GEORGE: 250-561-1916
103 - 770 Central St. East
VANDERHOOF: 250-570-9548
2325 Burrard Ave.
www.davidwheatcroftdc.ca
Occupational Therapy
Child Development Centre
Provider(s):
Les Smith
Contact:
250-563-7168
1687 Strathcona Ave.
http://www.cdcpg.org/therapy.shtml
Tai Chi
Seniors' Recreation Centers Classes
Elder Recreation Center:
250-561-9381
Hart Pioneers:
250-962-6712
Spruce Capitol Seniors:
250-563-6493
Tom Hynd
Description:
Certified Instructor for Tai Chi for Arthritis and Tai Chi for Fall Prevention.
Contact:
250-561-9381
1692 10th Ave
Prince George Tai Chi Club
Provider(s):
Lister Chen
Contact:
250-964-3849
email@example.com
Nechako Karate Club Tai Chi Co-operative
Description:
Mon & Weds 7:00-8:30 PM
Tues 6:00-7:30 PM
Contact:
250-963-8669 or 250-617-4013
1175 Village Ave
Oriental Traditional Healing
Provider(s):
Dr. Jian Xiao
Description:
Tai Chi classes upon request
Contact:
250-563-8365
313-1669 Victoria St.
http://www.orientaltraditionalhealing.com
Yoga & Fitness
Yoga for Chronic Pain - Article
Description:
Article written by Fraser Health physiotherapist about the benefits of yoga for chronic pain, and steps for getting started. Links to resources also included.
Contact:
http://news.fraserhealth.ca/News/May-2016/Yoga-for-Chronic-Pain.aspx
Canadian Institute for the Relief of Pain and Disability YouTube Channel
Description:
Includes videos about self-management, and Yoga for People in Pain series
Contact:
www.youtube.com/user/cirpdadmin
Body Elements Spa & Wellness
Description:
Offers Yoga and fitness classes.
Contact:
250-964-7337
5075 Domano Blvd.
www.bodyelements.ca
Charles Jago Northern Sports Centre (at UNBC)
Description:
Classes include: Yoga for ageless bodies, BoomerFit, Staying healthy Staying Strong, 30+ Strength Training, and others
Contact:
250-960-6366
3333 University Way
www.unbc.ca/northern-sport-centre
Chinook Yoga
Provider(s):
Jaylene Pfeifer
Description:
Yoga Therapy: We can work with, but are not limited to, people with musculoskeletal injuries, chronic illnesses, stress, migraines, etc. Small group setting (10-12).
Contact:
250-564-9642
320 Vancouver St.
www.chinookyoga.com
OR
http://www.jaylenepfeifer.com/#!Therapeutic_Yoga
Cost?
Single class: $19
7 classes: $133
One to one session: $85
Note: Jaylene Pfeifer is a Practicing Kinesiologist - some extended health plans may cover this.
College Heights Fitness
Contact:
250-964-4348
3041 McGill Crescent
Curves
Contact:
250-962-9161
6499 Hart Hwy
Downtown Fitness Studio
Contact:
250-561-0557
1533 2nd Ave www.pgfitness.com
Four Seasons Leisure Pool
Description:
Range-or-Motion classes: M/W/F 09:00-10:00
See video for intro to classes: https://www.youtube.com/watch?v=8HpAKpH4SBo
Contact:
250-561-7636
775 Dominion St.
Gold's Gym
Contact:
250-614-1515
760 Victoria St.
GoodLife Fitness
Contact:
250-561-0213
120 - 3030 Recplace Dr.
Krell Wellness / Krell Chiropractic
Description:
Back Yoga: If you experience discomfort or limited movement in your upper and lower back or neck, then this is a perfect class for you.
Contact:
250-596-3236
513 Ahbau St.
www.krellwell.com
Cost?
Yes. (drop-in classes, punch cards, monthly memberships available)
Live & Lift Ladies Fitness
Contact:
250-562-6365
115 - 770 East Central St.
www.liveandliftpg.com
On The Move Personal Fitness
Contact:
250-564-3441
12C - 1839 1st Ave.
www.onthemovefitness.ca
Prince George Aquatic Centre
Description:
Range-of-Motion classes: M/W/R/F/S 08:30-09:30
Aqualite: Tues 08:30-09:30
See video for intro to classes: https://www.youtube.com/watch?v=8HpAKpH4SBo
Contact:
250-561-7787
1770 George Paul Lane
Prince George Fitness Connection
Provider(s):
Vanessa Hamilton
Contact:
250-961-7522
Sunset Studio
Description:
Yoga for the back: relaxing yoga sequence designed specifically to stretch and strengthen your back
Contact:
250-961-7337
116 - 1717 3rd Ave www.sunsetstudio.ca
Cost?
Drop-in: $13. Punch cards and monthly passes also available
Vivasana Yoga
Provider(s):
Vivian Giannisis
Contact:
778-349-9642
www.vivasanayoga.com
YMCA of Northern BC
Description:
Yoga and Yoga-Fitness, Stretch & Relaxation, and other classes available.
Contact:
250-562-9341
2020 Massey Dr.
www.nbcy.org
CBI Health Centre
Contact:
250-562-3537
1310 5th Ave.
https://www.cbi.ca/web/physiotherapy-prince-george-5th
Cost?
WorkSafeBC Contracted
Section B:
Chronic Pain Education for Health Care Providers
Courses, Clinical Practice Guidelines and other resources for health care providers.
Pain Education Directory
Inventory of Pain and Addiction Education programs for Canadian Prescribers
Description:
List of national and provincial programs. Listed by discipline (Physicians and other health care professionals, addiction and mental health professionals, chiropodists, dentists, midwives, nurses and nurse practitioners, pharmacists), then by province. Current as of February 2014.
Link: http://nationalpaincentre.mcmaster.ca/
Courses
Graduate Certificate in Chronic Pain Management (McGill University)
Description:
This certificate is an ongoing collaboration between the School of Physical and Occupational Therapy and the Alan Edwards Centre for Research on Pain to provide healthcare professionals with the most recent and relevant approaches and technologies for the care and management of chronic pain. An interdisciplinary approach is represented by the participants as well as by the educators of the certificate. By teaching evidence-based clinical practice with an interdisciplinary perspective, this graduate certificate will provide the professional with advanced knowledge and expertise in this challenging area of healthcare. This certificate is offered in French and in English.
Learning Objectives:
1) Enhance your knowledge base in the most recent neuroscientific and behavioural perspectives of chronic pain
2) Acquire advanced practice skills in the evaluation and assessment of chronic pain conditions
3) Learn and apply evidence-based multi-modality treatments for diverse client populations
4) Appreciate roles and responsibilities of interdisciplinary team members
5) Develop a network of professionals and leaders in the field of chronic pain management
6) Acquire graduate certificate degree credentials from the top-ranked university in Canada
Target Audience:
- Medicine
- Nursing
- Occupational Therapy
- Pharmacology
- Physical Therapy
- Psychology
- Related Disciplines
Additional Info:
- 4 core courses (12 credits) + 1 elective course (3 credits).
- The completed certificate program courses qualify towards credentialing for the Canadian Academy of Pain Management (CAPM). For more information, please visit www.canadianapm.com/credentialing.html
Link: http://www.mcgill.ca/spot/programs/online-graduate-certificates/chronic-pain-management
Graduate Certificate in Pain Management (University of Alberta)
Description:
Online certificate program offered through U of A Faculty of Rehabilitation Medicine Online Certificate Programs. Comprised of 3 courses total (18 months to 3 years to complete).
Learning Objectives:
Upon completion of the three certificate courses students will be able to:
1) Understand the importance of an interdisciplinary approach in managing pain through an understanding of the unique and shared roles and responsibilities of various professionals on an interdisciplinary team in the assessment and management of pain conditions.
2) Use critical thinking and evidence-based approaches to develop assessment and treatment plans across the pain continuum, with an emphasis on complex/chronic pain.
3) Use a bio-psycho-social clinical reasoning framework which integrates information across models in the assessment and treatment of pain.
Target Audience:
- Physical therapists
- Nurses
- Psychologists
- Social workers
- Physicians (MAINPro and M1 credit available)
PRINCE GEORGE CHRONIC PAIN DIRECTORY
- Pharmacists
- Occupational therapists
-
Others in related fields
Additional Info:
- Registrants who complete all three courses in this certificate may use the letters PgCPain to designate successful program completion.
- Pain certificate courses can be used towards credentialing through the Canadian Academy of Pain Management (CAPM). For more information on CAPM please visit www.canadianapm.com/credentialing.html
Link: http://issuu.com/rehabmed/docs/
Pain Champion Training (Pain BC)
Description:
Pain BC delivers ongoing professional education in best practices for chronic pain management to healthcare providers, with the goal of improving clinical practice and outcomes for people living with pain. Hundreds of BC healthcare providers, including occupational therapists, physiotherapists and pharmacists have completed a Pain BC workshop.
Target Audience:
Past Pain Champion Training has been co-designed with, and offered to:
- Pharmacists
- Physiotherapists
- Occupational Therapists
- Registered Massage Therapists
- Mental Health Practitioners
Link: https://www.painbc.ca/news/new-pain-champion-workshops
Preventing Chronic Pain: A Human Systems Approach (University of Minnesota)
Description:
Free online course consisting of modules with 10-20 minute video segments including slides, videos, experiential demonstrations, self-management training; and discussions to provide practical knowledge on preventing chronic pain.
Learning Objectives:
- Engage in creative learning strategies such as teaching through stories, personal assessment tools, and experiential training
Additional Info:
- There will be a Statement of Accomplishment offered for this course.
Link: https://www.coursera.org/learn/chronic-pain
Practice Support Program (PSP) – Pain Management
Description:
Chronic pain impacts a growing segment of the population. There is a strong link between persistent pain and some mental health conditions, such as depression, which is three times more likely to impact chronic pain sufferers. In this module, you will learn how to use EMR pain tools and collaborative techniques to better support pain patients and help them improve their ability to function.
Learning Objectives:
1) Better understand the physiological, psychological, environmental and social factors that impact chronic pain;
2) Identify, assess and manage patients with persistent pain;
3) Communicate effectively with pain patients;
4) Use EMR pain tools;
5) Build a patient registry;
6) Develop a care plan;
7) Support patients in enhanced self-care;
8) Collaborate with patients, families, pain specialists, allied health professionals, and nongovernment agencies to optimize treatment of persistent pain.
Target Audience:
- While the Pain Management module was developed with family doctors in mind, medical office assistants (MOAs) across BC are welcome to participate.
- In NH communities, PSP is not only offered to physicians; members of Interprofessional Teams (IPTs) are invited to attend the sessions. Where there are no formalized ITPs in place yet, Denys invites representatives from different departments, and local community-based providers to participate in the sessions.
Additional Info:
- Communities currently engaged in Pain PSP learning (as of Oct. 2015): Vanderhoof, Prince George, Fraser Lake, Prince Rupert, Quesnel, Valemount, Fort St. James, Mackenzie, Smithers, Fort Nelson, Chetwynd.
Link: 'Tools & Resources' and outlines of each 'Learning Session' available through GPSC site: http://www.gpscbc.ca/what-we-do/professional-development/psp/modules/pain-management
North American Pain School (NAPS)
Description:
The North American Pain School, or NAPS, brings together leading experts in the fields of pain research and management to provide a unique educational and networking experience for the next generation of basic science and clinical pain researchers.
Learning Objectives:
- We offer opportunities for scientific education, professional development, and connections with peers in a setting far removed from the lab and steeped in the character and culture of Quebec.
Target Audience:
- Although NAPS will be open to trainees from all over the world, it will primarily serve graduate students, post-doctoral fellows and clinician-scientists based in the U.S. and Canada. The Executive Committee will make selections, based primarily on scientific merit and motivation, but with consideration for demographics and need as well.
Additional Info:
- 4-day intensive workshop format.
- Yearly programs will have a different theme and will bring together 30 trainees with six dynamic, internationally recognized pain investigators from around the world and NAPS permanent faculty.
Link: http://northamericanpainschool.com/
Other Training
Chronic Disease Management / Self-Management Support: Shifting the Wat We Think
Description:
Two-day educational training for health care providers to develop their skills in supporting patients/clients who live with chronic conditions. The goal of the session is to increase staff's
knowledge and skills in working with their clients who have a chronic condition so they can support them in their self-management and behavioural change.
Learning Objectives:
- Day 1: introduction to chronic disease and introduces concepts and tools. They learn about the 5As, Stages of Change, behavioural change counseling and action plans. The course provides case studies and many opportunities to practice the skills.
- Day 2: delivered a week to two weeks after day one. The reason for this is to provide participants opportunities to practice their skills. Day two focuses more on integrating their selfmanagement strategies into their client assessments. They learn about disease specific strategies for self-management support.
Target Audience:
- Health Care providers
Additional Info:
- Ongoing support for staff is provided by educators and clinical practice leads within the organization.
- Was offered through Self-Management BC (UVic). Not sure whether this is still offered. Resources are still available via website.
Link: http://www.selfmanagementbc.ca/chronicdiseasemanagement
Centre for Collaboration, Motivation and Innovation (CCMI)
Description:
The Centre for Collaboration, Motivation and Innovation (CCMI) provides training and resources for healthcare practitioners dedicated to collaborative health care plans through a stepped–approach to care.
Learning Objectives:
Training and support are availabile in the following areas:
- Brief Action Planning,
- Group Medical Visits,
- Patient Centered Care,
- Self Management Support,
- Brief Interventions,
- Health Literacy,
- Patient Engagement,
- Social Determinants of Health,
- Diversity,
- Motivational Interviewing,
- Shared Decision Making
Additional Info:
- Most training is delivered in partnership with health authorities using a train-the-trainer model.
- Marcia Bertschi (firstname.lastname@example.org) is the coordinator for Brief Action Planning and Motivational Interviewing training in NH.
Link: http://www.centrecmi.ca/learn/
Reference Documents
Safe Prescribing of Drugs with Potential for Misuse/Diversion
Description:
Professional Standards and Guidelines developed by the College of Physicians and Surgeons of British Columbia (2016). Document outlines standards (mandatory) and guidelines (recommendations) regarding the prescription of opioids, sedatives and stimulants.
Target Audience:
- Physicians
Link: https://www.cpsbc.ca/files/pdf/PSG-Safe-Prescribing.pdf
Opioids in Chronic Non-Cancer Pain
Description:
Developed by: BC Provincial Academic Detailing Service (Pharmacy). "The Basics" Introductory clinical information document. Suggested resources include: clinical practice guidelines, physician resources and education, patient resources and education, list of pain clinics, etc.
Link: http://www2.gov.bc.ca/gov/content/health/practitioner-professional-resources/padservice/completed-pad-topics
(BC) Pain Assessment and Management in Residential Care: Minimum Standards
Description:
Outlines the standards used in private and public residential care facilities in BC since 2007. Specifics related to cognitively impaired patients are noted throughout.
Developed by:
Kathleen Downes (Vancouver Coastal Health) & Vicky Bach (Fraser Health).
Link: https://www.painbc.ca/sites/default/files/BC-ResidentialCareStandards.pdf
Information for Health Care Professionals: Cannabis (marihuana, marijuana) and the cannabinoids
Description:
Published in September 2010 to provide information on the use of cannabis for medical purposes.
Developed by:
Health Canada
Additional Info:
- This document has been prepared by the Controlled Substances and Tobacco Directorate at Health Canada to provide information on the use of cannabis and cannabinoids for medical purposes. Cannabis is not an approved therapeutic product and the provision of this information should not be interpreted as an endorsement of the use of this product, or cannabis generally, by Health Canada.
- Despite the similarity of format, it is not a Drug Product Monograph, which is a document which would be required if the product were to receive a Notice of Compliance authorizing its sale in Canada. This document is a summary of peer-reviewed literature and international reviews concerning potential therapeutic uses and harmful effects of cannabis (marihuana) and cannabinoids. It is not meant to be comprehensive and should be used as a complement to other reliable sources of information.
Link: http://www.hc-sc.gc.ca/dhp- mps /alt_formats/pdf/marihuana/med/infoprof-eng.pdf
Self Management Support: A Study and Implementation Guide for Health Care Professionals
Description:
Will give health care professionals the knowledge and tools needed to empower patients to better manage their chronic conditions.
Developed by:
Michelle Medland for Fraser Health (2009)
Learning Objectives:
After completing both guides, clinical practitioners will be able to:
1) Understand the meaning of self-management and self-management support
2) Assess the current communication techniques used in patient encounters
3) Evaluate their existing attitudes and beliefs about self-management and self-management support
4) Establish a Team Action Plan to implement self-management techniques into their practice
5) Establish roles and responsibilities of team members to support patient self-management
6) Have an ability to measure and evaluate progress made within their practice
7) Identify a patients readiness to change and use specific techniques to enhance the readiness for change
8) Use communication techniques such as the 3 Questions, 5A's and communication techniques in patient encounters
9) Help patients develop a Personal Action Plan that will enable them to make behavioural changes
10) Use the problem solving technique to help patients set reasonable and achievable self‐ management goals
11) Adopt practice procedures and roles that embed self-management principles into most patient encounters
Additional Info:
- 2 Sections:
o (1)The study guide is there to support self directed learning on the theory of self management support;
o (2) the implementation guide will support you in implementing the learned techniques into your practice.
Link: http://www.gpscbc.ca/
Articles and Patient Handouts
This Changed my Practice: Managing Opioid Withdrawal
Description:
Article plus 2 patient handouts about experiences of Family Physician (with consultative practice in complex pain), how practice has changed, etc.
Developed by:
Dr. Pam Squire, UBC Faculty of Medicine
Additional Info:
- Receive 0.25 Mainpro M1* or MOC Section 2* study credits per article
Link: http://thischangedmypractice.com/managing-opioid-withdrawal/
Online Resources
Pain Treatment Topics
Description:
These UPDATES were a project of Pain Treatment Topics; Stewart B. Leavitt, MA, PhD, publisher/editor.
Developed by:
Stewart B. Leavitt
Mission:
To serve as a non-commercial resource for healthcare professionals & their patients, providing open access to clinical news, information, research, and education with a focus on better understandings of evidence-based pain- management practices.
Additional Info:
New postings and comments were discontinued as of January 2014.
Link:
http://updates.pain-topics.org
Michael G. DeGroote National Pain Centre
Description:
Online collection of RESOURCES, KNOWLEDGE BASE, PERSONAL STORIES, E- LEARNING VIDEOS, WEBINARS and EXPERT BLOGS about neuropathic pain conditions and the different treatments available.
Additional Info:
DeGroote Pain HQ (https://www.painhq.org) also available for people living with chronic (neuropathic) pain.
Link:
http://nationalpaincentre.mcmaster.ca/
Pain BC - for HCPs
Description:
Links to Conferences, Assessment tools, Journal articles, resources to give to patients
Link:
www.painbc.ca/health-care-providers
Health Skills blog
Description:
Blog for HCPs supporting CP self-mgmt. written by OT/PhD in NZ
Link:
http://healthskills.wordpress.com/about
Canadian Pain Society
Description:
Society of scientists and health professionals in pain research, pain management
Link:
www.canadianpainsociety.ca
Know Pain
Description:
PT Mike Stewart's page of resources – case studies, handouts, videos, etc.
Link:
www.knowpain.co.uk
Institute for Chronic Pain
Description:
Educational and Public Policy think tank. Includes sections on understanding and treating chronic pain, resources, and a current blog (www.instituteforchronicpain.org/blog).
Link:
www.instituteforchronicpain.org
Life is Now Pain Care
Description:
PT Neil Pearson's suite of clinical tools for providers
Additional Info:
Cost for users.
Link:
www.lifeisnow.ca/pain-care-provider
Pain Science Division
Description:
CAN Physiotherapy Association’s assessment tools, education and PD, pain networks/conferences, pain mechanisms/ theories and management
Target Audience:
Available to Canadian Physiotherapy Association members only.
Link:
www.physiotherapy.ca/divisions/pain-science
The Pain Toolkit – for HCP
Description:
App available to facilitate communications with patients, includes section of visual resources to show patients. See also: video on Introducing the Toolkit (https://vimeo.com/106378771)
Link:
www.paintoolkit.org/resources/healthcare-professionals
International Association for the Study of Pain (IASP)
Description:
brings together scientists, clinicians, health-care providers, and policymakers; they publish monthly PAIN journal
Link:
www.iasp-pain.org
Evidence Base for "Explain Pain" book (2nd ed.)
Description:
2013 overview of relevant literature that formed evidence base for "Explain Pain" book (note: Book is aimed at patients)
Link:
http://www.noigroup.com/
YouTube Videos
Persistent Pain videos
Description:
"Top 10 tips for GPs managing Chronic Pain" video and 4 others (engaging the patient, shifting the narrative)
Link:
https://vimeo.com/user30899282/videos
Self-Managing and Self Management Support
Description:
about Self-Management: what is SM? why? how patients can work together, especially for chronic conditions
Link:
https://www.youtube.com/watch?v=uRQ853sRt0o
|
2004 Conference Proceedings (Victoria, BC,
Canada)
Researching Adult Literacy Learners' Lives: Journeys of Trauma Toward Transformation
Karen Magro University of Manitoba
Follow this and additional works at: http://newprairiepress.org/aerc
Part of the Adult and Continuing Education Administration Commons
This work is licensed under a Creative Commons Attribution-Noncommercial 4.0 License
Recommended Citation
Magro, Karen (2004). "Researching Adult Literacy Learners' Lives: Journeys of Trauma Toward Transformation," Adult Education Research Conference. http://newprairiepress.org/aerc/2004/papers/47
This is brought to you for free and open access by the Conferences at New Prairie Press. It has been accepted for inclusion in Adult Education Research Conference by an authorized administrator of New Prairie Press. For more information, please contact firstname.lastname@example.org.
Researching Adult Literacy Learners' Lives: Journeys of Trauma Toward Transformation
Karen Magro University of Manitoba
Abstract: This qualitative study used autobiographies and self-report inventories to explore ten adult literacy learners' motivation for returning to school, their experiences at school, and the barriers that most interfered with their ability to complete their studies. Another key aim of the study was to investigate the characteristics of teachers, curriculum preferences, and teaching and learning strategies that either hindered or enhanced individuals' ability to learn
Background and Theoretical Perspectives
The growth of adult learning centres as "schools of second chance" presume to provide adults with essential personal, social, academic, and technical skills that will help them gain entry into college and other post secondary programs. Though adult literacy centres are becomingly increasingly popular and deemed necessary to adults are to acquire skills for the "new economy," further research is needed to investigate the experiences that literacy learners encounter when they return to classes for secondary school completion. Drop out is high in many adult literacy programs and the factors that explain why some adults persist while others withdraw suggest a complex interaction of personal, social, educational, and occupational factors ( Beder, 1991; Harmon and Edelsky, 1990; Malicky, Norton, Norman, 1997; Horsman, 1998; Quigley, 1997). Quigley (1997) asserts that "we have too often ignored the reality of the learners. Among other things, they have agency–free will, free choice, and the capacity to grow and change."(p.176). Quigley further notes that a key challenge in overcoming retention problems is the ability to balance learner needs, objectives, and strengths with teacher needs, objectives, and strengths in an enriching environment.
Most adult decisions to return to school are triggered by key changes and transitions in their lives. While cognitive and emotional factors may influence the strength of the learner's intent and perseverance to continue, academic performance and external factors ( e.g. financial, family, work) may influence the outcome of the learners' intentions. One student in this study wrote: "The decision to return to school has been positive. Burn out from family problems, financial stresses, "dead end" jobs, and the hope of improving my prospects triggered my decision to return to school." The present study also attempted to explore the familiar "institutional, situational, and personality" barriers to learning outlined by Cross (1981) in a more in-depth way.
Theoretical perspectives that helped gain insight into the literacy learners' experiences were found in Freire's (1997) critical literacy theory and Mezirow's (1981) transformative learning. For Mezirow (1991), learning does not only include the addition of new information; rather, the way we understand and interpret our world can be transformed through a process of critical reflection and action. Mezirow asserts that transformative learning can be seen as "an enhanced level of awareness of the context of one's beliefs and feelings, a critique of their assumptions and particular premises, and an assessment of alternative perspectives"(1991 p.161). Transformative learning experiences are complete when a decision is made to adopt a new perspective and carry out actions that are congruent with it. McFarlane et al (2001) note that Mezirow's theory is appealing because it is not age, stage, gender, or culturally dependent; in addition, it involves cognitive, emotional, social, and professional growth (also see Cranton,1994;Grabove, 1997; Taylor, 2000). Literacy education, for Freire(1997), should go beyond teaching functional skills and toward helping individuals gain critical awareness of the
systems that may undervalue or oppress them. "The teacher's conviction that they can learn from their students' experience is an important cornerstone in understanding Freire's "problem posing" process of critical education" (Magro, 2001, p. 88). From the perspective of both Freire and Mezirow, the teacher's role is associated more with a co-learner, facilitator, and challenge ( Magro, 2003). Dei (2002) further notes that in order to foster transformative leaning in classrooms, "it is importance for teachers to ground the learner in a sense of place, history, culture, and identify. Identification with the social and natural environments in which teaching and learning occurs must be seen as key to spiritual and emotional self-development" (p. 127). Course content should be anchored in individuals' aspirations, concerns and needs.
The Autobiography as Methodology
This study was carried out over an academic term ( February-June, 2003). Ten adult learners registered in Grade 12 Psychology and English classes at a major literacy centre in Winnipeg, Manitoba participated. Some of the students were new Canadians who had fled war torn countries such as Sierra Leone, Ethiopia, and Viet Nam. Other students were First Nations learners who were living in the inner city or had moved to Winnipeg from isolated northern communities. Many were single parents. The learners came from diverse cultural backgrounds and the average age of the participant was 25. Part of the research study involved the learners writing autobiographies highlighting "marker events" in their lives.
The use of autobiography as a vehicle for transformative learning has been studied by researchers such as Karpiak (2000);Lieblich, Tuval-Mashiach, and Zilber, 1998; Nelson (1994); and Richmond (2002). Nelson (1994) notes that "the use of autobiographical accounts, telling the story of stability and change can be a promising source for research in adult learning. As literary texts, they make the investigation of imaginative forms such as metaphor, image, and symbol both possible and warranted"(p. 389). Nelson further notes that in autobiographical writing, the person can develop a sense of personal autonomy and authority; this awareness reflects how their values, feelings, and ideas have changed and perhaps transformed. "Autobiographical learning, which presupposes reflection and critical thinking, is enabled by imagination, which leads to a transformation in the person's perspective and practice." ( p. 390). These personal narratives reflect the individuals' social and personal identity. The researcher becomes a co-learner and a co-collaborator in this interpretive process.
The self-report inventories and surveys asked learners to rank the "top five" barriers that most interfered with their learning or ability to complete their program of studies. Some of these barriers included: financial difficulties, family problems, fear and anxiety, prior negative experiences in schools, conflict with teachers, health problems, etc. The questionnaire asked the learners to describe their reasons for returning to school and their subsequent experiences. They were also asked to comment on the courses and characteristics of teachers that they found most and least helpful to their learning. Once the data had been collected, follow up interviews lasting 1-2 hours were recorded and transcribed.
Key Findings
The present study found that adult literacy learners have much to say about their motivation for returning to schools and the barriers that were most likely to impede their progress and continuation. The central barriers to learning that the students in this study identified included: financial difficulties, problems balancing parenting and school responsibilities, anxiety, stress, and other emotional problems; too little time at home to complete assignments, and a lack of study skills. The themes that emerged from many of the autobiographies and questionnaires reflected crisis and trauma. Traumatic events, as Herman
(1999) notes, "overwhelm the ordinary systems of care that give people a sense of control, connection, and meaning"(p.33).Poverty, violence, fragmentation in families, health and emotional problems, personal insecurities, and drug and alcohol addiction were among the themes that surfaced. Many of the learners in this study described feelings of depression, insecurity, and loss.
One young woman who is now a student teacher focused her essay on "marker events" around the depression and suicide on northern First Nations reserves. She wove theoretical perspectives on depression with her own experiences growing up on a northern reserve. She described the "case studies" of three cousins and a brother who had committed suicide. Referring to adult learning among Indigenous communities, Shilling (2002) emphasizes that "new and creative ways" are needed "to work through the existing pain and collective consciousness"(p. 153). He further states that "Indigenous peoples often experience a high level of collective stress in their daily lives. The constant energy of poverty, violence, sadness, family breakdown, abuse, death, assaults, accidents, suicide, chronic illnesses, unemployment, and intergenerational trauma paralyzes a community in a state where crisis is more likely than progress." (p. 154).
Individuals who fled warn torn countries describe feelings of stress and depression as a result of their experiences. Their stories also reveal the frustration of "having to start life all over" again in a new country. One man who was an accountant in the Sudan describes being detained and tortured before escaping to Kenya. Another young woman escaped a prison in Liberia and found her way to Canada after a harrowing journey. She describes the death of her father, a high school principal, and member of a political party that opposed the current governments leaders in Liberia. Another man from Viet Nam lost his immediate family and came to Canada with nothing, except a Vietnamese- French dictionary. Alem, a student from Ethiopia, described the chaos and violence that was part of his life growing up in the 1970s and 1980s:
I was six when my father was killed by the new government forces in Ethiopia.We used to be a well to do family but our properties were confiscated by the so called Marxist revolutionaries after they took over the government from emperor Haile Selassie in 1974. We were considered the enemy of the revolution and our Christian values were challenged. My mother who had no source of livelihood by her own was left with four children to raise. Poverty became the ruler of our life and it was at this time that I began school.
The democratic movements were crushed, and hundreds and thousands of people were killed, tortured, and imprisoned mercilessly and inhumanely. There was a reign of fear in my country and I saw high school and college students get killed on the streets of Bahirdar. I was 12 or 13 years old at the time.
Alem's mother managed to create a successful business and the family worked together to survive. This student did well in school and managed to complete a degree in Political Science. He fled to Italy and lived in Rome for five years before coming to Canada.
Horsman (1998) notes that themes of violence and post traumatic stress are not adequately addressed in many literacy programs. She emphasizes that there is often "not a lot of space" for emotions and that it is the responsibility of literacy workers, funders, and others in the field to recognize that all literacy learning must be carried out in recognition of the needs of survivors of trauma. She also noted that the trauma experienced by the learners can also adversely impact the literacy teachers. This "vicarious trauma" can result in the literacy teacher feeling a sense of helplessness. "Literacy workers have little control over when they will hear
stories and have fewer boundaries to control how much they will hear or what to expect" (p. 16). Similarly, Robertson (1996) emphasizes that the "the field ( adult education) neither adequately prepares nor supports adult educators to manage the dynamics of helping relationships or the dynamics of transformative learning within the context of these relationships" ( pp. 43-44).
One of the teachers that I spoke with encouraged her students to write poems, short stories, and other forms of creative writing to describe their personal experiences. Almost always, she noted, students were willing to "disclose a lot of fascinating but terrifying detail." While the autobiographies that I read reflected tragedy and trauma, they also reflected courage, inner strength, and a determination to succeed in life. Despite the set backs, these students had optimism and were willing to see the past as a learning experience that brought inner strength. While many of the students in this study cite numerous reasons for returning to school, a prevalent factor involved being "a good role model" for their children and creating a "good life" that had eluded them. For some, school is viewed as a "safe haven" where their dreams and goals can be realized. A number of the learners in this study described turning points in their lives that triggered a decision to return to school and activate positive change:
Up to the age of fourteen, I had spent my life under the totalitarian rule of my mentally and physically abusive alcoholic father. When he died, I felt so free and yet so lost. This confusion led to ten years of drug and alcohol addiction. These addictions had a hold of my sisters as well. This destruction behavior continued until I was 24 and became pregnant with my son Zak. After finding out, I went cold turkey, as the cold reality of being responsible for someone other than myself harshly and quickly set in. I did not want to harm my child...Having a child totally changed my life. I wanted to be his role model. I wanted to be the parent that I felt I should have had. I wanted everything to be the opposite of the negativity that was my childhood...
***
I grew up in a Hutterite colony and education was not encouraged for girls and women at that time. The comfort and security of colony life is very addictive and breaking away can be the hardest decision of a Hutterite's life. On my 15 th birthday I was told that I did not need to continue school and that I was to go to work now. The elders in the colony were strict, and if you showed signs of disrespect, you would be isolated. So on the colony, I worked at gardening, canning, cooking, and everything else you do on the farm. At the age of 17 I ran away from home and came to Winnipeg. I found jobs that didn't require a Grade 12 education. I worked as a nanny, waitress, and so on. It wasn't until I was divorced with four children that I realized that I couldn't support my children and myself on minimum wage.
***
I was seventeen when I started to smoke crack cocaine. From the moment I took my first hit, I was addicted. I was also able to keep my addictions a secret from my family. By the time I had already been living with my boyfriend for about a year.We cut ourselves off completely from the world. I sat awake at night not even noticing the sunrise. I wouldn't eat for days and my appearance had changed dramatically. Physically I was dying. Emotionally I was already dead.
It's difficult for me to look back at the person who I was, but then I look at the person who I have become. I am a confident person with dreams and goals. I have strong values. I want to set a good example for my daughter. I hope that my own experiences
and knowledge can help prevent this from happening to my children. I would also like to help people who are going through addictions.
These excerpts suggests that many adult learners return to school to gain a sense of selfworth and dignity that eluded them in the past. The learners' personal narratives also reflect courage, perseverance, and insight.
The Role of the Literacy Educator
The adult learners in this study also described the characteristics of teachers who were most helpful to their learning. Personal qualities such as empathy, kindness, passion, and enthusiasm were frequently cited as characteristics that made returning to school less intimidating.
Teachers who were willing to talk to students and go "beyond the textbook" in helping them understanding concepts and ideas were cited as important qualities. The teaching attributes that the learners in this study described as being helpful to their learning parallel the research of "best practices" in adult education cited by researchers such as Lowman (1995) who emphasizes that "master teachers" who are able to integrate clarity of communication, mastery and accuracy of content with interpersonal skills such as sensitivity, encouragement, and warmth. They also valued teachers who didn't treat them as children or teenagers but rather respected their experience and who could set challenging tasks with choice. One student wrote: "As adults returning to school with so many responsibilities, we don't need to be treated like high school children. Sensitivity, patience, and support are the keys to guiding adult learners." Teaching and learning strategies that were most engaging according to the learners in this study involved collaborative learning and group discussions, independent research papers and feedback that was frequent and constructive. .
The characteristics that the students in this study found least conducive to their learning were: insensitivity, abruptness, and "being too strict." They criticized teachers who trivialized their comments or who were poorly organized and difficult to understand. In emphasizing the importance of a holistic education that integrates cognitive, spiritual, and emotional dimensions, Miller (2002) asserts that "in the presence of a compassionate teacher, the student feels psychologically safe and thus is able to take risks and learn...The student feels accepted at a deeper level and this can go beyond learning that is merely performance, that tries to impress the teacher" ( p. 100).
A Transformative Curriculum
The learners in this study found that subjects such as Psychology, Native Studies, World Issues, and English helped them most in understanding themselves and others. This observation echoes Taylor's (1997) observation that "value laden courses" could foster creativity, critical reflection and transformative learning. The students that I spoke with emphasized the value of a curriculum that address their own concerns, needs, and values while at the same time providing an opportunity to learn new ideas and broaden their world perspectives. In the psychology classes, students wrote research papers that were most meaningful to them: parenting skills, children with ADHD, depression and stress, the psychological impact of residential schools, and coping with stress. In the process they are connecting the information to their own lives; in addition they are broadening their own cultural, spiritual, and social awareness. The students in this study also spoke about the need to have more time in class to conduct research and complete homework–time constraints and the difficulty in balancing parental and school responsibilities were ranked high on the list of barriers that would prevent them from doing well in school. Students registered in Native Studies classes took an interest in learning more about Aboriginal culture and the impact that racism and colonization had. The teacher who taught these courses encouraged discussion and research by introducing books, articles, and plays dealing with Aboriginal themes (see Shilling, 2002).
Implications for Future Studies
This study suggests that further research is needed to explore the impact that stress, poverty, emotional illness and drug and alcohol addiction may have on literacy learners' lives and upon the literacy teachers who work with them. Horsman (1998) states that "without acknowledgment of the impacts of trauma on learning, learners and teachers alike may become frustrated and despairing over the lack of possibilities for real change"(p.2). An educational climate and innovative curricula that emphasize "connection, and meaning" are central to fostering "deeper level" or transformative types of learning. This study also suggests that learners who persist with their studies may have a certain degree of resilience; they have survived difficult circumstances and see a return to school as an opportunity to initiate a positive change. Further research into the intra and interpersonal dynamics of the teaching-learning dynamic would enable researchers to understand how factors such as personality, motivation, and culture influence learning directions.
References
Beder, H.(1991). Adult literacy education: Issues for policy and practice. Malabar, Fl:Krieger.
Cranton, P. (1994). Understanding and promoting transformative learning. San Francisco, CA: Jossey-Bass.
Dei, G.(2002). Spiritual knowing and transformative learning. In:E.O'Sullivan, A.Morrel, and M. O'Connor(Eds.): Expanding the boundaries of transformative learning(pp.121134). New York, NY:Pagrave.
Freire, P. (1997). Pedagogy of the oppressed. New York, NY: Continuum Publishing.
Grabove,V.(1997). The many facets of transformative learning. In P. Cranton(ed.). Transformative learning in action: Insights from practice. New directions for adult and continuing education no. 74, 89-96. San Francisco: Jossey-Bass.
Herman, J.(1992). Trauma and recovery: The aftermath of violence–From domestic abuse to political terror. New York: Basic Books.
Horsman, J. (1998). "But I'm not a therapist":The challenge of creating effective literacy learning for survivors of trauma. In S. Shore (Ed): Australian council for adult literacy 21 st national conference: Literacy on the line, Conference proceedings.
Karpiak, I. (2000).
Lieblich,A., Mashiach, R. and Zilber, T. (1998). Narrative research. London, England: Sage Publications.
|
GreenStar Display Measuring Offsets
Machine Offsets
Row Crop Tractor
A or 1) Center of GPS Receiver to Center line of Machine
Applications requiring this setting include:
* Guidance
* Section Control
* Mapping & Documentation
Reasons for changing this setting to a value other than 0.0 include:
* A known GPS receiver offset from the center line of the machine.
* You experience an issue with AutoTrac accuracy between passes. In this case, follow the steps below to measure the A offset.
Measuring Offset A:
NOTE: It is rare for this setting to be the cause of an AutoTrac accuracy problem. Prior to adjusting this setting, check that the GPS receiver TCM is calibrated properly, tires are inflated properly, and machine is ballasted properly. Pass to pass accuracy problems are commonly caused by the implement pulling to one side, which is covered in the implement sections below.
1. Setup a Straight Track guidance line.
2. AutoTrac along the line, stopping at a few points to mark the center of the machine (drawbar) with a flag.
NOTE: If the off-track error on the display is continuously off to one side, this could be an indicator of a problem with the vehicle steering components or calibration.
3. Turn around and AutoTrac back over the same track in the opposite direction, stopping at each flag.
4. Measure the distance between the center of the machine and each flag. If this is a pass to pass issue, there should be a relatively equal amount of difference between the flags throughout the entire pass. If these measurements are within the advertised accuracy of the system (SF1, SF2, RTK) then do not change this offset and check the lateral implement offset instead. Otherwise, divide that measurement in half to determine Offset A.
NOTE: If the tractor needs to drive more to the right of its current path, then toggle the offset direction on the display so that the GPS receiver is shown to the right side of the center-line of the tractor image.
5. Repeat steps 2 through 4 to determine if the offset amount and direction were set properly.
B or 2) Center of GPS Receiver to Center of Non-Steering Axle
Applications requiring this setting include:
* Section Control
* Mapping & Documentation
C or 3) Center of Non-Steering Axle to Connection Point.
Applications requiring this setting include:
* Section Control
* Mapping & Documentation
Measurement point varies by Connection Type:
1. Rear Pivot Drawbar
2. Rear Rigid 3-point
3. Rear Pivot 2-point
4. Rear Pivot Wagon-Hitch [Europe Only]
5. Front Rigid 3-point
Connection (or Pivot) Point: The point where the implement connects to the machine or the pivot point between the implement and machine depending on Connection Type. See Machine section above for close up views of the Connection Point.
Measuring Offsets
D) Center of GPS Receiver to Ground
Articulated (4-Wheel Drive) Tractor
NOTE: Measure A and D the same as on a Row-Crop Tractor.
B or 2) Center of GPS Receiver to Center of Non-Steering Axle
Select Front Axle as Non-Steering Axle.
C or 3) Center of Non-Steering Axle to Connection Point.
NOTE: See Row Crop Tractor for more information about the Connection Point.
5
Track Tractor
NOTE: Measure A and D the same as on a Row-Crop Tractor.
B or 2) Center of GPS Receiver to Center of Non-Steering Axle.
On the display, select Rear Axle as the non-steering axle. Do not measure to the axle.
Determine the measurement point
1. Apply draft load and ballast that is expected during operation.
2. Make a turn at operating speed.
3. Measure to the point where soil begins to build on outside track.
6
C or 3) Center of Non-Steering Axle to Connection Point.
Use non-steering axle measurement point from Offset B.
Measurement point varies by Connection Type:
1. Rear Pivot Drawbar
2. Rear Rigid 3-point
3. Rear Pivot 2-point [see Row Crop Tractor]
4. Rear Pivot Wagon-Hitch [see Row Crop Tractor]
5. Front Rigid 3-point [see Row Crop Tractor]
Self-Propelled Sprayer
A or 1) Center of GPS Receiver to Center line of Machine.
Applications requiring this setting include:
* Guidance
* Section Control
* Mapping & Documentation
GreenStar GreenStar
Reasons for changing this setting to a value other than 0.0 include:
* A known GPS receiver offset from the center line of the machine.
* Experience an issue with AutoTrac accuracy between passes. In this case, follow the steps under Row Crop Tractor for measuring Offset A.
B or 2) Center of GPS Receiver to Center of Non-Steering Axle.
C or 3) Center of non-steering axle to spray nozzles (in operating position).
NOTE: This is the point where map recording happens and where sections are turned ON/OFF.
Implement Width: Width of spray area, may extend outside of spray booms.
Harvesters
A or 1) Center of GPS Receiver to Center line of Machine.
Applications requiring this setting include:
* Guidance
8
* Section Control
* Mapping & Documentation
Reasons for changing this setting to a value other than 0.0 include:
* A known GPS receiver offset from the center line of the machine.
* You experience an issue with AutoTrac accuracy between passes. In this case, follow the steps under Row Crop Tractor for measuring Offset A.
B or 2) Center of GPS Receiver to Center of Non-Steering Axle
C or 3) Center of Front Axle to Header Connection Point
9
Implement Offsets
Implement Offset Descriptions
A or 1) In-line distance from the connection (pivot) point to the first working point of the implement. Applications requiring this setting include:
* Mapping and Section Control – The sum of offsets A + B = point where map recording happens and where sections are turned ON/OFF. Offset A is also used for drawing the implement icon to scale on maps.
* iTEC Pro – The implement may be raised and lowered at this point during sequences.
Connection (Pivot) Point: Point where the implement connects to the machine or the pivot point between implement and machine depending on Connection Type. See Machine section above for close up views of the Connection Point.
B or 2) In-line distance from the first working point to the second working point, for example location of seed drop, spray nozzle, or cutter bar. Applications requiring this setting include:
* Mapping and Section Control – The sum of offsets A + B = point where map recording happens and where sections are turned ON/OFF. Offset B is also used for drawing the implement icon to scale on maps.
C or 3) Lateral distance from center line of the machine to center line of the implement working width. Applications requiring this setting include:
GreenStar GreenStar
* AutoTrac – Guidance lines are centered on the implement.
* Mapping and Section Control – The lateral position of the map and sections are determined by offset C.
D or 4) In-line distance from connection (or pivot) point to rotation (control) point of implement. This offset is always 0 for a 3 point hitch implement. Applications requiring this setting include:
* Mapping and Section Control – This offset is important for modeling the position of the implement around curves.
Control Point – Rotation Point, point that implement rotates around while in operating position.
E) In-line distance from the connection (or pivot) point to the rear connection point of the first implement. Applications requiring this setting include:
* Mapping and Section Control with Tow-Between Air Carts only.
Implement (Working) Width: The width of the area that is tilled, planted, sprayed, or harvested on each pass through the field. Applications requiring this setting include:
* Mapping and Section Control
* Area Totals
Physical Width: Actual physical width of the implement. Applications requiring this setting include:
* iTEC Pro – This measurement is used for detecting proximity to boundaries.
Harvester Header
NOTE: Offsets A and D are not required for headers and can be set to 0.0.
B or 2) Header Connection Point to Harvesting Point:
* Corn Head: Front of stalk rolls
* Platform Head: Front of cutter bar
* Pickup Head: Front of pickup belt
C or 3) Lateral offset from center of machine to center of the header.
NOTE: C = 0 unless using an offset header.
Implement Width – Width of cut area.
Measuring Offsets
* Corn Head: Number of rows multiplied by row spacing.
* Platform Head: Width of normal cut.
* Pickup Head: Width of swath cut.
Pull-Type Mower Conditioner
A or 1) Connection Point to cutter bar.
B or 2) Working Length = 0
Nutrient Application
A or 1) Connection Point to first ground contact point.
B or 2) First ground contact point to application point.
NOTE: C = 0 normally. Some implements may pull to one side, which can be determined by making 3 passes, using AutoTrac, with the implement engaged in the ground and measuring the distance between the outside trenches made in the soil.
D or 4) Connection Point to rotation point of tillage tool when in contact with ground.
NOTE: D = 0 for 3-pt mounted implements.
Implement Width: Width of tillage area. Equal to number of rows multiplied by row width for row crop tillage.
Physical Width: Not required unless using iTEC Pro. The width of the entire implement in raised position while operating in a field.
GreenStar GreenStar
Planter
A or 1) Connection Point to first ground contact point.
B or 2) First ground contact point to seed drop point.
NOTE: When utilizing a planter with 2 ranks, measure offset B to the midpoint between the ranks. In picture below, only the first rank is being used, so offset B is measured to the first rank.
NOTE: C = 0 normally. Some implements may pull to one side, which can be determined by making 3 passes, using AutoTrac, with the implement engaged in the ground and measuring the distance between the outside trenches made in the soil.
D or 4) Connection Point to rotation point of planter (center of fixed axles).
NOTE: D = 0 for 3-pt mounted implements.
Implement Width: Number of rows multiplied by row spacing.
Physical Width: Not required unless using iTEC Pro. The width of the entire implement in raised position while operating in a field, measured to the outside of the planter markers when raised.
Seeder
A or 1) Connection Point to first ground contact point.
B or 2) First ground contact point to seed drop point.
NOTE: When utilizing a seeding tool with multiple ranks, measure offset B to the midpoint between the ranks.
C or 3) Lateral offset from center of machine to center of Implement Width.
NOTE: C = 0 normally. Some implements may pull to one side, which can be determined by making 3 passes, using AutoTrac, with the implement engaged in the ground and measuring the distance between the outside trenches made in the soil.
D or 4) Connection Point to rotation point of seeding tool (center of fixed axles).
NOTE: Caster wheels should not be accounted for in this measurement.
Implement Width: Width of area being seeded.
Physical Width: Not required unless using iTEC Pro. The width of the entire implement in raised position while operating in a field.
Pull-Type Spreader
A or 1) Connection Point to center of spread area.
B or 2) Working Length = 0
D or 4) Connection Point to rotation point of spreader (center of fixed axles).
NOTE: D = 0 for 3-pt mounted implements.
Implement Width: Width of spread area.
Physical Width: Not required unless using iTEC Pro. The width of the physical spreader box.
Pull-Type Sprayer
A or 1) Connection Point to center of spray nozzles.
B or 2) Working Length = 0
C or 3) Lateral offset from center of machine to center of Implement Width. Normally = 0 for sprayers.
D or 4) Connection Point to rotation point of sprayer (center of fixed axles).
NOTE: D = 0 for 3-pt mounted implements.
Implement Width: Width of spray area, may extend outside of the spray boom.
Physical Width: Not required unless using iTEC Pro. The width of the spray boom.
Tillage
A or 1) Connection Point to first ground contact point.
B or 2) First ground contact point to last ground contact point.
NOTE: C = 0 normally.
D or 4) Connection Point to rotation point of tillage tool when in contact with ground.
NOTE: D = 0 for 3-pt mounted implements.
Implement Width: Width of tillage area. Equal to number of rows multiplied by row width for row crop tillage.
GreenStar GreenStar
Physical Width: Not required unless using iTEC Pro. The width of the entire implement in raised position while operating in a field.
|
Report Technical 65
Proceedings of the Virtual Logistics Lab Poster Session at ImViRell'12 Bremen LogDynamics Lab, 28.02.2012
Tobias Warden Dirk Werthmann Dieter Uckelmann Michael Lawo
TZI, Universität Bremen
TZI-Bericht Nr. 65 2012
TZI-Berichte
Herausgeber: Technologie-Zentrum Informatik und Informationstechnik Universität Bremen Am Fallturm 1 28359 Bremen Telefon: +49 421 218 94090
Fax: +49 421 218 94095
E-Mail: email@example.com http://www.tzi.de
ISSN 1613-3773
Table of Contents
1 Introduction
As part of an interdisciplinary student research project the Virtual Logistics Lab (VLL) has been developed at the University of Bremen. VLL enables accessing the LogDynamics Lab – a logistics research laboratory – via Internet and will provide a community platform in the future. Experiments shall be conducted, recorded and analyzed with no need for researchers to own corresponding testing equipment or to travel to existing labs. Instead VLL allows remote access to virtual and real interconnecting research infrastructures to run corresponding tests and to act as a study- and development-object for students. The VLL will provide open interfaces and thereby enable other labs to become part of the community. Virtual Research Environments (VRE) have been researched in detail in the past years in different disciplines such as automation and chemistry – but not in the field of logistics. However, connecting real and virtual worlds has been a major logistics research topic referred to as the "Internet of Things". VLL relates both fields of research and searches for synergies through a distributed logistic research lab environment utilizing Internet of Things technologies. This report contains student papers related to VRE and the Internet of Things which were presented in a poster session of the first international conference on the "Impact of Virtual, Remote and Real Labs in Logistics" 2012 (ImViReLL 2012). The conference took place as joint event of the "International Conference on Dynamics in Logistics" 2012 (LDIC 2012) between February 27th and March 2nd, 2012 in Bremen, Germany. The proceedings of ImViReLL were published as Springer Communications in Computer and Information Science (CCIS) Volume 282.
ImViReLL 2012 provided a venue for researchers from academia and industry interested in future-oriented logistics labs as a nucleus for innovation. The conference addressed research in logistics from a wide range of fields, e.g. engineering, computer science, distributed education and collaborative research.
The poster session at ImViReLL was solely organized by third year students of the one year interdisciplinary teaching project VLL2.0 as part of their computer science and systems engineering course of studies. The project follows a researching studying approach.
The students had on one side to apply scientific methods of research as well as literature reviews supported by using Mendeley (www.mendeley.com) and on the other side understand the application domain of the real lab environment as provided by a previous student project (VLL 1.0 1 ).Furthermore the process of Peer Reviewing using the Easychair conference and review system was practiced by the students and their supervisors from the Computer Science and Production Engineering faculties.
1 http://www.virtual-logistics-lab.de/index.php?id=3&L=2
After a double review process the students prepared the posters as included in this report as one-pagers in time for the ImViReLL conference and after a third review and feedback from the conference visitors the papers are now ready for publication as full papers in this report. For us as supervisors this was also a firsthand experience and we would like to thank all authors and reviewers for their work: You can be proud to have made your first scientific publication.
March 2012
Tobias Warden, Dirk Werthmann, Dieter Uckelmann, and Michael Lawo
Artificial Intelligence in Logistics Labs Current Approaches and Future Opportunities
Danny Neumann firstname.lastname@example.org Subi Aili email@example.com
Center for Computing and Communication Technologies (TZI), University of Bremen, Germany
(dneumann,subi)@informatik.uni-bremen.de
Abstract. Artificial Intelligence is a very important element of computer science which opens up wide opportunities in usage for autonomous logistics labs. The Virtual Logistics Lab 2.0 (VLL 2.0) is a project developed in the University of Bremen. This Lab offers an environment for the test and development of new kinds of logistical approaches which should be improved by an artificial intelligence. In this paper we discuss in which fields of the VLL 2.0 the use of an artificial intelligence is necessary. Therefore several intelligent systems as well as scenarios are examined and useful references to possible solutions are presented and explained.
1 Introduction
When looking on the preparation of information the information technology has a very important status. The complexity of problems increases continuously. Therefore software solutions also have to get more intelligent. Artificial Intelligence (AI) and moreover systems which use AI are the most important objects we have to analyze. We can use these information obtained by this analysis to improve our Virtual Logistic Lab 2.0. Previously the Virtual Logistic Lab 1.0 (VLL 1.0) was developed and its main objective was the creation of an integrated platform to control different devices via remote access over the internet. [5] So in the project time of the VLL 1.0 a monitoring system was developed. This system can not give solutions or a decision support for problems the user wants to solve. It only displays data given by the project environment. Hence a lot of preparatory work and achievements are given and we are able to use a functional setting which contains a high bay racking as well as a conveyor band with a integrated balance, a palletizer, a forklift, a RFID-reader and several light barriers. [6] The access to the enumerated components is widely implemented. At the moment we don't have access to the light barriers and the palletizer via webinterface.
So our aim in VLL 2.0 is the improvement of the already existing monitoring system to get a system which can give decisions on base of knowledge or even uses agents to act autonomous after the user has send his order to the environment via web-interface. Fig. 1 shows the achievements gained in VLL 1.0 and the future aim sought by VLL 2.0. This improvement needs significant upgrades in controlling and managing scenarios in reference to the handling and usage of the components given for this project. At the end of our project the system has to act intelligent when getting instructions from a person using the web-interface. Furthermore this intelligence has to respond to additional modifications effected by the user via web-interface and moreover to unscheduled errors. So the following sections will give an overview of already existing systems which use AI like expert systems (decision support systems) or agent systems on the one hand and also reflections of detailed scenarios in which the use of an AI will be necessary for our project on the other hand.
2 Types of Intelligent Systems
In order to explore the wide field of systems using an artificial intelligence and also for getting a well founded overview of the opportunities which are given by AI, it is necessary to look at already existing systems using knowledge for
managing a huge amount of processes.
An expert system (ES) is an example for these kinds of systems which is moreover a decision support system. On closer examination Expert Systems can be divided up into two different types of managing and gaining knowledge. On the one hand there are systems using a huge specific, pre-programmed knowledge. This knowledge enables the system to reason and to perform actions like a human expert. To guarantee a well-founded and also well-modulated expertise different forms of facts, heuristics and relationships are constructed and pre-programmed. The acquisition of knowledge gets obtained by experts via information sourcing methods like protocols or analysis. In addition semantic nets or frames are used to display the knowledge of the system. However using production rules ("if-then") is the most common technique. Though expert systems cannot be regarded only in a positive way, because updating the knowledge of an ES for example causes a lot of problems. Furthermore the system is not able to learn autonomously by experience and in addition it is unable to respond to unexpected errors and incorrect or rather inaccurate problems.
In a broader sense another type of ES are systems which use a pre-programmed knowledge in combination with artificial neural networks (ANN). These kinds of systems do not have a very specific modulated expertise but a huge amount of complex relationships between data achieved by experience. An ANN can be described as a network consisting of working units called neurons. These neurons enable the system to learn by example. Furthermore they prepare a "black-box" transformation of incoming data to outputs by using previous experiences learned during previous actions. So a system using ANN offers the advantage of operating with incomplete data and besides demonstrate apparent intuition. [3] [4]
The second important type of systems using an artificial intelligence are intelligent agents. An intelligent agent by definition is "a computer system situated in some environment, that is capable of autonomous action in this environment in order to meet its design objectives". [7] An agent combines the amount of specific knowledge with experiences gained by formerly performed actions. It is able to affect objects for getting a solution for its tasks. Besides intelligent agents can be modified dynamically. The knowledge of an agent enlarges by learning and also by collecting information of actions which are performed by other agents in the system. So a system of agents can act autonomous. Another advantage of these systems is that agents are capable to generate a huge amount of different perspectives for the same situation. This ability in turn enlarges the amount of wise solutions. So the process of decision-making is of high-quality. [3] [1]
So with these types of knowledge-based systems in mind it is possible to take a straighter look on special scenarios given in our Virtual Logistic Lab 2.0.
3 Scenarios
The Virtual Logistic Lab 2.0 offers a lot of different scenarios which were managed to get an usable work environment. These scenarios are processes and sequences the machines have to fulfill. The following sections will present detailed information about the possible usage of artificial intelligence in different components of the setting used for our project.
3.1 Packing-Solutions (Palletizer)
The palletizer is used for packing an amount of packages on a pallet. In our current environment the palletizer is able to arrange four packages on a pallet using a pre-programmed packing pattern (Fig. 2). For using this packing pattern the size of these packages has to be equal. As the objective of our project is to upgrade the given environment the scenario we want to observe is the possibility to have different packing patterns which have to be created by an AI. Therefore it is essential to discuss whether it is useful to have a larger amount of pre-programmed packing patterns of which the AI has to choose one pattern or whether the AI should calculate a fitting solution.
scenario:
An amount of packages have to be placed on the pallet in a space-saving way.
All packages are of the same size.
If all the packages have the same size it is definitely expedient to use preprogrammed packing patterns which fill the pallet in a space-saving way. One possible packing pattern for the size of packages which is currently used in our system is given in Fig. 3. For more complex packing patterns a modification of the grappler is necessary.
scenario:
An amount of packages have to be placed on the pallet in a space-saving way. All packages are of different size.
If all the packages have a different size a calculated packing pattern via AI is needed. In this case pre-programmed packing patterns cannot be used because the amount and also the size of the packages are variable. Algorithms solving these calculations are very complex and difficult to analyse. To guarantee for an space-saving arrangement of the packages on the pallet slicing packing methods are useful approaches. The advantage of these methods is a rapid calculation via algorithms without degradation. [2]
Only an expedient arrangement of packages result in a maximum of effectivity and saved space on the pallet. Now the question lasts which type of intelligent system gives the most capable solutions for our packing problem. A system of intelligent agents is the most profitable system we could use. These systems offer the opportunity of communication between the different components of our device environment. So the palletizer gets information about the amount and the condition of the packages which have to get palletized. Thus the agent which is responsible for the palletizer can analyse the information and calculate the best possible solution for the arrangement of the packages. All in all a system made of agents offers an extensive amount of information because of the communication among the agents and the fact that every agent build up on the knowledge of the other agents. For this reason the use of an expert system is not advisable.
3.2 Packet Tracking (Conveyor Band, Light Barriers, RFID-Chips)
The conveyor band is used to transport packages throughout the delivery circuit to the different components in our environment (high bay racking, palletizer ect.). In this process light barriers are passed. These light barriers are used to locate the actual positions of the packages in the circuit. Furthermore every package can be localized with the aid of a RFID-Chip inclosed in the label. The objective of our project is a package localization in the delivery circuit controlled by an Package-Management-Intelligence. Thus it is possible to get the information where a certain package is located and the system is able to send up the information to other components within our setting, but only if it is a necessary information for the particular component.
scenario:
A package passes through the delivery circuit and is sent to the palletizer.
As aforementioned the palletizer has to know the information of a package which is ordered to get palletized. The main information the palletizer has to know are the actual position as well as the size and conditions of the package. If the conveyor band contains a larger number of packages and multiples of them should be palletized the palletizer has to know how many packages he will get for palletizing. Of course the conditions of the packages have to be send to the palletizer as well. So the best solution would be that the conveyor band has to collect all the needed information of the packages by communicating with other components within our setting. As an expert system has to be modelated in an extremely complex way to fullfill these functions mentioned above a system of agents again would form a more comfortable opportunity. Agents do not have to be very complex. By communicating with other agents they are able to establish an also very complex network which would gain the same achievements as an expert system with a lower input. A possible conveyor agent would get the information of a package by asking other agents like for example the balance agent for details. After that the information he gained can be send to the palletizer. There the palletizing agent can evaluate the given information and calculate possible packing patterns. Certainly this course of action can also be projected on other scenarios like the transport of packages via conveyor band to the high bay racking.
4 Discussion
All in all the exact observation of relevant scenarios for the future gives us an extensive outlook on the potential our intelligent system must have for getting a high-qualitiy logistic lab. The different aspects of expert systems and systems using intelligent agents were compared. To our opinion both systems give interesting solutions for the problems we have to solve in our project. However the more advantageous system is a one using intelligent agents. An expert system has to be extremely complex for implementing all the opportunities that we would imagine for realizing the given scenarios. Furthermore the serviceability of an ES is very difficult due to the fact that all information and knowledge exists in a central system. Also the possibilities of reacting to an error are limited. [3] But all these possibilities are to be contained in our future logistic lab. In contrast to this an agent is a very simple construction. The complexity of an agent system is generated by the communication which takes place among the different agents. By creating multiple perspectives of the same situation an agent system also is able to find more possible problem solutions as an expert system. To reference to our Virtual Logistic Lab 2.0 an agent for every component of our environment can be modulated. With these agents the communication among the different components can be achieved. So for example the palletizer receives all the relevant information needed for calculating the packing pattern by receiving information from other agents (conveyor band, light barriers). Moreover previously calculated packing patterns can be used for future palletizing orders made by the user. Thus the agents can call up information given by previous actions they were performing.
Recapitulating the information we gained with the aid of the reflection of intelligence systems and the scenarios it is clear that the most advantageous system for our VLL 2.0 is an agent based one.
5 Conclusion and future research
As this paper has shown artificial intelligence is a very important element of computer science. There is a wide amount of fields of application and scenarios for artificial intelligence in our project. With all the information obtained by research it turned out that implementing a system which uses intelligent agents is the most advantageous way to equip our Virtual Logistic Lab 2.0 with an artificial intelligence. Agents will afford high-quality solutions and achievements. An agent system is able to act autonomously and that is the objective which shall be achieved in the future. Eventually the time which is given for the VLL 2.0 would not be enough to fullfill all the possibilities an agent system offers us for improving our logistic lab. However a partially implementation of an agent system would produce a huge improvement. Upcoming research has to be made in the field of the forklift and the configuration of its intelligence. Also scenarios for the forklift have to be examined. Furthermore the packing algorithms which should improve the palletizing process have to be described in detail and it has to be discussed how complex these algorithms will be. At last the tracking opportunities have to be examined to find a necessary solution for a tracking intelligence.
References
1. Giannis Tselekidis et al. Agent-Oriented Knowledge Management. University of Patras.
2. Hay-Wai Chan et al. Symmetries in Rectangular Block-Packing. University of Michigan.
3. Kostas Metaxiotis et al. Decision Support Through Knowledge Management: the Role of the Artificial Intelligence. National Technical University of Athen.
4. Metaxiotis et al. Expert systems in production planning and scheduling: a state-ofthe-art survey. National Technical University of Athen.
5. C. Franz, T. Fritz, A. Kreis, M. Meyer, M. Mueller, A. Nawroth, C. Schroeder, A. Syed-Ahmed, and I. Zhuchenko. Virtual Logistics Lab: A Framework for Rapid Prototyping and Remote Experimentation. [8].
6. Carl Franz, Tobias Fritz, Andre Kreis, Maurice Meyer, Maik Mueller, Andreas Nawroth, Christoph Schroeder, Afshad Syed-Ahmed, and Igor Zhuchenko. Virtual Logistics Lab: Projektbericht. University of Bremen, Bremen, 2011.
7. N.R. Jennings and M.J. Wooldridge. Agent Technology: Foundations, Applications and Markets. Springer Verlag.
8. D. Uckelmann, B. Scholz-Reiter, I. Ruge, B. Hong, and A. Rizzi. The Impact of Virtual: Remote and Real Logistics Labs - First International Conference. Springer, 2012.
Autonomous Logistics
Potentials of Multiagent-Systems and advanced Scenarios for Virtual Logistics Lab 2.0
Benjamin Brieber firstname.lastname@example.org, Lukas Szymanski email@example.com
Center for Computing and Communication Technologies (TZI), University of Bremen, Germany
Abstract. In this paper a concept of a multiagent system in the context of a logistics system will be presented. It shows which advantages such an autonomously and decentralized working system provides in comparison to centralised systems. In particular it will be tried to apply a multiagent based approach to the current LogDynamics Lab 1 , a logistics laboratory consisting of different demonstration machines for materials handling, of the Virtual Logistics Lab 2 project to ease the usage of the system for the end-user. Another goal is to extend the system so that it will be possible to test more complex scenarios.
Keywords: Virtual Logistics Lab, Agents, Multi-Agent System
1 Introduction
A centrally managed, hierarchical control strategy is (a) unresponsive in the face of disturbances such as rush orders, breakdowns, supply stockouts, and (b) cumbersome to reconfigure for new products, new manufacturing technologies or different line configurations [1,2,5,15].
Intelligent products are a promising new approach for product monitoring and product lifecycle management [4]. Particularly agent technology has been considered as an important approach for developing industrial distributed systems (e.g. intelligent manufacturing systems). We try to attach intelligence or intelligent agents to product indivudals, which can utilize the real-time information about the product itself [9,10,14]. A key feature of this approach is the replacement of conventional centralised decision-making systems with distributed but interacting decision-making software modules (software agents) which correspond one-for-one with the physical products and resources in the manufacturing environment. In such a system, control strategies are resolved by negotiations between these distributed software entities acting on behalf of their physical
1 http://logdynamics.biba.uni-bremen.de/ call date 02.01.2012
2
http://www.virtual-logistics-lab.de/ call date 02.01.2012
counterparts. This approach permits increased adaptability of the control system in the face of disruptions or reorganisations, as well as not letting local disturbances to spread out [4], and promise to provide a "deregulated" control system for supporting the rapidly customised products and self-organising production, distribution and inventory systems [3]. The product individuals are themselves in control of where they are going, and how they should be handled, so that they need to know what needs to be done with them and are able to communicate the information to different supply chain members [3]. This way we get what K¨arkk¨ainen et al. [6] call "inside-out control" of the supply chain deliverables. By definition a software agent is a distinct software process, which can reason independently, and can react to change induced upon it by other agents and its environment, and is able to cooperate with other agents [3].
In this paper we will show how a cooperative multiagent system can be applied to the Virtual Logistics Lab (VLL) 3 in order to ease the usage of the system by providing an automated inventory management.
1.1 Current Status in the VLL
The Virtual Logistics Lab 3 is a project that concentrates on combining several demonstration machines for materials handling which are part of the LogDynamics Lab 4 . Currently it consists of a high rack, a conveyor band with light barriers and RFID readers, a Reva Server (a middleware to cross-link RFID readers), a palletizer, a weighin machine and a labeling machine. It is possible to control the LogDynamics Lab 4 through a webinterface to test single machines or to execute successional scenarios.
It is possible to test scenarios which contain the movement of packages through different handling points. The scenarios are scripted sequences of actions in XML format that are performed. To solve complex problems it is necessary to create very large XML files. In addition a quite high knowledge of the machines is needed. [13] To solve these problems an approach which allows intelligent control of the operating procedures could help.
2 Requirements for advanced Scenarios
A new approach for process control should be goal oriented. It is also important that it is easy to create complex scenarios. A new system should not depend on hundreds of lines of source-code. One line for each operation should be enough. The LogDynamics Lab 4 with the new system should realize at least the following points:
3 http://www.virtual-logistics-lab.de/ call date 02.01.2012
4 http://logdynamics.biba.uni-bremen.de/ call date 02.01.2012
2.1 Order/Insert multiple Packages
The system should be able to handle multiple packages with different products. A user should be able to easily order many products with the same destination and target. Furthermore the system should also be able to handle many of those requests simultaneously. For an advanced system it should be important that the user who is creating a scenario, does not need to know technical details of the hardware. These operations should be abstracted by the system itself.
2.2 Simulation of different Repositories
To realize more complex scenarios, virtual repositories would benefit the system. This could be realized by splitting up the physical repository into two or more virtual repositories. In this way more complex orders could be realized without massive manual interaction (inserting packages that have been delivered again and again) with the system. Also it's not necessary to change the physical layout of the demonstrator system.
2.3 Localization of every Package and Status of every Order
A user needs the ability to send a query to the system to get the current status of his order. This means that the system has to know where each package is and what the current status of the whole order is (e.g. in progress, delivered, etc.).
2.4 Automated Error Handling
The new system has to handle all errors that can occur. For efficient tests, this will require forced errors via the implemented software (for example to send packages to a wrong destination) and errors that will be created manually by a person (e.g. to simulate a package that falls of band).
2.5 Flexibility
The new system should be able to react on changes in the environment and still work in the preferred way. If for example a new repository is included into the Lab the system should still work as it is supposed to.
2.6 Direct Access
Last but not least, the system has to still be able to handle requests to the hardware directly. This is very important to test new features explicitly. Maybe this will be realized via an Interface to the old System, or as an alternative the system could be able to explicitly access single hardware during an order/insert.
3 Multi-Agent Approach
To realize the desired improvements described above, it will be necessary to reimplement the whole Scenario-System. As an alternative to the current design, the system would benefit from an implementation as multi agent system(MAS). In this section we describe how such an implementation should look like and how this kind of implementation would benefit the VLL.
3.1 Benefits of a Multiagent-System
The main benefits of such a multiagent-system would be a more dynamic implementation of the scenarios, a much higher abstraction from the user level and the ability to design new scenarios much easier. Users will not have to care about error handling and so on, because this responsibility is delegated to the agents themselves.
3.2 Implementation Issues
A new multiagent-system could be designed as shown in figure 1.
The system is divided into three different layers user interaction layer,orderagent layer and hardware-agent layer. These Layers have the properties described in the following paragraphs.
user interaction layer This layer implements an interface to the users and administrates the order-agents in the layer described in the next paragraph. The orders send by the user could be implemented as described below:
```
public UUID order(Destination from, Destination to, HashMap<Product_ID,int> ordered_items) public UUID insert(Destination into,HashMap<Product_ID,int> inserted_items) public UUID force_error(int error_code,List<Object> params) A complete scenario could look like this: order(LAGER1,LAGER2,[(1234,3)]); order(LAGER3,PALETTE,[(5678,3),(1234,2),(345,1)]); insert(LAGER3,1234);
```
order-agent layer This layer contains one agent for each instruction. These agents communicate with each other and with the agents from the hardwareagent-layer and decide autonomously what they do next. They are calculating the best routes for each package and should be able to change those routes in order to prevent congestions or overfills. Each of these agents behaves intelligent if an error occurs and tries to complete its task. The order-agents should be mobile agents, this means they could be send from one lab to another and continue there work on another platform.
An order-agent should serve as a container for lower level package-agents. These package-agents communicate directly with the devices in the hardware-agent layer. They decide when to enter the next node and may ask the corresponding order-agent for alternative routes if a node is overloaded.
hardware-agent layer This layer contains hardware-agents which are attached to one device/part of the lab. These agents collect data from the devices they are attached to and communicate with the agents which declared interest to this hardware. Examples for these agents could be repository-agents, line-agents, packaging-agents and so on. Each of these agents needs at least a list of contained packages and a list of entry and exit points. These abilities will be implemented in an abstract super-class to make it easy to include new hardware dynamically. These entries and exits are important to realize virtual repositories and lines. These virtual agents can take complex routes, this way it could be realized that a package which is delivered from repository A to E will need to be send over the repository C and the lines B and D. The way of packages will calculated by the order-agents.
4 Use-Cases
The following paragraphs descripe how the system takes care of specific simple tasks. In more complex scenarios these tasks will be combined.
4.1 Ordering of multiple Packages
This use-case decribes how the system handles an incomming request for delivering a list of packages with the ids:1,2,3 from a destination A to a destination C.(figure 2)
administraion-agent The administration-agent gets an input from the userinterface and checks its syntax, this also includes a check if the provided staticagent-IDs and product-IDs are known to the System. If this check is positive the administration-agent creates a new order-agent which will handle the request autonomously.
order-agent The order-agent calculates the best route for the packages and sends a request to the corresponding static-agent. If the package is currently unavailable or the static-agent is busy, the order-agent will wait for a trigger from the static-agent. As soon as a package is available the order-agent will create a sub-package-agent which handles direct movement of the package.
package-agent The package-agent will request space on the next device it wants to access and initiate this movement. If there is no space it waits a few seconds and then tries again to access the device. If a serious error occurs, the package will try to find a new route by communicating with the direct neigbours of the device. It may also try to communicate to other packages from the same order to speed up this process. If the agent can't find a short way to the next device it will ask his corresponding order-agent for an alternative route. Each time an agent accesseses a new device it will check if it arrived on its target device. Otherwise it will repeat the process untill it arrives the final destination. In this case the administration-agent will be asked to inform the user and the package-agent will terminate after it informed the order-agent about its arrival.
4.2 Inserting of multiple Packages
This package describes the time/command flow of a package insert command. In this case the package will be inserted to the repository directly.
A sequence diagram of the process is shown in figure 3.
After the user-command has been parsed the administration-agent will create a new order-agent which will handle the insert process. This order-agent calculates the best route and registers an insert request to the corresponding static-agent
Fig. 2: Order/Send packages
check syntax
get UserCommand
Create new order-agent
Request Package(Agent) from A for 1,2,3
create sub agent for package
order/wait for pacakge
valid Syntax
check package availibiliy
invalid Syntax
package available
package unavailable
calculate route from A to C
request space on next
node
found route
no free space
no routes found
check for terminal node
free space
is not a
terminal
node
is terminal node
inform user
goto next node
wait/recalculate route
package-agent
order-agent
administraion-agent
that will handle the inserted packages in a first in first out (FIFO) query and will inform the order-agent as soon as its package is in turn. At this point the order-agent creates a package-agent for the inserted package. From this point the package will send its personal information to the device to get the right label. After that it will move to the next device and will request space on it. This device will inform the package as soon as there is free space so it can continue it's way. In this case our package has reached its destionation and the repository-agent will insert it to a preffered place in the repository. In more complex scenarios the package may need to commuicate with more agents to reach its destination.
Fig. 3: Inserting packages
/administration-agent
/order-agent
/package-agent
/line-agent
/repository-agent
createAgent()
createAgent()
registerIncomingPackage()
packageIsComming()
sendPackageInformation()
packageReadyToEnterNext()
requestFreeSpace()
freeSpaceAck()
enterNode()
leaveNode()
packageReadyToEnterNext()
packageReachedTarget()
allPackagesArived
5 Outlook
It is planned to implement the multiagent concept with the Java Agent DEvelopment Framework JADE 5 . The system will be tested in a completely virtual Environment which will mirror the physical logistics laboratory to recognize weaknesses before the physical objects are affected. This Environment will be created with PlaSMA(Platform for Simulations with Multiple Agents) 6 which is a software project within the Collaborative Research Center 637 Autonomous Logistic Processes (SFB 637) at the University of Bremen).
To implement the system on the physical logistics laboratory, the LogDynamics Lab 7 , it is necessary to create hardware interfaces for some of the components in the lab.
6 Conclusion
The multiagent approach given in this paper has shown that it is possible to ease the usage of a centrally controlled system, which is accessed via static process plans, for the end-user by providing certain actors in a logistics system with intelligent behaviour.
The new approach eliminates the need for large process plans like they are used in the first approach of the VLL project and provides a more dynamic system which can react much better to exceptions and errors. The simulation of certain actors, as virtual ones, gives the possibility to create more complex scenarios,
5 http://jade.tilab.com/ call date 02.01.2012
7 http://logdynamics.biba.uni-bremen.de/ call date 02.01.2012
6 http://plasma.informatik.uni-bremen.de/ call date 02.01.2012
which is a great benefit particularly for a test environment like the LogDynamics Lab 8 .
References
1. Baker, A. A Survey of Factory Control Algorithms which can be implemented in a multi-agent hierarchy: dispatching, scheduling, and pull. Journal of Manufacturing Systems 17 (4), 297-320, 1998.
2. Bongaerts, L., Monostori, L., McFarlane, D., K´ad´a, B.. Hierarchy in distributed shop-floor control. Computers in Industry 43 (2), 123-137, 2000.
3. McFarlane, D., Sarma, S., Chirn, J.L., Wong, C.Y., Ashton, K.. Auto ID systems and intelligent manufacturing control. Engineering Applications of Artificial Intelligence 16 365-376. 2003.
4. Gerben G. Meyer, Intelligent Products: an Application of Agent-Based Ubiquitous Computing. 2007.
5. McFarlane, D., Bussmann, S.. State of the art of holonic systems in production planning and control. Journal of Production Planning and Control 11 (6), 522536.2000.
6. K¨arkk¨ainen, M., H¨olmstr¨om, J., Fr¨amling, K., and Artto, K.. Intelligent products- a step towards a more effective project delivery chain. Computers in Industry, 50:141151, 2003.
7. http://logdynamics.biba.uni-bremen.de/ (02.01.2012)
8. http://jade.tilab.com/ (02.01.2012)
9. Jennings, N.R., Corera, J.M. and Laresgoiti I.. Developing industrial multi-agent systems. In Proc. Of the First International Conference on Multi-agent Systems, pages 423-430, 1995.
10. Jennings, N.R. and Wooldridge, M. J.. Applications of intelligent agents. In Nicholas R. Jennings and Michael J. Wooldridge, editors, Agent Technology: Foundations, Applications and markets, pages 3-28. Springer-Verlag: Heidelberg, Germany, 1998.
11. plasma.informatik.uni-bremen.de/ (02.01.2012)
12. http://www.virtual-logistics-lab.de/ (02.01.2012)
13. Virtual Logistics Lab, Projektbericht 27.11.2011.
14. Shen, W., Hao, Q., Yoon, H.J. and Norrie, D.H.. Applications of agent-based systems in intelligent manufacturing: An updated review. Advanced Engineering Informatics, 20:415-431, 2006.
15. Zweben, M., Fox, M.. Intelligent Scheduling. Morgan Kaufman, Los Altos, CA. 1994.
8 http://logdynamics.biba.uni-bremen.de/ call date 02.01.2012
The Internet of Things and Logistics Research
Improvement Opportunities for Virtual Logistics Lab 2.0 through RFID-based Internet of Things and Autonomous Control
Stanislav Stanoev firstname.lastname@example.org, Thomas Pfennig email@example.com
Center for Computing and Communication Technologies (TZI), University of Bremen, Germany
Abstract. This paper presents the benefits of introducing the concept of RFID-based Internet of Things to the student project Virtual Visual Lab 2.0 at the University of Bremen. Accordingly, it aims at showing optimization possibilities gained after shifting from the current system to a self-organising, decentralised one.
Keywords: Information Technology, Internet of Things, Logistics research, RFID
1 Introduction
In the context of the economic globalization of trade, logistics management requires process automation. Logistics management research needs effective package flow control and data collection based on real data. The concept of the Internet of Things (IoT) based on Radio Frequency Identification (RFID) technology can be an important tool in enenhancing the student project Virtual Logistic Lab 2.0 (VLL 2.0) of the University of Bremen. The System that VLL 1.0, as a predecessor of VLL 2.0, has developed represents a central controlled system, that uses webinterface to survail the machines at the LogDynamics Lab at BIBA through webcams and to operate them through static scenarios created beforehand, which sequence the steps that have to be taken.
In this paper a possible concept of RFID-based IoT through Autonomous Control is introduced to VLL 2.0. After a brief description of the current state of the project, the authors illustrate the benefits of RFID-based IoT by describing its application within a practical scenario. Finally a conclusion is drawn as to its applicability to the students project and the future possiblities for extending the functionality of the LogDynamics Lab with integrated RFID technology are outlined.
1.1 Current Status of Virtual Logistic Lab 2.0
At this stage the already installed RFID System has not yet been integrated and the packages are tracked and handled through barcodes. Accordingly EPC
Global have not been introduced to VLL either. Furthermore the present system does not output any package relevant data. The aim of this paper is to present the potential positive effects on VLL 2.0 by introducing the concept of RFIDbased IoT together with Autonomous Control, in order for live relevant data retrieval to be achieved. Currently different types of logistics machinery(high rack storage house, conveyour belt, electronic scales, inflation pressure labeler and robot-palletizer) can be remotely controlled "by hand" via webinterface. The purpose of VLL 2.0 is to extend or replace the present remote controlling system with optimization features such as autonomous handling and more precise tracking of packages.
2 RFID based Internet of Things and Autonomous Control
2.1 RFID Technology
RFID technology enables item identification within meters of range. On the market there are different types of RFID Transponders (also called Tags), but at present the passive RFID Tags are most cost efficient and interesting for businesses. They function without possessing an energy source. By having a high frequency radio signal rayed on them, the RFID Tags are able to decode the signal by magnetically inducting the energy needed for sending an answer message back to the source. Within seconds a couple of hundred-bit-long message can be sent.
On the other hand there are some drawbacks related to the introduction of RFID technology. In the following section the negative RFID signal affectors are listed:
– noise signals from near by located radio equipment
– frequency shifts
– not enough reading distance
– facility specific signal-reflexion or -absorbtion
– labels that are thorn or defected in a way they could not be read properly
On that basis a parallel 100 % RFID Tag reading cannot be ensured.
2.2 Internet of Things through RFID
The concept of the Internet of Things refers to designing objects with embedded logic components and sensors that can "see" their environment and respectively transmit information upon it [2, 3]. It stands for an advanced, comprehensive and complex information network system. In logistics it targets a construction of network of physical items, which having been virtualised could share information about their status in real time.
The information technology needs to provide a single global unique identification code for items using Radio-Frequency Identification (RFID) technology and wireless data communication based on the use of global integrated standards (EPCglobal Network) [2]. The aim is to enable the global identification and tracability of every single product.
2.3 Autonomous Control
The IoT defines an autonomous, self-controlled transport of logistics objects from sender to receiver [10]. This consept could be represented as a stream of logistical objects that achieve standalone seek-and-find in inner and outer enterprise networks, that decide over nodes what is the most favorable way to continue and request necessary resources if needed. The objects will be armed with embedded intelligence (RFID) that allows them to communicate not only with the controlling units of the whole system but with themselves as well. The IoT thus permits the transition from the current central controlled system to an autonomous, multi-agent system (MAS). This decentralization is trying to meet the local requirements inside the logistics system, which on the other hand would reduce load in the main system.
This decision making in the environment of the objects and on the level of the objects themselves contributes to increase of availability of data and robustness in the logistical processes, which directly impact the level of agility according to D. Uckelmann [10].
3 How the Internet of Things and Autonomous Control could affect VLL 2.0
3.1 Introducing Autonomous Control and the Internet of Things to VLL 2.0
The idea of optimization through Autonomous Control lies in the transition from manual or central controlling to smaller groups of autonomous decentralized controlling. Thus the cost for manual update in item flow control for example in case of system adaption is lowered.
There are three methods of combining RFID with agents: ID on Tag, data on Tag and a whole agent on Tag. Scince the RFID Tags used at LogDynamics Lab are passive RFID Tags with small storage capacity the ID on Tag method is only applicable to VLL 2.0. The other methods require more storage capacity on the RFID Tags themselves.
With the ID on Tag method an EPC is saved on the Tag, which is reference to the agent that is responsible for item carrying this EPC. Other Information is stored by the agent in EPCIS(EPC Inforamtion Service) Repository. The following practical scenario aims at showing the work process of an IoT based multi-agent controlled VLL 2.0 system and refers to Brieber and Szymanski's paper [4]. Here the package flow is controlled by software agents representing machines and packages that communicate with eachother (concept of IoT) as referred from Meyer [9]. There is an agent for every package and machine. In 1 a user wants to transport a package with a particular EPC using the conveyor belt. Firstly an agent is initialised that is in control of that package. The agent gets the status of the package using RFID reader. It stores the new status as EPCIS (EPC Information Service) in a repository and additionally creates an assignment with the regulations input by the user through the WebInterface. This creates an agent for the conveyor belt that communicates with the agent of the package and obtains information on destination etc. Then the agent starts the motors of the conveyor belt and the package starts moving. The package agent sends status information to the web interface. Once the assignment is done the agent for the package is erased. It makes evident that MAS can execute scenarios dynamically, store and send data back to the user, which is not possible with the current system.
3.2 The benefits of RFID-based Internet of Things for VLL 2.0
In the following section some main points are distinguished, that could positively influence the efficiency of the VLL 2.0 package flow system.
Guenthner and Hompel [7] shows possible areas for self-organization that could optimize specific logistical processes: performance, robustness and availability for data.
In this manner logistic performance can be measured in work-in-progress, parameters flow rate, workload, time and schedule reliability [11]. The importance of these parameters depends on the type of application. Nevertheless, there is some evidence that self-organization does not have global effect on logistics performance [1]. Show in a study that a agent-based decentral control for the baggage handling system of a major airport shows similar throughput times as conventional central controls. This shows that any central algorithm can be decentralized and vice versa.
Firstly it is widely acknowledged that robustness in autonomous controlled systems is increased [1,5].According to Di and Serugendo [5] a system is robust, if it has the ability to provide a service under conditions that are outside its normal area of operation.
Also Di and Serugendo [5] identify four attributes of a self-organized system that will increase efficiency of the robustness.
– Convergence - this attribute describes whether the system actually converges towards the desired goal.
– Speed of Convergence - how fast desired goal is reached.
– Stability - can the system maintain the reached goal.
– Scalability - how the system work with different numbers of agents.
Picture 2 shows possible problems in terms of the robustness of the system. 1 represents a package. 2 is a bar code sticker with RFID tag. 3 - a turntable. 4 way to high rack. 5 - NIO-place(for packages that are not recognized).
In the left part of the image the normal sequence for storing a package is simulated. A package travels on the belt to the turntable and then it is moved to the high rack. In the right part of the picture, the package was incorrectly placed on the conveyor belt but still properly labeled. Now it is possible that the package gets stuck on the conveyor belt and locks the belt. The system needs to identify the problem and reacts accordingly. In this case, the system reports the problem, blocks further processes that need the conveyor belt and waits until the package is manually removed from the belt and resumes to normal status so that further operations could be continued flawlessly. If the package arrives to the highrack without gettig stucked, there will be a problem with storing the package. Since it was not labeled properly, it can not be read property from a bar code scanner. In such a scenario a robustness of the system could be guaraneed through the RFID technology. The system could still store the package or reject it to the NIO place through aquiring data from the RFID Tag indepenent of its orientation.
Decentralization and a unified modularization usually simplifies significantly the control algorithms. For example the "Jahresbericht Frauenhofer Annual Report 2008" [1] shows that it is possible to control vast package handling system in a decentralized manner with only few lines of code. Therefore it seems reasonable that the a greater robustness of the self-organized systems is achieved through increased clarity and modularity of the control software.
The integration of RFID Tags in VLL could greatly increase the availability of data. Mannel [8] suggests the potential benefits in three dimensions, all pertinent to VLL:
– process-level: simplified inventory.
– network level: increases the predictability of future requirements, increased traceability of packages.
– additional services: real time information of package.
An application example of some of these points is tracking a package through the Internet. So it could graphically display the location of the package on a webpage. A better traceability in that manner could be achieved by increasing the number of RFID readers.
In the BIBA facility there is already a machine that labels packages with passive RFID Tags. Thanks to this packages could be located on relevant points in the BIBA facility and a tracking of package streams could be implemented. Thus a concept of Internet of Things using EPC Information stored on the RFID Tags could be implemented and integrated in the current system.
3.3 Future Perspectives
Apart from the already described benefits, such an infrastructure would furthermore allow a service and functionality extension for future projects. The following final paragraph gives an example of possible future appliations.
Information stored on RFID-Tags could be used for other purposes on the facility in BIBA. For Example depalletizing funktion performed by the existing robot palletizer. Since VLL 2.0 has a vision of scenario based palletising of items or packages on a pallete through a web interface [6], a further step would be to use the information stored on the RFID-Tags for other processes. For Example depalletising process through the same robot palletiser. This function could be used for further packaging, distribution or storage purposes. This in turn could be achieved if the availability of data is guaranteed. This would mean that the information about the particular pallets and packages or items being stored in a central database(For Example: EPCIS Repository) could be read, processed and retrived as data for research purposes. Also if necessary information could be transfered to the robot. A next step would be a sustainability collision checking system (on the robot itself) and a system that checks the package orientation through a webcamera for example. A collaborative system of both would be enough to detect and compare the actual status of the packages on the pallet and one the simulated and expected by the system. Thus an autonomous, human-error-free logistical process as shown on 3 could be achieved. Such a functionality could be easily integrated into the system due to the suggested modular structure.
4 Conclusion
The aim of the paper was to briefly present the RFID technology and its benefits for VLL 2.0. It showed that the Internet of Things through Autonomous Control is a prerequisite for an optimisation in logitics management research and is thus highly relevant to VLL 2.0. Sofar a concept of package flow control with MAS and a practical scenario were introduced. It was described how improvement in performance, robustness and availability of data could be reached [7]. Subsequently a future perspective is introduced based on a scenario. It presents the implication of the introduction of RFID-based IoT to VLL 2.0 and how beyond that this concept could positively affect the project. To this end a step towards decentralized infrastructure is necessary.
References
1. Jahresbericht Frauenhofer Annual Report 2008. 2008.
2. Luigi Atzori, Antonio Iera, and Giacomo Morabito. The Internet of Things: A survey. Computer Networks, 54(15):2787–2805, 2010.
3. Leif Brand, Tim H¨ulser, and Vera Grimm. Internet der Dinge. City.
4. Benjamin Brieber and Lukas Szymanski. Autonomous Logistics. 2012.
5. Giovanna Di and Marzo Serugendo. Robustness and Dependability of SelfOrganizing Systems - A Safety Engineering Perspective. pages 254–268, 2009.
6. Rafael Ernits and Hendrik Leibrand. Web-interface for controlling a robot palletizing cell. 2012.
7. Willibald Guenthner and Michael Hompel. Internet der Dinge in der Intralogistik. Springer-Verlag, 2010.
8. Andre Mannel. Die okonomische Auswirkung des RFID-Einsatzes in der Logistik - Eine prozessorientierte Bewertung. 2007.
9. Gerben G Meyer, Kary Fr¨amling, and Jan Holmstr¨om. Intelligent Products: A Survey. Computers in Industry, 60(3):137–148, 2009.
10. Isenberg M.-A. Teucke M. Halfar H. Uckelmann, D. and B. Scholz-Reiter. Autonomous Control and the Internet of Things: Increasing Robustness, Scalability and Agility in Logistic Networks. In Unique Radio Innovation for the 21st Century: Building Scalable and Global RFID Networks, pages 163–181. Berlin, Germany: Springer, 2010.
11. Katja Windt. Ermittlung des angemessenen Selbststeuerungsgrades in der Logistik – Grenzen der Selbststeuerung.
Web-interface for controlling a robot palletizing cell
Rafael Ernits 2 firstname.lastname@example.org Hendrik Leibrandt 1 email@example.com
1 Center for Computing and Communication Technologies (TZI), University of Bremen, Germany
2
BIBA - Bremer Institut f¨ur Produktion und Logistik GmbH
Abstract. Virtual Labs are getting more and more importancy for research and learning. Many universities and research centres are implementing or already have virtual labs. This concept opens new ideas for experiments, extending the possibility of tests with a real system without the need of being physically near the facility. Most of the robot palleting cells are found in industries or logistics distribution centres, the access of such a system remotely for firstly academic purpose, opens the opportunity for students and scientists to learn, test and improve such systems without impacting production. This paper is going to discuss the implementation of a web-interface in a real robot palletizing cell in an academic environment.
1 Introduction
This paper is about the concept of a web-interface to control the palletizing cell from the Virtual Logistics Lab(VLL), at the University of Bremen in Germany. The Virtual Logistics Lab is a student project supported by two instituts at the University of Bremen, BIBA - Bremer Institut f¨ur Produktion und Logistik GmBH and TZI - Technologie-Zentrum Informatik & Informationstechnik.
The student project started with a group of students and tutors in winter semester 2009, called VLL 1.0. By the end of the two years project, new students assumed the project in winter semester 2011, giving sequence to the work started in 2009, calling it VLL 2.0.
The Virtual Logistics Lab at BIBA is mainly composed of a high rack, a conveyor belt, a balance, a labeling machine and a robot palletizing cell. The system reproduces the functionalities of logistics centres, it swapps out, identifies and palletizes packages. The system may be operated locally or remotely by a web-interface. After evaluating the achievements from the last group, it was decided for extending the palletizing cell functionalities.
There are available softwares in the market for robot web-interfaces and simulation [9]. Despite of their powerful features, they do not have the flexibility required for the specific application into the VLL environment, like creating different packing patterns and interacting with other machines.
Industrial robot palletizing cells are used for loading or unloading objects from or to a pallet. They can be found in many different types of industry. By the use of robot palletizing cells it is expected to increase the production rate, the reliability, the flexibility in a sense of handling different objects and also making the work environment safer by avoiding humans to carry excessive weights [1].
Through a web-interface for the palletizing cell at VLL, scientists and students will have the opportunity to perform remotely their experiments in the facility. The proposed interface will have features that includes the simulation of the palletizing cell with the robot, generation of new robot trajectories and new palletizing patterns. The main challenges about collision checking and security of the web-interface are also going to be discussed in this paper.
The web-interface for the palletizing cell will be integrated to the actual web-interface of the VLL, allowing also experiments with the whole facility. The design of the web-interface will be based on the model proposed by von Borstel and Gordillo [10] for robotics virtual labs.
2 Goals
The development of a web-interface for controlling the palletizing cell at the VLL facility has two main goals. At first the technological, of developing a remote tool to control and program a complex system based on a robot. The development involves different fields of knowledge like robotics, network connectivity of industrial devices and web programming.
Besides the technical aspect of the realization, the web-interface will give the possibility for researchers and students to run and evaluate their experiments. Different scenarios are going to be offered for the users, though the focus will be the remote programming of the robot and the different palletizing patterns. iot
3 Challenges and possible solutions
Many challenges arise by the use of a web-interface for controlling a robot. The most important ones are going to be described and discussed in this section.
3.1 Integration in the former system
The palletizing cell isn't fully integrated in the VLL, in a sense that the available information is not shared among the subsystems (balance, high rack, labeling machine). For example informations sampled during operation from other subsystems are not shared with the robot palletizing cell. Though the palletizing robot disposes a file transfer protocol (FTP) server, which enables a data transfer among systems, it is not used and it is not appropriate for online operations such as required for VLL.
3.2 Availability of the system
The equipment is susceptible to common failures, for example a circuit breaker shutdown by an over-current which would lead to the loss of data. The availability of the entire system as well as the consistent remote operation by means of a reliable communication is crucial for the success of the remote control of the palletizing cell.
In order to minimize the downtime of the facility and to accelerate the startup, regular configuration backups are going to be made and directly loaded in a case of a failure.
3.3 Security
The protection of the system against unauthorized access is an important task due to the value of the machines and the damage a malicious minded user could cause. If the palletizer is pilot in a incorect manner, it can damage packages, gripper, the cage and itself. The common web technology offers a method to verify users by the Hypertext Transfer Protocol (HTTP) authentication mechanism, where the users authenticate themselves by a name/password combination. To avoid the effort of administrating a separate user list for the VLL and maintain it, the existing infrastructure can be used and the authentication can access, for example, a Lightweight Directory Access Protocol-Server (LDAP).
These are likely to encounter in most kind of environments and can be integrated in many authentication systems.
The complete communication will be encrypted with the secure socket layer (SSL), that is just another layer on top of HTTP that is used for the communication, and offers a transparent and secure encryption that is supported by all clients.
3.4 Time scheduling for performing experiments
As just one physical system is available, it allows just one experiment to run at the same time. So a scheduling system must be implemented to prevent the lab of being occupied for too much time. This could be easily done in our concepted web-interface, where users may follow the current status of the palletizing cell and request booking for new experiments.
3.5 Simulation and Riotobot Programming
The simulation of the palleting cell enables the user a more comprehensive view of the system and its functionalities. A great challenge is to incorporate the simulation environment into the web-interface. The idea of the simulation is to serve the user with the visualization of the palletizing cell with the robot and its components and gives him the possibility of testing different trajectories for the robot and palletizing patterns.
By doing so, the user will be able to evaluate the general movement of the robot and the work-flow before testing the experiment in the real system.
Two software tools are being evaluated for the simulation, Easy-Rob [5] and Roboguide [9]. For both tools a correct model of the system is required, which must be validated with the physical system during the implementation phase.
3.6 Collision
Collision is one of the main problems that arises when a robot trajectory is being planned. As the web-interface will provide the user the possibility to remotely program the robot, the collision checking is strongly necessary. Simulation tools like Easyrob and ROBOGUIDE, are useful in a first approach to verify possible collisions, but it may not avoid them completely, as the verification is just visual and so it would be susceptible of a human failure.
As the user cannot be responsible of the full collision check, a more intelligent system will be considered. There are three main types of methods that can be used for dynamic collision checking: feature-tracking, bounding volume and swept-volume methods.
The bounding-volume method was already studied for another robot system developed at BIBA, the Parcel Robot, [6]. It is most probable that this method is going to be used to accomplish the collision checking.
The bounding volume method is applied by approximating the robot axis, joints and obstacles to a simple geometry, like spheres and boxes. In order to check a collision, the distance between objects is determined by the minimum of all distances between all relevant points of the two objects. With this distance it's possible to check how much an object must move to cause a collision.
3.7 Palletizing patterns
The former system can not palletize parcels of different size in one pallet. In the same way, the palletizing patterns are previously defined by the Intelliware Patternmaker software and must be loaded by a USB stick directly into the robot control unit. The web-interface of the palletizing system gives the user the possibility of loading existing patterns or to create new ones. We are considering the possibilities of using the Intelliware Patternmaker integrated in the webinterface or developing a software for palletizing patterns.
3.8 Delays
While performing online experiments, delays will be present. In the implementation phase delays will be measured and types of experiments that demands rapid feedback are going to be limited. account of order, visible package side, applied load on packages and balance point of the palette, would be a significant improvement but are complex systems due the many factors they have to account.
4 Examples WebRobots
There are many virtual labs in operation, mainly in university institutes. Much attention is payed to the user interface, where the user specifies what experiment he wants to perform, after it a set of limited parameters are given for interaction.
Marin and Le´on [8] describe the UJI Industrial Telelab in Spain which enables students to learn and practice their robotics knowledge in situ or remotely. The facility allows students to remotely program and control two robots, composed of a robotarm, a camera system and a conveyor belt.
Another interesting approach from UJI Industrial Telelab is that the sensors, the conveyor belt, the camera and the robots are all interconnected by an ethernet network, by the use of a Simple Network Robot Protocol(SNRP) that allows the integration of robot systems with elearning platforms.
The users can program control algorithms in Java through a web-interface and sent them to the lab.
The figure 1 presents the network connectivity of the UJI Industrial Telelab where students can access the lab through a private network and perform their experiments.
The Automatic Control Telelab at the University of Siena in Italy, provides a set of remote experiments from the position control of a direct current motor until a experiment with four mobile robots following a square path, [3].
At the University of Illinois in the USA, an inverted pendulum experiment is available, where the controller has an algorithm to detect unstable conditions that could damage the experiment or due to malicious attacks, switches to a backup configuration, [2].
Another interesting robot application can be found at the Biorobotics Laboratory of the University of Washington in the USA, they developed a 7 degree of freedom cable actuated robot system for open and minimally invasive surgery, the Raven Surgical Robot. The system can perform teleoperation experiments over the world by the use of a single bi-directional UDP socket via a remote master device, [7].
5 Why A Web Interface
A web-based interface has some advantages over proprietary programs, like the often used remote procedure call (RPC) of the Java-platform. They use open standards like extentable markup language (XML) or JavaScript Object Notation (JSON) to communicate between server and client, which are proven technologies and widely supported. There are many tools and implementations to choose from, so there is no need to rely on proprietary softwares, while all the features of modern web technologies can be easily used.
One of this technologies may be SSL, an widely used encryption standard, to protect the connection against manipulation. Also well working authentication systems are usable, without the need to implement them. In modern web applications is only one small static HTML file with JavaScript or Flash that have to be loaded once, all the information is dynamically fetched and send via a technique called asouncronous javascript and XML (AJAX).
One of the biggest advantages of the web-interface, is the separation between representation and logic, all the laborious tasks are done in the server, while the client can access a slim interface. As the web technology is usual and well supported by various devices, many clients may interact. These could be PC's or even Smartphones. The client-software can satisfy many use cases, like showing the status of the robot palletizing cell, showing error-messages or if a pallet is ready or full.
The web interface has the advantage, that it is not limited to be used with a browser, but can also be used to let other machines of the VLL facility communicate with the palletizing cell, by offering a slim high level interface. Information like parcel size and weight could be exchanged, in this case the client do not request the static HTML part from the server but uses the interface directly.
6 Facility Description
The Virtual Logistics Lab (VLL) at BIBA possess a robot palletizing cell. The palletizing cell, model I-PAL from the company Ivanhoe constitutes of a six axis industrial robot with a gripper for palletizing carton parcels(1), a control panel(2) with teach pedant(3), a conveyor access(4), pallet outfeed(5) and infeed openings(6).
The pallet infeed opening receives empty pallets, outfeed opening returns full or partly full pallets with parcels, the conveyor access interligates the palletizing system with the rest of the VLL facility and the entrance door is mainly used for maintenance. The six axis industrial robot is from the company FANUC, model R2000iB.
The gripper must be mechanically adjusted for the parcel size. If a new type/size of parcel is used, another gripper configuration is required.
For controlling the robot the R-30iA Controller, also from FANUC, is used. It enables up-downloads of the robot programs, provides I/O functionality for the gripper and external tools and it also has a Ethernet 100 Base Tx communication interface. It is constituted of a cabinet and a teach pedant.
The workflow is shown by theiot simplified state machine at the figure below. It may be described as follows: parcels come from the conveyor opening, are detected by laser sensors, the parcel is taken by the robot and placed over the pallet inside of the cage. After finishing the placement, the pallet is forwarded to the outfeed opening. Then an empty pallet comes from the infeed opening and the system is ready for start palletizing.
At the moment the pallet package pattern and the robot trajectory for its completion are created by the software Patternmaker from Intelliware. This software makes the arrangement of the parcels in regard of their sizes and quantity, then it generates the trajectory for the robot.
In order to start the palletizing system it is necessary to select a pattern, which could be already stored in the control unit or must be generated by the Patternmarker software and exported to the robot by a USB stick.
The safety of the system is based on a cage that isolates the robot preventing access while the robot is working. The entrance door is interlocked with the robot control unit which means if the door is opened while the robot is in operation, the system is going to be disabled.
7 Implementation
The implementation methodology of a web-interface for the palletizing system in the VLL facility will follow the model proposed by von Borstel and Gordillo [10]. Their model presented a reference framework and methodology for the development of a virtual lab for robotics and will be adapted for our case.
The overview of the system functionality is presented at the figure bellow.
The model shows a division in three main elements: guest, media and host. On the user side, guest, it will be possible to execute and evaluate the experiments. The host is the local computer based system where the requests of the user are going to be performed. Media will be the internet and the protocols used to transfer informations between guest and host.
Through this general overview we adapted the UML, Unified Modeling Language, framework of the model to our case, where we specify the main functions of the palletizing system that are going to be operated by the user with the web-interface.
At the next figure the functionality of the web-interface can be seen.
The client may simulate the desired trajectory of the robot, the server will check it the trajectory is free from collision and will give a feedback to the user. After a positive feedback the user will be able to test his trajectory in the physical system.
8 Conclusions
The presented paper gave an overview of the actual robot palletizing cell in the Virtual Logistics Lab at the University of Bremen as well as the main challenges that are going to be faced by the implementation of the web-interface for the system.
Though there are many advantages of giving the user the possibility of programming the robot palletizing cell from a web-interface, some discussions were done about the limitations and requirements of it.
After researching the possibilities, it was decided for using the model proposed by von Borstel and Gordillo [10] to implement the web-interface adapted to our case.
The next steps will follow four phases; first the modeling of the system and its simulation, second the integration of the simulation in the web-interface, third the incorporation of collision checks for new trajectories and generation of patterns for palletizing and the final phase of testing scenarios.
References
1. C. Almeida, M. Hork, and M. Weck. Handhabungstechnik und Robotik (ab 1980). 100 Jahre Produktionstechnik, (ab):515–528, 2006.
2. A. Bemporad, M. Heemels, and M. Johansson. Networked Control Systems. Lecture Notes in Control and Information Sciences. Springer, 2010.
3. Marco Casini. The Automatic Control Telelab : a Remote Control Engineering Laboratory. Control, (December):3242–3247, 2001.
4. X Chen, G Song, and Y Zhang. Virtual and remote laboratory development: A review. Proceedings of Earth and Space, 55:3843–3852, 2010.
5. Easyrob. Easy-rob 3d robot simulation tool. http://www.easy-rob.de/, January 2012. (Online; Stand 01.02.2012).
6. Stefan Kunaschk. Implementierung einer effizienten Kollisionskontrolle f¨ur Industrieroboter mit hoher Taktzeitanforderung in sich ¨andernden Umgebungen, Diplomarbeit-Informatik. Universit¨at Bremen, 2008.
7. Mitchell J H Lum, Diana C W Friedman, Blake Hannaford, and Jacob Rosen. The RAVEN : Design and Validation of a Telesurgery System. The International Journal of Robotics Research, 2009.
8. R. Marin, G. Le´on, R. Wirz, J. Sales, J.M. Claver, P.J. Sanz, and J. Fern´andez. Remote programming of network robots within the UJI Industrial Robotics Telelaboratory: FPGA vision and SNRP network protocol. Industrial Electronics, IEEE Transactions on, 56(12):4806–4816, 2009.
9. Fanuc Robotics. Material handlig robots. http://www.fanucrobotics.com/, January 2012. (Online; Stand 01.02.2012).
10. Fernando D Von Borstel and Jose Luis Gordillo. Model-Based Development of Virtual Laboratories for Robotics Over the Internet. IEEE Transactions on Systems, Man, and Cybernetics - Part A: Systems and Humans, 40(3):623–634, May 2010.
Remote Testing of RFID and RTLs Scenarios: Opportunities and Scenarios for Remote Testing in Logistics
Opportunities in VIRTUAL LOGISTICS LAB 2
Mariem Ben Rehouma
TZI Technologie Zentrum Informatik und Informationstechnik, University of Bremen, Germany
Abstract. The use of RFID (Radio frequency identification) and RTLs (Real time location system) grows continuously in the logistic. The validation of their performance in a real environment before any implementation is a rational Part of the researches at virtual Labs. This Paper proposes scenarios of RFID and RTLs remote Testing and its implementation in the LogDynamics Lab of the University of Bremen.
Keywords: RFID, RTLs, remote, Virtual logistic Lab
1 Introduction
The discussed case of implementation in this paper is a part of the student project VLL Virtual Logistics Lab at the University of Bremen with the use of the Platform of the Virtual Logistic Lab of the BIBA Bremer Institut fuer Produktion und Logistik GmbH, which is composed of high rack, conveyor band, robot palletizing, balance, labeling machine, five Webcams and a Reva server as a middleware for the connection of the RFID Readers. The project aimed to create an integrated platform to control different devices via remote access over the Internet. A central control system for all the connected machines of a lab had to be developed [1].
Ensuring the smooth running of any logistic assets circulation such as totes, racks, bins and roll cages, shipping containers, gas containers constitutes a pillar of the distribution in any production. This necessity is satisfied with the integration of automatic identification technology, especially, RFID.
RFID is grouped under the broad category of automatic identification technologies. The basic of the EPC / RFID standards is the Electronic Product Code (EPC), which allows a globally unique identification of objects (pallets, cartons, packages, consumer units, etc.) on the item level. Other positioning techniques like GPS, Infra-red positioning are also popular.
I despite in this paper a real time location system based on RFID technology called Mojix. Radio-frequency identification provides more advantages than other identification technologies such as bar coding and magnetic stripe. Their devices help locating and controlling the considered assets. This decreases the possibilities of damage or misplacement of the goods.
The shortlisted advantages of RFID are to encourage companies to integrate the technology that must be tested and analyzed in laboratory environments. The problem was how to design an effective and flexible test environment and conduct experiments efficiently with little effort as well as location-independent.
The purpose of this paper is to provide scenarios of remote testing of RFID in order to explore the optimum case of implementation of this technology.
This Paper comprises the following topics: Section 2 gives an overview remote Labs. Section 3 explain the functionality of RFID and RTLs . Section 4 describe The proposed System Mojix. Section 5 will describe the architectural approach of the implementation in the VLL2.0. Section 5 proposes scenarios of test of RFID. Finally, conclusion and a further outlook in section 6.
2 Overview about remote labs
The RFID Lab located in Parma, Italy aims to offer RFID vendors and end-user companies fully equipped facilities for developing their RFID deployments and products. The lab focuses on exploring the applications of RFID technology and the EPC system to business processes.
The MIT Auto-ID Laboratory is dedicated to creating the Internet of Things using RFID and Wireless Sensor Networks.
Villanova University Radio Frequency Identification Laboratory is located on the Villanova University campus. The main objective of this Lab is to become a leading provider of RFID research in the region and promote collaboration and partnership with RFID manufacturing industries.
The most research on remote labs is supported by using technologies ranging from LabVIEW and Matlab/Simulink to Java applet, Flash, Ajax and other techniques [2].
3 RFID and RTLS
3.1 Functionality of RFID
RFID system consists of tag, reader, and antenna. Tag which is attached to the object consists of coupling components and chips, and tag has a unique electronic coding. Reader identified tags with location information without contacting and it has two types handled and fixed reader. The data received from tags transmits to Data Processing Unit. Antenna is a component that transmits radiate signal between tags and readers [3].
The system principle is as follows:
1) Reader transmits a carrier signal; 2) tags in the field of reader antenna product electromagnetic power and transmit information to readers; 3) reader receives the signal and decoding; 4) the computer receives the data and performs data processing.
The work process of RFID is shown in Figure 1 [4].
Standardization of RFID: EPC Global is a major driving force in the RFID space and deemed to be as an industrial organization of standardization. Their concept through the EPC (Electronic Product Code) is to identify every item across the supply chain.
3.2 Real Time Locations Systems
Real Time Locations Systems uses transmitters for determining the real-time location. The network of readers installed in the area sends radio signals which activate tne transmitters in regular intervals. There are RTLs based on the ISO 24730-standard defines two air interface protocols and a single application program interface (API) for use in asset management and other RTLs which are based on WLAN-infrastructure. It is used in e.g. hospitals and harbours to identify and track vehicles, containers and persons. WLAN is also used for wide-area positioning of WLAN-enabled devices, by exploiting information on the location of the access points.
4 RFID location with Mojix
The company Mojix devoloped the Mojix Star System which differs from other systems by using separate components to excite tags. This components are described as follows [5]:
eNodes : Each Mojix eNode excites all passive RFID tags within its designated interrogation space and can be fixed, wireless or handheld, and can be deployed as needed to shape discrete, overlapping or contiguous interrogation spaces, as well as to create virtual fences for securing tagged items.
STAR receiver : The STAR receiver functions as a single point of data collection, provisioning, command and control, and integration with enterprise systems. With the ability to detect extremely faint signals and free from conventional RFID's line-of-sight restrictions, the STAR receiver works in concert with its satellite eNodes to support one or many business processes across the entire coverage.
The STAR Receiver utilizes classical, fully active, phased array antennas for enabling the visibility into the space dimension. The smart array approach adopted by Mojix is based fully on digital processing techniques, thereby providing very high resolution for estimation of direction of arrival of the signal of interest (SOI), enabling the system to provide accurate location information on the tag position in the three dimensional Euclidean space.
STAR interrogation spaces : Fixed or mobile, STAR interrogation spaces are business process-specific and can be optimized for tag density or coverage. Each individually controlled interrogation space is created by the deployment of single or multiple eNodes and is dynamically sized by the STAR system, which controls each node's power output.
Master Controller : The STAR-1000 STAR Receiver signal processing platform is linked to an edge appliance called a master controller, and communicates via a standard Ethernet 10BaseT (RJ45)-connector. The controller can drive an arbitrary number of STAR-1000 systems and includes interfaces to the enterprise middleware.
5 Architectural approach of the implementation in the VLL2.0
This Section will despite how to access to the laboratory to run the machines remotly and proposes an architecture for the integration of the Mojix System into it.
5.1 The remote access to the Lab
To control the machines in the Lab via web interface a connection to the BIBA network is necessary. In this case it is not possible without this connection to access remotly the lab.
The Use of a login-system will allow olso other users to use this plattform. The demonstrators have their own plug-ins that are integrated into the web interface. In the plugin the address of the device in BIBA is specified so that a connection can be established. In the individual plugins are stored actions that have been programmed for the demonstrator. Example: "Conveyor.On" starts the convoyer. The action has an existing connection through the IP address and then sends a message to the device. The scenarios are generally sequence of actions which are listed in an XML file [6]. The Mojix RFID middleware is connected to the open source Fosstrack EPCIS software. Fosstrak is an open source RFID software platform which implements the GS1 EPC Network specifications and thus allows us to work on the current standard. The for us relevant Components of the EPCIS repository Fosstrak are an EPCIS Query Application EPCIS Capturing Application and the EPCIS Repository that stores the data of read tags. The data for this purpose are read and written to the repository through EPCIS Capturing Application via the Mojix middleware.
5.2 Architecture of implementation of the Mojix system
The User can define an event that can be transmitted to the RFID-Middleware. To write an event to the Fosstrak repository a capturing application muss be implemented. The Fosstrak ALE contains such a capturing app that should be
customised for our own requirements. The read data are disposed on Fosstrak. The user can request information about the reading tags in form of queries at the ALE Client through EPCIS Query Application.
6 Scenarios of RFID test
The following scenarios discuss the location and identification of packages on conveyor. The conveyor serves to transport the packages between the difference devices in the Lab.
With the Mojix System will be possible to cover all the Lab space where the tracking and location of the packages are desired. For example the split of the convoyer circle in areas such as 4 lines and 4 corners could be possible with the instalation of two 4-port eNodes to detect the splited areas with 8 anteanns such as shows in the follwing figure with the yellow rectangles as eNode and the red ones as antenna.
Detect the location of packages on the conveyor circle. run the convoyer more times for example 3 times to capture deviation with 2 or more packages. The
tag will be read and the identifier number such as the coordination Posx, Posy and posz will be saved on the fosstrak repository.
Avoid double labeling of packages on the conveyor. If the packages have already got a tag, it must be possible to locate them on the conveyor before they pass again through the labeling machine. To achieve this Goal and to test if the antenna is able to allocate the tag in this area, an antenna must be installed before the labeling machine and to run the conveyor for example 3 or 4 times with packages with integrated tags.
Detect the location of packages on the conveyor. Packages are on conveyor. The location of the packages on the conveyor should be detected. In this case with the installation of 3 single eNodes at three choke point: an antenna at the balance and an antenna at the labeling machine and an antenna at the end of the convoyer. on the convoyer it is possible to compare the RFID data with the state of the package at this points like Packet on conveyor or Packet on high rack and to compare if the assigned antenna has detected the package on the
right location.
Can packages be distinguished from another? Run the conveyor more times with 2 Packages near to another and change the distance between them to test whether they will correctly be identified.
7 Conclusion
To reach the desired level of flexibility, VLL is based on a dynamic plug-in system. It allows loading and unloading of device drivers at runtime. The driver implements its functionalities as Actions that can be invoked by a VLL user as a part of a larger scenario remotly via login on the Web-interface. Certainly aspects like user rights should be considered.
The Mojix System discusses in this paper can cover through its capacities many of our requirements for tracking and location of packages. Furthere idea is to assure a system of location and tracking in the Lab that use other devices as the RFID readers already implemented there and the light barrieres to get more precision of the obtained data.
References
1. Ashish Vaishya. Projekt-report Virtual Logistics Lab (Biba Uni-Bremen).
2. X. Chen, G. Song, Y. Zhang, (2010). Virtual and Remote Laboratory Development: A Review. Proceedings of Earth and Space, 3843-3852. ASCE.
3. Klaus Finkenzeller, (2006). Radio Frequency Identification (RFID). House of Electronics Industry.
4. Bin Ding, Li Chen, Dianlong Chen, Haitao Yuan : Application of RTLS in Warehouse Management Based on RFID and Wi-Fi, School of Management, University of Science and Technology of China, Hefei, Anhui, P.R.China, 230026.
5. Mojix Incorporated. (2010) STAR 1000 System User Manual.
6. Carl Franz, Tobias Fritz. Virtual Logistics Lab: A Framework for Rapid Prototyping and Remote Experimentation.
Virtual Research Communities and Research Collaboration Platforms
Current State and Potentials for further Improvements in the Virtual Logistics Lab Development
Paul Heckmann firstname.lastname@example.org, Henrik Lienstromberg email@example.com, Tim Schleier firstname.lastname@example.org
Center for Computing and Communication Technologies (TZI), University of Bremen, Germany
Abstract. Collaboration and working by the internet are getting more important for research in the last years. Furthermore the paper shows the possibilities of a virtual collaboration platform on the Virtual Logistics Lab 2.0. This is a successor of the Virtual Logistics Lab, which implement a remote laboratory, on the University of Bremen The paper shows the opportunities of the internet for research and teaching and discusses a representative selection of integrated solutions from other projects like Deusto Web and explains, how the Virtual Logistics Lab 2.0 can use these technologies.
Keywords: remote access, virtual laboratory, Virtual Research Environment, Research Collaboration Platforms, Opportunities of Web 2.0, Virtual
1 Introduction
The paper is part of the Virtual Logistics Lab 2.0 (VLL 2.0) 1 project at the Center for Computing and Communication Technologies (TZI), University of Bremen, Germany.
VLL2.0 is a remote laboratory, which is used at the Bremer Institut f¨ur Produktion und Logistik GmbH (BIBA) 2 department. The laboratory contains machines from a logistic scenario. A few of its components are a high rack warehouse, a palletizer, a weighing machine and a conveyor. These machines can work together. Via web access it is possible to control the machines. The user can start a scenario, which models a part of a typical intralogistic process. It is only possible to model a part, because there a many different processes and the laboratory is only a equipped model for a few of them. By webcams the user can see the running scenario on a screen.
1 http://www.virtual-logistics-lab.de/ call date 03.02.2012
2 http://www.biba.uni-bremen.de call date 03.02.2012
The remote laboratory is integrated in a website. From there the functions and scenarios can be started. The access is available from the BIBA network, so it is necessary to connect to this network. There is no opportunity for other users to see the web platform and to control the laboratory.
The platform is only designed for control the laboratory and has no community functions. Furthermore the platform does not store the result of experiments. It is not only important to store results but also events and performance measures throughout experiments. With a login-system the platform can be transformed into a collaboration platform. The researcher can collect data, use the logistics lab and communicate by using this platform.
The purpose of this paper is to identify, how the project can learn from related researching. In particular the paper describes the setup of a community of logistics labs for collaboration in research. The paper is supposed to show the opportunities of internet technology in combination with research.
The remainder of the paper is organized as follows: First, section 2 gives an overview over the different types of laboratories. In section 3 collaboration is the main point. Section 3 gives an overview over different remote laboratories. At section 5 we explain the example of Deusto. In section 6 the context between Deusto and the VLL is explained. Then, section 7 is about the conclusion. At last, section 8 is a chapter about future work.
2 Different Types of Laboratories
At the moment there a three different types of laboratories, that have big differences in requirements, but of course mixed designs are possible.
First there are the traditional "hands-on-laboratories". Their operation requires a lot of space and funding, because of the required equipment. This laboratory is a real exsiting one. So on the one handside real data will be produced, sometimes virtual data are not good enough. But one the other handside it is possible to make real damage, because it is really exists. And a perfect workload of the laboratory is not usual, because most of them only work during "normal times", that means they will not work at night.
The second type of laboratory are "remote laboratories". Remote labs are nearly the same as the hands-on-laboratories, but the controlled experiment is not at the same place as the controller. Today, the usual access method in remote laboratories is achieved through the internet [2]. Of course this kind of laboratory is more expensive than a hands-on-lab, because they need all things a traditional laboratory needs plus the remote access option. In theory it could be chaper because three working shifts of 8 hours could work with the same laboratory. At night a person from another mainland could work. But this is utopian. So it is more expensive to operate with. Another possibility is that a researcher can rent a remote laboratory for the time he needs it, because this is cheaper than a hands-on-laboratory if it is sporadically used. And it does not need so much space, by the user. It only needs a computer and internet, because the real laboratory could be at another place [6]. Moreover this design produces real data and this is very important in research. But of course, that means that it could cause real damage too. Obviously a remote laboratory has all the positive aspects of a hands-on-laboratory. But it does not have the most important negative aspect, because the user do not have to have enough space for building a traditional laboratory.
The third type of laboratories are the "virtual laboratories". These designs are expensive in setup, because to install this is very much work [6]. But after that it is much cheaper than the other designs. In addition it is not possible to cause damage by using it. And it only need a good computer, so it is space saving in comparison with the other types. But a problem is that the resulting data are also simulated, and not real. That means that the data could be different, because of that in a few parts of research it is not possible to work with virtual laboratories [6].
All of these possibilities have pros and cons. But for teaching all of these are equal [6]. The ability for research could not be generalized , because it depends on the case. But this problem is only relevant for the virtual laboratories, because this can simulate and does not need real data. The problem of simulation is that not all problems in this case are solved, so it is not sure that the simulated data is the same as the real one. From there the hands on laboratory and the remote laboratory are nearly equal in research, but using the simulated could be dangerous. By reason that it is not sure that the data are equal [6].
The VLL2.0 projekt is a remote laboratory, because of that most of the following aspects are about remote laboratories. But a few aspects about are about virtual laboratories.
3 Collaboration
The Internet offers many options for virtual research. The technology has developed very fast and with the Web 2.0 it is possible to interact between users or objects directly. In former times the researcher exchanged data with letters or at a meeting. The problem was the distance. The internet revolutionized this fact. Nowadays it is no problem, to contact a researcher and send him research data by mail or allow him to get access to the data directly.
Cooperation, communication, data exchange, and acquisition of knowledge are the main points in virtual and remote research [10]. Research projects often take place in different places and the cooperation is necessary to continue the project. Universities can cooperate in projects, to get better results. In a network, based on the internet, the universities, companies and other participants can get involved in a project. In a project communication is a very important point, which can decide about success and failure. Before the days of the internet it was a big problem in international projects to collect information from all members, working on a common project. Today there was more opportunities for data exchange. Often this function contains a history, that saves changing data like changed date or changing person. It is an easy way to work together on a document. Possible technlogies are stored repositories, version control and cloud storage. All knowledge will be collect on a central platform. Basically everybody can use the knowledge and make his own knowledge available. All in all the internet has developed into a very important factor in projects. Particular in research everybody concerns himself with the internet and uses it every day [10].
3.1 Useful Technologies for Data Exchange
The internet provides many technologies, which are useful in research. From chat rooms to simply message systems we can find a lot of helpful components [10].
A revolutionary innovation was the email system. First it was used at a mailbox system in X.25 for example. Later on the RFC 822 [3] displaces the X.25, when the internet was growing up. And this is the ancestor of the modern email. We can write an email to send a text with attachment. It is easier and faster than a letter with some kind of data storage. You can send one email to many addresses, which makes the text communication comfortable. The email was, like the letter, an asynchronous communication medium. One aspact of Web 2.0 is the chat technology, which provides the opportunity to communicate in a synchronous way. The constraint is, that all communication partners have to be online at the chat system at the same time, but that is normal in synchronous communication like phone calling or video conferences.
Another technology for written text are wikis. Wikis are used for writing documents in a group. At a wiki any user can work together on a text. One person starts a wiki and writes a text. Another one changes the text. A wiki always provides the function to restore an older version. A wiki is an easy way to work out a text in a group. A special add on is the version control.
A further communication medium is a forum. The typical purpose of a forum is to collect questions and answers. Forum users debate on questions or other things in the topics. A forum displays a platform for asynchronous communication. The platform is sorted and divided in logical groups. So the user can discuss about many topics and everybody will find the relevant answers in this topic. The topics are clearly arranged and archived. The users can search in the forum to find older topics and the answers.
By using internet technology, security is an important point. VLL2.0 has to be protected against attackers. It has to guarrantee three points: availability, integrity and confidentiality. Concerning availability we were not able to do so much, because a "denial of service" attack will always be successful for example, this is fact because there are no defense possibilities against that [8]. For warrant integrity we have to use a secure access method and force the users to use strong passwords. For safeguard confidentiality we will use a good encoder before transporting the data across the internet.
3.2 Opportunities
The technologies afford a lot of opportunities for the researcher. Interaction is important point in research and study [7]. Some research facilities are expensive. One university could not finance all research equipment, so it is necessary to build a network between the research institutes. The internet gives the opportunity to get a remote access to the research equipment. That is an important advance for the international research. A researcher can control machines from different place and get the information of the experiments on his display. The researcher can see his actual experiment through a webcam on his screen. So he can get the conditioned results and evaluate them. Later on he can give a feedback. It is possible to control a big research experiment over the internet. Furthermore the user, who starts the experiment, does not need a contact to the other side. The process runs automatically with the inputs of the starter.
Offcourse the remote access is not possible with all machines and equipment, but often it is a good opportunity. An university does not have to buy a machine, but they need access. Consequently they will rent an access to the machine. And if the distance is wide it is a good opportunity to have an access over the internet. This remote access can be useful in studying. Universities can show a live experiment over the internet in a lecture. The students can see a live experiment, which was executed in a different place in the world. They can change the parameterization of experiments data and run it, perhaps in real time, again. Furthermore the experiment can be shown in different lectures. They can agree on an appointment and the students can watch the experiment on the internet. Maybe they can discuss in a chat.
It is also interesting for professors. They can do it the same way. One tutor makes a experiment, which needs a live handling at the machine. The tutor wants the opinion of other researchers, so he can show the experiment on the internet. Then it is one way to discuss the experiment directly by a video or audio conference. Later on the professor can save the video of his experiment in the internet and open a forum or wiki to collect more opinions and ideas.
That were only a few examples: The internet and especially the remote access give a lot of opportunities for research.
3.3 Components of a Virtual Research Environment
A virtual research environment (VRE) is based on the internet technology. The main point of a VRE is the collaboration [10]. The internet gets more and more users and the research should use the opportunities of the internet. A VRE should allocate all necessary things for the collaboration in research. The section 3.2 show the opportunities of the internet and the technologies in the internet and all things can be used in research.
It is difficult to combine traditional research with the new technologies. On the one side books, magazines and live experiments are research practices that have existed for a long time. Every researcher has to document his references and saving notes or comments. On the other side there are good tools on the internet, which alleviate and revolutionize the research. Google developed a special search Google Scholar, which only searches in areas relevant for science. Of course this is not part of a VRE but it is a very good tool for searching the internet for information in research areas. The libraries have their own website to find a book. It is easier because you can search for a key word or an author. There are databases in the internet, which save many science articles and references.
The basics of science did not change because of the development of the internet, but science became easier [7]. Today the methods start with a search on the internet.
Remote access can also be a part of a VRE. Remote access is not as popular as used machines, but it is a logical reaction. When all technologies establish on the internet, remote access will be an important part. This part can be used for practical research and experiments.
4 Remote Laboratories
The development and exploration of the web-based remote technology has become increasingly important in recent years. Many universities and research institutes deal with this issue and are constantly developing new concepts and ideas, and to improve old technologies to make the cooperation between the companies as effectively as possible.
However, the basic idea of all these developments is the same: The goal is to create a user-friendly web application that allows authorized users to carry out experiments easily and efficiently over a remote network.
In our search for these technologies, we have encountered on numerous projects that deal with this issue. The current status of these technologies is now well advanced. "Global Knowledge ", (the largest private provider of IT training, enterprise learning solutions and software solutions) and the largest partner of Microsoft and Cisco, has created already in 2007 a unique remote training laboratory, replaced the existing Cisco laboratory and made worldwide its users possible to to Cisco advanced technologies 3 . By using the remote connection to the Cisco technology, trainings can take place anywhere in the world, also directly in the companies. For companies, this also means savings in cost and time resources. The trainees must not travel and are also available during the training period.
The concept of any kind of remote lab systems is based on data transmission over the Internet. The transmitted data is exchanged between an experiment-side and a user-side computer [4]. To realize this, both computers need a coordinated software. From the tasks that both computers must comply, a division results in two fundamental components of all remote technologies: A measurement- / control-interface and a user-interface. The measurement- / control-interface assumes an important role: It handles the exchange of data between the Internet and the control- / measurement-output of the experiment. The user interface represents all received data graphically from the Internet and saves it finally. Also, a graphical user interface provides to the user to enter tax data, to send it and to check the condition of the experiment.
3 http://www.globalknowledge.at/neuigkeiten/pressemitteilungen/presse%20archiv/ remote%20labs.aspx. (call date 03.02.2012)
The idea of remote technology opens up numerous application areas, such as universities and schools. Experiments, which are extremely costly, time consuming, too complex or even life-threatening, could not be performed in traditional laboratories by these reasons. However, with the integration of a remote lab they are easily available for the teachers and students and experiments can easily be carried out from anywhere.
Another interesting tool of the remote technology is the online platform WALC (Web Assisted Laboratory for Control) [1] which was developed as a dynamic learning tool for students and facilitates the remote access to several virtual and remote laboratories.
Below, we illustrate a brief overview of all remote labs we consider at our research and then we respond to the benefits in the next chapter, which affords us this technology for the project VLL2.0. This we will illustrate by the example of WebLab-Deusto.
Table 1: Remote Lab Overview
| Remote Lab | Location |
|---|---|
| LiLa project4 NetLab5 Labshare6 MIT iLabs7 WebLab-Deusto8 | University of Stuttgart University of South Australia Australia (Australian Government) Massachusetts Institute of Technology University of Deusto (Spain) |
The labs in table, constitute paradigmatic examples for remote labs. An interesting of these is the "LiLa Project" (Library of Labs). It enables online collaboration by integrating remote experiments and virtual labs into a collaborative environment. It also links existing virtual labs all over Europe, providing a better utilization of resources. As with most other labs, teachers and students are primarily focused users. This offers teachers the opportunity to find remote and virtual experiments and to integrate them into their courses.
"NetLab" was originally developed with the same idea to support lectures and students at their work by an attractive GUI (Graphical User Interface). Using this GUI, the user is operating real instruments which are set up in a laboratory and the output they see on their displays is not a simulation of these instruments, but data collected from the instruments in real time.
4 http://www.lila-project.org/ (call date 03.02.2012)
6 http://www.labshare.edu.au/ (call date 03.02.2012)
5 http://netlab.unisa.edu.au/ (call date 03.02.2012)
7 http://icampus.mit.edu/ilabs/ (call date 03.02.2012)
8 https://www.weblab.deusto.es/web/ (call date 03.02.2012)
The "MIT iLabs" and Labshare projects both aim to develop a technical infrastructure and a sustainable organizational strategy that will support ongoing sharing of remote laboratory facilities and resources. iLabs allows its users to access MIT equipment to conduct science and engineering experiments remotely from all over the world. The aim of that project is to provide many services and development tools for its users and to reduce development and management effort for users and providers of remote labs. iLabs also seeks to allow universities and institutes with different kinds of network infrastructures to share access to its physical lab infrastructure.
VLL1.0 is a young project, which is still in its development. To use the equipment of his laboratory, the first step is the access to the PC of the laboratory. The user can establish a VPN connection in the network from BIBA and login via the IP on the PC of the lab. This ensures that there is a legitimate user. To access the device from any point of view and to allow the control of the experiments via the Internet, a concept of a remote lab is essential. Now, in the next chapter we want to agree to the benefits of remote labs for VLL2.0 (by the example of WebLab-Deusto), which gave us the most information at our research.
5 WebLab-Deusto
5.1 Introduction: WebLab-Deusto
In this chapter we want to focus on a remote lab of the University of Deusto (Spain) called "WebLab-Deusto". First, we explain technical possibilities related to this lab. Subsequently, we focus on the specific advantages and possibilities, given to us by this lab useful in the context of our project VLL2.0.
The platform of WebLab-Deusto was originally designed as an open-source distributed remote lab and it is used and continuously developed since 2005. The reason for the development of this lab was to enable the accomplishment of diverse, real experiments on any kind of devices (such as FPGA, PIC microcontrollers, etc.) on any computer network, such as the Internet for a specific group of users. In other words: Using this lab, an experiment can be accomplished over a communication network by a specific user with respective rights. Figure 1 illustrates the approximate architecture of this new concept.
So, to realize this remote-communication, it is necessary to take a look at the technical aspects of this lab, which are listed at the following subchapter in a general way.
5.2 Overview: technical possibilities of WebLab-Deusto
– Administration: The web-based administration tool of WebLab-Deusto enables creation and management of experiments and user profiles. It is also able to check the status of remote labs and also to show, which profile is just
using this lab. Also, it is possible to get different kind of information about all uses in the past within a specified period. This is done through log files, which are managed by the administrator.
– Authentication: With an extensible authentication system it is possible to verify the identity of each user. On the one hand it is achieved by a veryfication of the respective IP adress of the user and on the other hand by using a remote LDAP (Lightweight Directory Access Protocol) server. It is also possible to store username and password in a database.
– Queue management: The idea of a queue management system of WebLabDeusto is to coordinate the order of the work on certain platforms (devices), if there are multiple users who want to work on the same device. For this purpose, the system assigns users their respective priorities that will coordinate the sequence of use.
– Scalability:
The system of WebLab-Deusto is horizontally scalable. The scalability refers to the number of users and the number of experiments. It is now easily possible to integrate new servers for processing experiments and thereby to enhance the performance and efficiency in processing, as well as to allow much more users to work on devices at the same time.
– Deployment: The latest deployment system of WebLab-Deusto makes it possible to configurate new experiments. To realize this it requires a configuration of the server and client. The client can be configured by creating a new entity in the configuration.js (JSON-file), where the server needs a change of its .xml-file, which is easy to read.
– Security: The safety system ensures a safe protection against unauthorized access by foreign users by storing the access data on a separate login server. In addiction, the "wrong" use of experiments can never affect the whole remote system, because the system manages all components (depends on this experiment) independently. The cause of these incorrect use can always be traced back through a log file.
All further information and details about the possibilities and use of this architecture can be taken from the website of WebLab-Deusto 9 10 . This contains a vivid documentation of the individual components, a demo to try out this lab, as well as various install guides that will simplify the installation and use of this system for beginners.
5.3 Conclusion: WebLab-Deusto in connection with VLL
In this section we discuss the opportunities that would be offered to us by WebLab-Deusto in connection with VLL2.0.
At the present time it is only possible to work on the devices of VLL in the traditional way or with VPN. As a result, it makes the collaboration and cooperation between the developers of this project very cumbersome and difficult. To change this, it is necessary to take a look at a new concept of a remote laboratory such as WebLab-Deusto and to provide it finally.
Also, the main aspect that speaks for using this lab is the ability to perform various experiments remotely and thus to enable the collaboration and cooperation by working on the same project from different parts of the world, to make the work more efficient. The idea behind this collaboration is to give the project partners user rights on the project and create appropriate user profiles for them. The parties would be able to perform various experiments on the devices of VLL2.0 over the Internet. That need to configure the respective files on the side of the server and client for creating a new experiment (as described on the website of WebLab-Deusto) and subsequently it is necesary to execute them. The coordination of these experiments is the task of WebLab-Deusto.
This lab would have the opportunity to coordinate the use of the devices with the queue management system, which uses an internal priority queue, if a capacity utilisation by too many users would happen. Even the generic reservation system may also take over the coordination of the experiments, by reserving every available experiment for a certain period of time.
9 http://code.google.com/p/weblabdeusto/ (call date 03.02.2012)
10 https://www.weblab.deusto.es/web/ (call date 03.02.2012)
The possibility of scaling would allow more concurrent users in VLL2.0. Simply, additional servers could be added and thus to distribute the load of the users more efficiently. For example the devices are fully utilized with 40 concurrent users. Now, if we add three other servers with the possibility of scaling, the load of each server could be reduced to ten users per server and thereby, the experiments could be processed much faster. Scaling is a feature that can only be used on virtual machines.
Furthermore, WebLab-Deusto can be easily integrated into facebook. The user has the possibility to provide the credentials of the lab to link the facebook account with the account of the WebLab-Deusto or to create a new user with the same rights of a demo user. To realize the integration it is necesary to create a facebook application that can be done for free. Than, it is necesary to configure the login server 11 This feature would increase the flexibility significantly by using WebLab-Deusto in VLL2.0.
6 Comparison of the Laboratories
In the following table we set the new concepts and technologies developed in this paper in relation to VLL1.0 and give an outlook for our new project of VLL2.0. The table illustrates four columns: VLL1.0, WebLab-Deusto, research and VLL2.0. For each column there is an own line with a particular content for each lab. If you compare the columns of VLL1.0 and VLL2.0, you see the improvements of VLL2.0 effected by the presented labs in this paper (WebLabDeusto and more general research). The major improvement occurs in the loginsystem and the extension by a community platform.
Table 2: Comparison of the laboratories
| | VLL1.0 | WebLab- Deusto | other laborato- ries | VLL2.0 |
|---|---|---|---|---|
| type of the lab | remote lab | remote lab | remote and vir- tual labs | remote and simu- lated labs |
| community | external with mendeley | integration in facebook | different realiza- tion | community plat- form with a in- tegrated access to the lab |
| used tech- nologies | web-based VPN method for access | web-based login-system | web-based login-system | web-based login-system Plasma |
11 http://code.google.com/p/weblabdeusto/wiki/4_0M1_Facebook call date 21.02.2012
The table 2 shows the different points in the components. The next capture brings these points together and descripe the conclusion for the Virtual Logistics Lab 2.0.
7 Conclusion
The Virtual Logistics Lab 2.0 should be developed into a collaboration platform. The users can communicate, see and use the lab. The platform should be more interactive. For this concept it is necessary to make modifications. At the technical side the complicated access by VPN has to be changed into a web access with a login-system and a user administration. Of course that includes access authorization and a strong security. There were different user groups like an internet forum. The users needs different access levels. So for example some researcher of the BIBA institute and the University of Bremen should have more rights, because they were involved in the project. Furthermore it was an important point to think about the payment by using the Lab. The platform should have more parts. One part should be the control of the lab. Another part should be the community. It should be a place for researchers who are interested in this topic. Probably we will have at least two categories. The first who has the access to the lab control and a second with an access to the community platform. The system has to develop so dynamically, that the groups can switch.
The community group should not be isolated from the Logistic Lab. An opportunity should be to get access to the Logistic Lab in agreement with the responsible persons. The users can see videos from experiments and get results, which he can use for his research. On the website the users can see appointments for the next live views of announced experiments. All the time there are webcams, so the user can see the Lab and imagine the system. Those things should form a special community.
The technologies of Web 2.0 should be integrated. Webcams and interactive functions should influence the platform. In a forum the users can discuss experiments and other topics. Some topics can elaborate scenarios, which there want to see at the Logistic Lab. In a first step they could be a function to place an advice and the responsible persons can see it. In a second step they can rent the Lab and control the scenario by themselves. And the other involved users can watch it over the webcams.
At a live experiment there should be a function to communicate synchronously. On the one side should be the stream and on the other side a chat system. It is possible to have an audio or a video conference, so the users can discuss in a synchronous way.
Some methods in research will never be changed. These traditional science methods are something like reference administration and saving notes. In the past the researcher has been working with pencil and paper. The new technologies especially the internet afford great opportunities to save the data in the internet. This function is need by all researchers and so it should be a part of the VLL platform.
8 Future Work
With the Virtual Logistics Labs 2.0 the research should be shifted to the internet. The special point of this platform should be the access to a real Lab over the Internet. So it should be possible to work with all functions of the platform with an internet connection and a web browser. The goal of VLL2.0 is to provide a unique web-based infastructure to enable collaboration between and remote access for researchers in logistic around the world.
A further idea is to integrate a system for project management and coordination. The users can upload files and write texts in a wiki. So it is possible to collaborate on the platform. The users can link the other parts of the platform like results of an experiment or documents. So teams can research at the platform, collect results and discuss topics.
The implementation of the points in this paper should be integrated in the existent system of the Virtual Logistics Lab from the first project. They have developed a web interface. On the website somebody can control the components on the lab. VLL 2.0 wants to integrate the ideas in this platform. In the first step the login-system should be realized. So it was probably possible to change the access with the VPN. After that the project can start with the other points. The project members have to design an user administration with different rights and access opportunities. Than the communication platform can be created around the remote laboratory.
Another point to improve the VLL Platform should be the integration from other systems. On the internet are systems for research, which are very popular. So it makes sense to use their functions. For example Google Scholar 12 is a search machine for searching in science articles. Furthermore there are ordered and managed science papers in the Mendeley plattform 13 in witch Google Scholar searches. Many websites have an access to databases with articles or books in libraries. The VLL 2.0 platform should use this possibilities, because the user should have the opportunity to connect these functions with the VLL functions.
References
1. C. P. Leao, F. Soares, H. Rodrigues, E. Seabra, J. Machado, P. Farinha, S. Costa. Web-Assisted Laboratory for Control Education: Remote and Virtual Environments.
2. X. Chen, G. Song, & Y. Zhang, (2010). Virtual and Remote Laboratory Development: A Review. Proceedings of Earth and Space, 3843-3852. ASCE.
3. D. H. Crocker. Standard for the Format of Arpa Internet Text Messages http://www.ietf.org/rfc/rfc822.txt (call date 03.02.2012)
4. D. Klein (2003). "Entwicklung eines Remote-Lab Experiments" auf Basis des Praktikumversuchs "Tropfender Wasserhahn - ein deterministisch-chaotisches System". In Heinrich-Heine-Universit¨at D¨uusseldorf.
12 http://scholar.google.com (call date 03.01.2012)
13 http://www.mendeley.com (call date 03.01.2012)
5. J. Garcia-Zubia, J. Irurzun, I. Angulo, U. Hernandez, M. Castro, E. Sancristobal, P. Orduna, et al. (2010). SecondLab: A remote laboratory under Second Life. IEEE EDUCON 2010 Conference, 6(4), 351-356. Ieee.
6. J. E. Corter, J. V. Nickerson, S. K. Esche, C. Chassapis. Remote Versus Hands-On Labs: A Comparative Study . 34th ASEE/IEEE Frontiers in Education Conference.
7. D. Lowe, C. Berry, S. Murray, & E. Lindsay. (2009). Adapting a Remote Laboratory Architecture to Support Collaboration and Supervision. (M. Auer, N. Gupta, & J. Pallis, Eds.)International Journal of Online Engineering iJOE, 5(SI1: REV2009), 103-108. International Association of Online Engineering.
8. M. Zviran, W. J. Haga (1999). Password security: an empirical study. In Journal of Management Information Systems. Vol. 15 Issue 4.
9. C. Franz, T. Fritz, A. Kreis, M. Meyer, M. M¨uller, A. Nawroth, C. Schr¨oder, A. Syed-Ahmed, I. Zhuchenko : Virtual Logistics Lab: A Framework for Rapid Prototyping and Remote Experimentation. In: Uckelmann, D., Scholz-Reiter, B., R¨ugge, I., Hong, B., Rizzi, A. (eds.) The Impact of Virtual, Remote and Real Logistics Labs – First International Conference, ImViReLL 2012, CCIS 282, pp. 26-37. Springer, Heidelberg, Germany (2012)
10. M. Myhill, M. Shoebridge, & L. Snook. (2009). Virtual research environments – a Web 2.0 cookbook? Library Hi Tech, 27(2), 228-238.
|
MINUTES
ENOCH CITY COUNCIL
July 16, 2014 at 6:00pm
City Council Chambers
City Offices, 900 E. Midvalley Road
Members present:
Staff present:
Mayor Robert Rasmussen-absent
Council Member Destry Griffiths-electronic
Council Member Steve Johnson
Council Member Kirk Lovell
Council Member Mike Olenslager
Julie Watson, Recorder
Dan Jessen, Treasurer
Nick Turner, City Atty.
Robert Dotson, City Mgr.
Earl Gibson, Pub.Works-absent
Council Member Gary Wilcken
Jackson Ames, PD Chief-absent
Public present: Doug Jones, Donna & Michelle Pritchard, Dilworth Armstrong, David Benkert, David Owens, Chief & Mrs. Paul Irons, Anne Zufelt, Weslie Graham, Cathy Wentz, Officer Mike Berg, Cassie Easley, Worth Grimshaw and Seth & Cordelle Morris
1. CALL TO ORDER OF REGULAR COUNCIL MEETING-By Council Member Olenslager at 6:00pm. He excused Mayor Rasmussen and asked for a motion to make him Mayor Pro-tem for tonight's meeting. Motion by Council Member Lovell. Motion seconded by Council Member Wilcken and all voted in favor. Council Member Griffiths will participate by speaker phone.
a. Pledge of Allegiance-Led by David Owens
b. Invocation-Audience invited to participate-Given by Officer Mike Berg.
c. Approval of Agenda for July 16, 2014-Motion to approve agenda by Mayor Pro-Tem Olenslager. Motion seconded by Council Member Lovell and all voted in favor
d. Approval of Minutes for July 2, 2014-Motion to approve minutes by Council
Member Johnson. Motion seconded by Council Member Wilcken and all voted in favor
e. Conflict of Interest Declaration for this agenda-none stated
2. DISCUSS OPEN BURN REGULATIONS AND RESTRICTIONS-Chief Irons
Chief Irons came forward asking what the question is from the Council. Council Member Wilcken said a resident came to Council meeting a few months ago and cited EPA regulations that say burning is allowed more often than the City says it is allowed. Also the open burn takes place in the windiest month of the year and that is a problem. Chief Irons explained burn permits are issued thru the State Forester and you have to have a permit from him to burn at times other than April 15 th thru May 15th. Currently he is not allowed to issue the permits in incorporated cities. Agricultural interests can burn anytime as long as they notify the local FD, meet air quality standards and have a fire plan. The EPA says 30 days are open for burning from April 15th to May 15th so the wind will blow the smoke out and that is why they do it in that time frame. If you prepare in advance which you will get good days to burn.
Chief Irons said Representative Evan Vickers is working on a new fire management plan to loosen some of the regulations for burning in incorporated areas and he suggested we wait to discuss it until after the legislative session in 2015. He said he understands we live on bigger acreage in Enoch and there is a need to burn weeds but the spring is the only legal time right now. After the next legislative session we may have more leeway for the Fire Marshal to issue burn permits. There was more discussion of how the burn permits work and that they are issued to individuals and not the City. The Fire Marshal would have to inspect the site and then issue the permit. Even with a permit if damage is caused the person burning pays the costs. People still
1
have to call the FD and permits are only for vegetation burning and not building materials or other garbage. Mayor Pro-Tem Olenslager thanked Chief Irons for the good information.
3. DISCUSS RECYCLING MARKET DEVELOPMENT ZONE
Mayor Pro-Tem Olenslager asked for more discussion adding the agreement was emailed to the Council for review. City Manager Dotson said when Jake Hardman from the Governor's Office was here last meeting he emphasized the other Enterprise Zone too but these are two separate programs. We are working with Cedar City and Iron County thru Brennan Wood of the Cedar City Economic Development Department. This program is designed to help with the cost of special equipment in the form of tax credits. He said our General Plan uses language to encourage and promote business. The agreement includes zoning maps and this zone would be in the industrial and regional commercial zones where businesses who could take advantage of the program would be more likely to be located. He cited Earl Sevy's Diffuser World as an example of a business who uses recycled materials and could benefit from this program. We are required to contribute in the form of business friendly ordinances and staff to provide assistance for permits and processes which we already do. Informing businesses of this program is also what we would do thru the Economic Development Committee. The compliance is overseen by Governor's Office of Economic Development, not the City. Cedar City and Iron County have renewed the agreement as required every five years. We have not been involved until now and the application awaits our resolution to proceed.
Council Member Wilcken confirmed this costs the City no money. City Manager Dotson said we contribute by changing or establishing policies to encourage this type of program. Our Economic Development Committee is looking at our codes to make them less restrictive. By passing this resolution we are allowing for a business to apply for this tax credit if it fits their needs. Council Member Wilcken asked why would want to limit this to certain areas. City Manager Dotson said the equipment is industrial in nature and is not anything a small home business would need so we are specifying industrial and regional commercial zones. This also could be an encouragement for businesses to locate here to take advantage of the program thereby creating jobs. It is another tool for making Enoch business friendly and is a benefit to business.
4. RESOLUTION NO. 2014-07-02 A RESOLUTION AUTHORIZING APPLICATION TO THE GOVERNOR'S OFFICE OF ECONOMIC DEVELOPMENT FOR CREATION OF A RECYCLING MARKET DEVELOPMENT ZONE IN ENOCH CITY
Mayor Pro-Tem Olenslager asked for a motion. Council Member Lovell made a motion to approve Resolution No. 2014-07-02, a resolution authorizing application to the Governor's Office of Economic Development for creation of a recycling market development zone in Enoch City. The motion was seconded by Mayor Pro-Tem Olenslager and a roll call vote was held as follows:
Council Member Griffiths-yes
Council Member Olenslager-yes
Council Member Johnson-yes
Council Member Wilcken-yes
Council Member Lovell-yes
Motion passed unanimously
Council Member Wilcken said on the record he still has heartburn that government has the ability to take from some and redistribute to others. Council Member Lovell said we get caught up in that idea but really we are trying to allow everyone to have the most use of the money they pay in taxes by getting some of it back in the form of this tax credit. In this case we are taking power from a taxing entities and leaving money with the individuals in business who decide to apply for this tax credit. This is the individual's tax money and they can get some of it back if they comply with requirements and do the paperwork. Council Member Wilcken said he is good with that and did not want to do anything to disadvantage businesses. Council Member
Lovell said we want to offer every opportunity to our businesses to keep their own money. Mayor Pro-Tem Olenslager said this discussion is philosophical and should be discussed at another time.
5. DISCUSS MUTUAL AID INTERLOCAL AGREEMENT FOR UTAH PUBLIC WORKS EMERGENCY MANAGEMENT AND AUTHORIZE MAYOR TO SIGN AGREEMENT FOR ENOCH CITY
Mayor Pro-Tem Olenslager asked City Manager Dotson about this saying we have many similar interlocal agreements already. City Manager Dotson outlined this agreement adding it lays it out how we ask for help, pay for help and so on. The agreement is thru the Utah Public Works Association and was written by several attorneys. It adds no new requirements other than what we already do regarding emergency exercises. There was a brief discussion of the details of the agreement which in no way require the City to upgrade or purchase any equipment. We only participate if we are able to aid other communities with the existing equipment we have. This is an aid to logistics and sets a standard in the event of a disaster. We already have much of this in place from other similar agreements with other agencies. This addresses "public works" specifically and is a process for requesting assistance, getting assistance and paying for it. Mayor Pro-Tem Olenslager asked for a motion to authorize Mayor Rasmussen to sign the agreement. Council Member Wilcken so moved. Motion was seconded by Council Member Johnson and all voted in favor.
6. PRESENTATION OF NEW CITY WEBSITE AND LOGO-Rob Dotson
City Manager Dotson previewed the new logo and website. Our current logo has ten colors and is costly to reproduce. Design professional and Enoch resident Cordell Morris volunteered to help us and he developed a logo that is clean and simple and has only two colors, blue and white. There was more discussion of the design and that this professional looking logo has "pazazz". We have waited to order the new letterhead until we could decide on a logo. Dan said the shape is consistent with current trends for "branding" and can be any color for different uses. City Manager Dotson went on to show the new website and give details of its capabilities including access to forms, bill pay, City documents like Code, Zoning and Subdivision Ordinances, meeting agendas, minutes and recordings to list a few things. It is 100% in our control and we can change and customize it at a cost of $6 per month to use this web creation site. It can also be viewed with a phone app. City Manager Dotson said he would like the Council's authorization to go ahead with finalizing the website and logo approval so we can order letterhead. The Council agreed it was a big improvement and thanked City Manager Dotson for his efforts with consensus to go ahead.
7. PUBLIC COMMENTS- Mayor Pro-Tem Olenslager invited comments.
David Benkert said there is a very dangerous intersection at Midvalley and Minersville. He asked if we have talked to UDOT about getting a stop light. City Manager Dotson said they have done traffic studies every few years and there are not enough accidents to warrant a stop light. Mayor Pro-Tem Olenslager said our PD has slowed traffic down. The painted strip was covered over by paving but will be re-done before the new store opens. Council Member Wilcken added the store may change traffic flows and then a stop light may be warranted.
Donna Pritchard said there is a vacant house at Quickdraw and Midvalley that has been empty for two years and is totally overgrown. What is the procedure to find out who owns it and clean it up? City Manager Dotson said we can check with the tax office and send a letter requiring the owner to clean it up. If we are ignored then there is a process for the City to do the work and lien the property. She added it is an eyesore, a fire hazard and weeds are clogging the drainage ditch. That is just one place of many in the City that are abandoned.
8. CORRESPONDENCE-
City Manager Dotson said we got a letter from the Second Amendment Foundation in Bellevue WA. It came to their attention that Enoch regulates firearms in our code and they suggested that to avoid lawsuits we should make some changes. They cited two instances. One is regarding firearms in City parks for which there is a good reason and the other is regarding concealed carry of weapons. He has talked with Chief Ames and will bring some changes to the Council adding it is simple and helps us comply with the second amendment. Our attorney will review the changes before it comes to the Council.
Dan said it has come to our attention that animal control is not legally compliant when we adopt out animals. Officer Mike Berg said if we adopt out an animal that is not spayed/ neutered we are supposed to charge a $25 deposit and when the new owner gets the animal spayed/neutered and gives proof we refund the fee. Instead we have been doing this with a contract with new owners which we follow up on to be sure the pet is spayed/neutered. This requirement was brought to our attention by Cedar Animal Control and we need to comply with this State law. The problem lies in the accounting procedures which would affect the budget and cause issues with receiving money, depositing and keeping track of it and then refunding it. This creates accounting headaches and will affect budget line items. We are trying to work out the details and will keep the Council posted.
9. COUNCIL/STAFF REPORTS
Council Member Lovell thanked everyone for their help on the 4 th of July. He could not spend the time but staff took up the slack and we had a good turnout for the race.
Council Member Johnson asked about the Parowan City resolution the Mayor passed out at the last meeting. Julie said it will be on next agenda.
Officer Mike Berg said the "Tour of Utah" bike race will be coming down Minersville Highway on Monday August 4 th at about 11:00am. The PD will be responsible for traffic control in our jurisdiction. We will get volunteers to place traffic cones and would like to have families and cars to block access onto Minersville Highway for a few minutes to watch the racers and cheer them on. The major intersections will have officer's vehicles blocking them. Ten minutes before the race, traffic on Minersville Highway will be stopped and the race will pass thru Enoch in less than 5-6 minutes so there will be no major inconvenience.
City Manager Dotson reported we had a closed POD exercise with the SW Utah Public Health Department on dispersing medications in the event of a pandemic or medical emergency. He gave details of how it worked. By providing meds for staff and their families it enables staff to stay on the job for continuity of government in an emergency. This was an opportunity to learn and to fix issues that came up with communications, dispersal and paperwork. He also reported the RFP was advertised for the test well in the Iron County Today. We will open bids on the 28 th . There is a mandatory location meeting for bidders. City Manager Dotson introduced Cordelle Morris who designed the new logo and helped with the website.
There were no other comments from Council or staff.
10. ADJOURN-Motion to adjourn by Council Member Wilcken. Motion seconded by Council Member Johnson and all voted in favor. The meeting ended at 8:10pm.
___________________________________
Julie Watson, Recorder Date
|
FINAL SCOPE
DRAFT SUPPLEMENTAL GENERIC ENVIRONMENTAL IMPACT STATEMENT FOR THE COMPREHENSIVE PLAN FOR THE DEVELOPMENT (REUSE & REVITALIZATION PLAN), INCLUDING AMENDMENT TO THE TOWN OF RIVERHEAD COMPREHENSIVE PLAN, AMENDMENT TO ZONING CODE AND MAP, AND SUBDIVISION OF EPCAL PROPERTY AT CALVERTON
SOUTH OF NEW YORK STATE ROUTE 25 (MIDDLE COUNTRY ROAD) EAST OF WADING RIVER MANOR ROAD CALVERTON, TOWN OF RIVERHEAD, SUFFOLK COUNTY
Overview
This document is a Final Scope for the Draft Supplemental Generic Environmental Impact Statement (DSGEIS) for the comprehensive development plan and subdivision of the EPCAL property at Calverton, which also involves, among other things, an amendment to the Comprehensive Master Plan, the creation of a planned development zoning district, a subsequent change of the zoning classification of certain parcels (the subject property) designated on the Suffolk County Tax Map as District 600 – Section 135 – Block 1 – Lots 7.1, 7.2, 7.33 and 7.4, subdivision and future development of such parcels in accordance with the planned development zoning district. A Final Environmental Impact Statement (FEIS) entitled Final Environmental Impact Statement: Transfer and Reuse of the Naval Weapons Industrial Reserve Plan, Calverton, New York, December 1997 (hereinafter the "1997 FEIS") was prepared by the United States Navy in 1997, pursuant to the National Environmental Policy Act (and as a Generic Environmental Impact Statement [GEIS] for the purposes of the State Environmental Quality Review Act [SEQRA]), for the overall Calverton property, a portion of which comprises the current subject property. In addition, supplemental studies based upon the 1997 FEIS/ GEIS were performed in 2004 and 2005. The Draft Scope, which was the subject of a public scoping hearing and written comment period, was based upon the issues analyzed in the 1997 FEIS/ GEIS, and this Final Scope has supplemented the analyses set forth in the Draft Scope based on comments received during the scoping process.
The subject property consists of 2,323.9 acres, and is situated on the south side of New York State Route 25 (Middle Country Road), north of Grumman Boulevard and east of Wading River Manor Road, in the hamlet of Calverton, Town of Riverhead, Suffolk County, New York.
To ensure that the DSGEIS will address all significant issues, formal scoping will be conducted pursuant to 6 NYCRR §617.8. This Final Scope provides a description of the proposed action and the proposed content for the DSGEIS. This Final Scope has been p repared in accordance with 6 NYCRR §617.8(f) and sets forth the following:
- Brief description of the proposed action;
- Potentially significant adverse impacts;
- Extent and quality of information needed to adequately address potentially significant adverse impacts;
- Initial identification of mitigation measures;
- Reasonable alternatives to be considered;
- An identification of the information/ data that should be included in an appendix rather than the body of the draft EIS; and
- Those prominent issues that were raised during scoping and determined to be not relevant or not environmentally significant or that have been adequately addressed in a prior environmental review.
Description of the Proposed Action
The proposed action consists of the creation and adoption of a comprehensive development plan (Reuse & Revitalization Plan); amendment of the Comprehensive Master Plan; creation of a planned development zoning district; the amendment of the zoning code and zoning map of the Town of Riverhead to rezone the 2,323.9-acre EPCAL property to that planned development zoning district; and the subdivision of the EPCAL property into 50 lots for ultimate redevelopment with a mix of uses (e.g., business [commercial and retail], industrial, residential, recreation, utilities, open space).
As the 2,323.9-acre EPCAL property is expected to be redeveloped over a multi-decade horizon, it is not possible to determine the precise uses or the precise square footage of each use that may be developed. Moreover, as indicated in the Real Estate Market Assessment Calverton Enterprise Park (EPCAL) Riverhead, New York, prepared by RKG Associates, Inc. in association with Jeffrey Donohoe Associates LLC, dated December 8, 2011 (the "Market Study"), there are a variety of different uses that would be feasible over the multi-decade redevelopment horizon, including, but not necessarily limited to:
- Multi-Modal Freight Village
- Agri-Business/ Food Processing
- High-Tech Business/ Green Technology/ Research Park
- Mixed Use Planned Development
Thus, in order to ensure a comprehensive evaluation of the entire action (including the impacts of redevelopment in accordance with the proposed subdivision) as required pursuant to the State Environmental Quality Review Act (SEQRA) and its implementing regulation s at 6 NYCRR Part 617, a conceptual development plan and subdivision plan will be prepared. The DSGEIS will calculate a theoretical development program so that the environmental impacts associated with that theoretical development program can be fully evaluated in the DSGEIS.
As the EPCAL property includes regulated wetlands, land within the Peconic River Wild, Scenic and Recreational Rivers System (WSRRS) corridor, and habitat for endangered species, the subdivision provides for maintenance of buffers of a minimum of 1,000 feet around designated wetlands (to accommodate tiger salamander habitat), and also provides for approximately 596.4 additional acres of land for habitat preservation (458.1 acres of existing grassland to be maintained, and another 138.3 acres to be restored and/ or designated for habitat preservation) including but not limited to habitat for the short-eared owl, northern harrier and the upland sandpiper. In addition, the subdivision provides a minimum preservation of 59.5± percent of
natural area (including the aforementioned 596.4 acres identified in the preceding sentence, and an additional 787.3 acres of existing woodland to be preserved). This information will be fully documented in the DSGEIS.
The following approvals have been preliminarily identified as being required to implement the proposed action:
| | Agency | Approval |
|---|---|---|
| Town of Riverhead Town Board | | |
| Town of Riverhead Planning Board | | |
| Town of Riverhead Sewer District | | |
| Town of Riverhead Water District | | |
| Town of Riverhead CDA | | |
| Town of Riverhead Highway Department | | |
| Wading River Fire District Manorville Fire District | | |
| Suffolk County Department of Health Services | | |
| Suffolk County Department of Public Works | | |
| Suffolk County Planning Commission | | |
| Suffolk County Water Authority | | |
| New York State Department of Transportation | | |
The section of the DSGEIS entitled Description of the Proposed Action will provide a thorough description the proposed action and a brief description of the existing conditions on the 2,323.9± acre site. The Description of the Proposed Action section of the DSGEIS will specifically include information relating to:
- Description of the proposed action.
- Site and project history and current level of activities on the project site.
- Physical characteristics of the site, such as the boundaries, size, and existing pervious and impervious areas. Existing lots and uses will be graphically depicted.
- Existing conditions, including surrounding land uses and road/ highway network.
- Existing covenants and restrictions or other encumbrances.
- Description of the proposed planned development zoning district and the specific uses and maximum potential development that can occur on the subject property under such zoning district.
- Description of the proposed subdivision, including a depiction of all proposed lots.
- Information regarding the proposed conceptual development, including zoning and build-out data (e.g., areas of buildings, pavement, recreational areas, natural areas, landscaping, buffers, etc.).
- Breakdown and description of the various open space areas to be provided, including acreages, and any other relevant factors.
- Utilities and existing on-site and adjacent infrastructure systems.
- Discussion of proposed traffic and circulation plan.
- Infrastructure requirements, including water supply, wastewater treatment, stormwater management, and energy supply.
- Project purpose, need and benefits. In addition, the DSGEIS will discuss the Town's goals and objectives with regard to the rezoning and redevelopment of the subject property.
- Demolition requirements and any hazardous materials related thereto.
- Project timing.
- Required Local, County, State and/ or Federal approvals.
Potentially Significant Adverse Impacts
The DSGEIS will be prepared in accordance with this Final Scope and in accordance with 6 NYCRR §617.9(b). Based upon review of the site, the proposed subdivision and conceptual plan, the June 2013 Environmental Assessment Form (EAF) and the 1997 FEIS, a Positive Declaration was issued by the Town Board of the Town of Riverhead on June 18, 2013. The environmental issues listed below and to be included in the DSGEIS are based upon those included in the 1997 FEIS as well as comments received on the Draft Scope. The identified potential adverse impacts as well as other relevant issues will be fully addressed in various DSGEIS sections, as briefly outlined below.
Land Use and Zoning
This section of the DSGEIS will describe existing land use and zoning on the subject site and in the surrounding area. As part of this section, relevant land use (comprehensive) plans, including, but not limited to, the 1996 Comprehensive Reuse Strategy for the NWIRP at Calverton, the 1998 Calverton Enterprise Park Urban Renewal Plan, the 2003 Town of Riverhead Comprehensive Plan, and the Central Pine Barrens Comprehensive Land Use Plan, and policies, will be reviewed.
This section will describe the proposed new zoning district, its adoption by the Town of Riverhead and the subject property's placement into that zoning district. In addition, this section will provide a detailed description of the proposed subdivision and conceptual development plans. The DSGEIS will describe and quantify the areas to be developed with buildings, parking areas, roadways, walkways, recreational areas, etc., as well as their uses, and will compare these data to the existing conditions. In addition, this section will discuss existing and proposed natural areas and recreational areas to be maintained or created on the site (including but not limited to a trail that will generally traverse the perimeter of the site.
In addition to examining the proposed uses, the DSGEIS will describe existing on-site uses that would be removed, displaced (if any) or maintained (e.g. recreational facilities). This section will also discuss public access to and maintenance/ ownership of open space, non motorized recreational trails and paths and recreational areas to be created or maintained onsite.
Based on the foregoing information, the DSGEIS will assess the impacts and compatibility of the new proposed zoning district (including permitted uses), the change of zone, and the subdivision and conceptual site development on land use and zoning (including bulk requirements), and will examine the established development policies, patterns and neighborhood and area character.
In addition to the above, the DSGEIS will discuss potential land use impacts of the proposed action upon Peconic Headwaters. Although the assessment in this section of the DGEIS would predominantly relate to the potential land use and community character impacts upon such lands, additional discussion of the Peconic Headwaters w ould be included within the
"Water Quality and Hydrology" and "Terrestrial and Aquatic Environment" sections of the DSGEIS.
Socioeconomics
The socioeconomic analysis will provide an overview of the demographics and housing market trends that existing within the regional economy. In addition, labor market conditions in the Long Island region will also be presented. An analysis of the anticipated growth sectors that may have significance for the EPCAL site will be presented. The baseline analysis will also include a review of real estate conditions in the office and industrial markets to determine competitive placement of the property. The socioeconomic analysis will also include a market study, which evaluates various uses (including potential specialt y uses) that may be viable for the subject property.
An absorption study was conducted by RKG Associates, Inc. The results of that study, along with the Real Estate Market Assessment prepared by RKG and dated December 8, 2011, will be summarized and incorporated into the DSGEIS. These studies have been used as the bases for formulating the conceptual development plans and time horizon that are to be analyzed in the DSGEIS.
An analysis of the potential fiscal impacts of the proposed action will be pr epared. Specifically, using information and projections prepared by the Town tax assessor, an analysis of potential property tax revenues associated with the potential development of the subject property will be presented. Projected property tax revenues will be indicated for each applicable taxing jurisdiction. In addition, this section will examine potential construction and permanent job creation as a result of future development resulting from implementation of the proposed action.
Community Facilities and Services
The expected impact on community services will be evaluated in this section of the DSGEIS. Specifically, the DSGEIS will identify all community service providers and assess the impacts of the proposed action on fire protection services (including a discussion of how service response would be integrated amongst the three fire districts that serve the site), ambulance and emergency medical services, health care, police protection, solid waste collection and disposal and education facilities. The impact assessment will include consultation with the various service providers to determine the existing facilities and ability to serve the future conceptual development.
Transportation
This section of the DSGEIS will describe the existing traffic conditions and evaluate the effects of the proposed action on the surrounding area roadways and public transportation systems. A Traffic Impact Study will be prepared for the study area, which will include the following items:
- Existing roadway features in the study area, including the number, direction and width of travel lanes, posted speed limits, maintenance jurisdiction, parking regulations, signs and traffic control devices will be identified.
- Manual turning movement counts will be conducted on one typical weekday during the AM commuter peak period (7:00 a.m. to 9:00 a.m.) and PM commuter peak period (4:00 p.m. to 6:00 p.m.) and mid -day on a typical Saturday (10:00 a.m. to 2:00 p.m.) at the following intersections:
1. NYS Rte. 25 at NYS Rte. 25A
2. NYS Rte. 25 at Edwards Avenue
3. NYS Rte. 25 at Burman Boulevard/ Site Access
4. NYS Rte. 25 at Wading River-Manor Road
5. NYS Rte. 25 at Manor Road/ Splish Splash Drive
6.
7. Wading River – Manor Road at North Street
8. Wading River-Manor Road at LIE North Service Road (NSR)
9. Wading River-Manor Road at LIE South Service Road (SSR)
10. Edwards Avenue at River Road
11. Grumman Boulevard at Wading River– Manor Road
12. Grumman Boulevard at Burman Boulevard
Other roadways (i.e., Raynor Road, North Street/ Mill Road, Wading River Manor Road, River Road, Old River Road, Line Road, and Connecticut Avenue) within the general study area will be examined for possible impacts in a qualitative manner.
- Automatic Traffic Recorders (ATRs) will be placed for a one week period at the following locations:
o NYS Route 25 west of site access
o NYS Route 25 east of site access
o Burman Boulevard south of NYS Rte. 25
o Burman Boulevard north of Grumman Boulevard
- The collected data, as described above, will be compiled, and analyses of the existing operating conditions during the peak Weekday AM and PM periods and the mid day Saturday period will be conducted using the appropriate methodology presented in the latest edition of the Highway Capacity Manual.
- A qualitative evaluation of the seasonal nature of traffic conditions in the study area will be performed. Many of the roadways in the study area experience seasonal fluctuation in traffic volumes in the summer and autumn related to tourism and agriculture. These peaks, unrelated to the development of the EPCAL property, will be discussed in the context of variations in background traffic levels and their effects on traffic conditions in the study area.
- Current traffic accident data for the most-recent three-year period available for the study intersections will be obtained from the New York State Department of Transportation (NYSDOT), and summarized. Any significant trends/ patterns that might be impacted by the proposed development will be identified and the need for corrective measures evaluated.
- The latest available information from appropriate governmental agencies will be obtained regarding any planned roadway/ intersection improvement projects in the study area. Specifically, the applicants will contact the Town of Riverhead, the Suffolk County Department of Public Works (SCDPW), and the NYSDOT. Any such improvements, based upon responses received, will be incorporated into the future "No-Build" and "Build" analyses.
- The "No-Build" base traffic conditions will be estimated by app lying a background traffic growth factor using NYSDOT's LITP rates to the existing traffic volumes. In addition, traffic generated by other planned developments in the vicinity of the site will be included in the "No-Build" base condition. The location and nature of such proposed projects will be determined through consultations with the Town of Riverhead.
- Trip generation estimates will be prepared for the proposed project (for two "Build" condition scenarios) based upon information obtained from the Institute of Transportation Engineers (ITE) Trip Generation Manual, 9th edition. Appropriate internal trip capture credits and/ or pass-by credits, if applicable, will be applied to the site generated traffic upon agreement with the Town.
- Using previous studies and census data, the population distribution in the vicinity of the site, and existing travel patterns, trip distribution patterns will be determined and site-generated traffic will be assigned to the roadway network in the study area.
- The site generated traffic will be added to the "No-Build" volumes at each of the study intersections to determine the "Build" conditions. "Build" conditions will be conducted for the year 2025 and for full occupancy at a future year to be determined. The "Build" conditions will then be analyzed using SYNCHRO, version 8 to determine the relative impacts of the proposed project on surrounding roadways.
- An evaluation of the proposed site access and overall site layout with regard to access and internal circulation will be conducted.
- Evaluation of potential temporary access points to subdivision parcels directly adjacent to NYS Rte. 25 will be performed. Given the potential for development of some parcels adjacent to the state highway prior to the completion of the internal roadway system, it may be necessary to provide for access to individual parcels directly to NYS Rte. 25 for some period of time. General recommendations will be developed and the process for obtaining access to the state highway will be discussed.
- An evaluation of buffers, setback requirements, and easements for lots located within the proposed subdivision situated on and along Route 25 to accommodate future potential traffic and transportation improvements along Route 25.
- Parking requirements will be developed for the theoretical uses to be considered for the proposed subdivision.
- An inventory of available public transportation within the study area will be provided. Specifically, bus routes serving the site, and the frequency of such service, will be provided.
- The walkability of the proposed development, (including a discussion of internal and external pedestrian circulation) will be evaluated. A discussion of the potential bicycle use and internal and external bicycle facilities will be included.
- Potential impacts to study area roadways during construction will be evaluated. This will include a discussion of the anticipated construction schedule (as available), construction vehicle traffic and access, and recommended routes for construction vehicles to minimize impacts on area roadway.
- The need for mitigation measures will be determined based upon the results of the analysis.
This section of the document will also discuss existing air traffic and any anticipated impacts to air traffic.
Air Quality
The existing air quality of the area will be evaluated in this section of the DSGEIS. Monitoring data available from the NYSDEC will be used to define existing air quality levels. Existing levels will be compared to Federal and State air quality standard s. Since the project is located in a non-attainment area for ozone and a maintenance area for carbon monoxide, air quality emission analysis to satisfy the Transportation Air Quality Conformity Regulations will be undertaken under the guidance of the NYSDOT. The DSGEIS will describe the methods and procedures specified by the NYSDOT Environmental Procedures Manual (EPM) air quality chapters with respect to mobile sources.
As required, the DSGEIS will address transportation conformity hot-spot requirements for this pollutant, as described in the Transportation Conformity Guidance for Qualitative Hot-Spot Analysis in PM2.5 and PM10 Nonattainment and Maintenance Areas and subsequent FHWA/EPA guidance documents.
The DSGEIS will address emissions of Mobile Source Air Toxics (MSATs) that may result from the proposed action as described in the FHWA document Interim Guidance Update on Mobile Source Air Toxic Analysis in NEPA Documents, dated September 30, 2009.
Following NYSDOT procedures, a screening analysis will be used to determine the intersections requiring a detailed microscale air quality analysis. The proposed development will generate site traffic, and its impact on air quality levels will be assessed. Once traffic engineering data are available, intersections with significant increases in traffic or significant decreases in level of service will be identified. From that list of intersections, select intersections will undergo detailed air quality analyses following NYSDEC protocols and will follow guidance presented in the NYSDOT EPM air quality chapters. The list of intersections undergoing detailed analysis will be presented for approval to the lead agency, prior to undertaking the analyses. The analyses will contain existing, no-build and build scenarios.
Where air quality impacts are projected to exceed Federal or State guidelines, the traffic engineers will be consulted, and mitigation measures will be proposed to address such impacts.
With respect to stationary sources, emissions could result from the use of boilers for heating and hot water in newly-constructed buildings on the site. It is assumed that the existing steam/ condensate facility that is located within the off-site Calverton Camelot industrial subdivision would not be used to supply heat or hot water required for the proposed development. The proposed action does not anticipate any other facility on -site to supply power demand. However, if any individual emissions sources would be generated in the future, the source would be required to comply with relevant air-permitting regulations to ensure no significant adverse impact to air quality would occur. Although it is not expected that individual buildings sources would be major sources of air emissions, a qualitative analysis will be presented in this section of the DSGEIS.
As a component of the air quality analyses to be conducted for the build condition, a qualitative assessment of greenhouse gases (GHGs) would also be performed (as no users have been identified and buildings will not be designed until after the SEQRA process is completed and the property is rezoned, it is not possible to prepared a detailed GHG analysis). Direct and indirect sources that could be expected to be introduced to the site as a result of the proposed action would be identified, to the extent practicable. The DGEIS will identify minimum design features that would be required for each development, in order to minimize potential impacts from GHGs.
Finally, future construction activity air quality impacts will be qualitatively addressed. Dust controls during construction will be presented. Other sources of air emissions will also be qualitatively evaluated as part of the environmental review process.
Noise
The DSGEIS will document existing noise levels and sources on the subject property and in the surrounding area, through site-specific noise monitoring. In addition, a noise impact assessment will be conducted to evaluate the noise levels with the proposed project (both short-term construction-related noise, and long-term operational noise). The assessment of project-induced traffic noise and traffic-related construction noise will follow the methodologies outlined in the NYSDOT Environmental Procedures Manual (or latest procedural document). Noise associated with the proposed action will be compared to existing noise levels and noise associated with the former use of the subject property as an aircraft testing facility. This assessment will consider existing and proposed air traffic.
The general characteristics of sound and noise analysis will be presented in this section of the DSGEIS. In addition, Federal Highway Administration (FHWA), NYSDOT and Town of Riverhead noise impact criteria will be discussed.
Using land use and zoning maps, noise-sensitive land uses adjacent to traffic count locations and other noise-sensitive land uses will be candidate locations for noise monitoring and impact analysis. It is estimated that up to three locations will be selected for noise
monitoring during the relevant study periods. The results of the site-specific noise monitoring will be presented and evaluated.
The FHWA Traffic Noise Model (TNM) will be used to calculate sound levels associated with the traffic generated by implementation of the proposed action. The noise monitoring data will be used to validate the TNM model. The TNM input data will include peak noise period traffic volumes, vehicle speeds, and roadway and receptor geometry. The attenuation effects of vegetation, trees, and building structures will also be included in the modeling analysis. Based upon this information, TNM will calculate sound levels at each receptor location within the study area for existing and future build conditions.
Projected mobile-source noise levels will be compared to applicable standards and guidelines including those of the Town of Riverhead Noise Control ordinance, Federal Highway Administration, NYSDOT and the United States Department of Housing and Urban Development. At locations where impacts are expected, mitigation measures will be identified to minimize noise impacts. Mitigation measures for avoidable impacts will be examined, and feasible abatement measures will be recommended, as necessary.
For purposes of comparing potential future noise impacts with historical aircraft noise, noise contours at the Calverton NWIRP property for the year 1991 will be presented. Operations in 1991 mainly involved military jets. These historic noise contours will be compared to the future noise levels expected as a result of the proposed action.
In addition, the potential for future stationary source sound levels will be discussed qualitatively, and with respect to the relevant recommendations and requirements of federal and Town standards.
Finally, impacts on noise levels during construction would include noise from construction equipment operating at the site and construction vehicles/ delivery vehicles traveling to and from the property. Noise impacts will vary widely depending upon the phase of construction. A qualitative analysis of the anticipated construction noise impacts will be presented in this section of the DSGEIS.
Infrastructure
The DSGEIS will include a discussion of the existing infrastructure and associated easements on the site and those which may be located off-site, but currently serve the property. The Parsons, Brinckerhoff, Quade & Douglas analysis (1995) in conjunction with the HR&A Opportunities and Constraints Analysis (2005) will be used as the basis for the evaluation. The analysis presented in this section of the DSGEIS will focus on the following: water supply system (including irrigation), sanitary sewer system including sewage treatment, stormwater drainage, natural gas, steam/ condensate, and electricity.
The impact to these infrastructure systems and the potential need for expansion, upgrading, and/ or modification, will be discussed with respect to the proposed conceptual development.
Cultural Resources
This section of the DSGEIS will summarize existing information with respect to the presence (or absence) of historic or archaeological resources on or adjacent to the subject property. In addition, the agreement between the Town of Riverhead Community Development Agency and the New York State Office of Parks, Recreation and Historic Preservation with respect to the rights and responsibilities associated with preservation and the future d evelopment of the property will be discussed herein.
This section will summarize the restrictive covenants included in the original deed for the land conveyed by the U.S. Navy to the Town regarding Indian artifacts or remains.
Once these issues are set forth in the DSGEIS, an analysis of the future development of the subject property upon implementation of the proposed action with respect to these rights and responsibilities will be evaluated.
Geology, Soils and Topography
Relevant documentation will be reviewed to determine the geological characteristics of the site and surrounding area.
The Soil Survey of Suffolk County will be used to determine the soil types on the site, and the characteristics of such soils. The suitability of the soils (stability, quality, etc.) and potential engineering limitations for the proposed site alterations and proposed uses on the site will also be examined. This published data will be supplemented with site-specific soil borings, the results of which will be discussed in the DSGEIS, as available.
The DSGEIS will also include topographic information obtained through review of relevant USGS maps and site-specific topographic surveys, as available.
A narrative description of potential impacts to soils and topography and strategies to minimize such impacts will be included in the DSGEIS. A description of measures that will be implemented in the future to mitigate impacts due to potential erosion and off-site sediment transport will be presented. The DSGEIS will also discuss the potential changes in topography that may result from future development resulting from implementation of the proposed action.
Water Quality and Hydrology
Regional and local hydrogeological conditions, including a discussion of the aquifers and general water quality (using the results of the Final Long Island Groundwater Management Plan) will be discussed in this section of the DSGEIS. Depth to groundwater and direction of groundwater flow, based upon the groundwater divide will also be determin ed.
The subject property is located in Hydrogeologic Zone III, as identified in the Long Island Comprehensive Waste Treatment Management Plan (the "208 Study"). The proposed actions' consistency with the relevant recommendations of the 208 Study will described herein. The existing on-site groundwater wells that were used with respect to drinking water supply for the former development, and their current status, will be described. The need for the Riverhead Water District to seek approvals for additional public water supply wells at the site to serve the future development, and the hydrologic effects associated with the additional pumpage from same, would be assessed. Such analyses would assess the potential for the additional pumpage to affect water levels at the on-site surface waters, including any surface waters that are documented as breeding habitat for the tiger salamander. Further, the effects of the proposed action upon the overall water budget of the site, including impacts associated with stormwater and wastewater management, would be assessed. Potential effects of additional groundwater pumpage on groundwater contamination and remediation efforts will be discussed.
As the subject property is located within the Central Suffolk Special Groundw ater Protection Area (SGPA), a Critical Environmental Area, a discussion of the proposed action's potential impact on such resources will be included in this section of the DSGEIS. A discussion of the relationship of the SGPA to the Central Pine Barrens and the potential impacts of the project on same will be discussed in this section of the DSGEIS.
The DSGEIS will also address potential impacts to water quality from landscaping that would require the use of fertilizers and pesticides. The potential to m aximize the use of nonfertilizer dependent species will be assessed. The potential use of pervious surfaces in place of typically impervious surfaces will also be examined.
With respect to surface water, the subject property is located in the Peconic River drainage basins. Therefore, this section of the DSGEIS will discuss the attributes of the drainage basin and the river, as well as the requirements of the New York State Wild, Scenic and Recreational River System, of which the Peconic River is a part. Potential water resource impacts upon the Peconic Headwaters would also be addressed in this section. In addition, this section will provide a summary of the relevant portions of water resource management plans (e.g., the Peconic Estuary Comprehensive Conservation and Management Plan, Brown Tide Comprehensive Assessment and Management Program).
Furthermore, this section of the DSGEIS will provide a discussion of the other surface water bodies that are located on the subject property, and the potential for the proposed action to adversely impact water quality at such water bodies, would be assessed. Potential impacts upon designated wetlands and their associated ecological communities will be described in the section of the DSGEIS entitled "Terrestrial and Aquatic Environment."
The subject property, although not coastal, is shown on the New York State Coastal Map as a Significant Coastal Fish and Wildlife Habitat, due to the presence of the Peconic River. The specific features associated with this Significant Coastal Fish and Wildlife Habitat will be discussed herein.
Federal Emergency Management Agency (FEMA) Flood Insurance Rate Maps (FIRMs) will be reviewed and evaluated with respect to the location of the floodplains associated with the off-site Peconic River, and other water bodies that are located on the subject property. An analysis of the proposed project with the respect to the floodplains and the potential for the site to be located within a special flood hazard area will be conducted.
Once the existing conditions data are obtained with respect to groundwater, surface water and floodplain resources, changes expected as a result of future development on the subject site and its impact upon water resources on the subject property and in the surrounding area will be assessed.
Terrestrial and Aquatic Environment
The prior analyses of natural resources existing on the site will be summarized and an updated site inspection by a qualified biologist/ ecologist will be conducted to document current vegetation, wildlife, and the general habitat character of the property. An inventory of flora and fauna observed and expected will be provided in this section of the DSGEIS along with a vegetation map. Protected native plants, and terrestrial and aquatic plant and animal species listed as endangered, threatened, or of special concern will be identified and specifically discussed. As part of the ecological assessment, the New York State Department of Environmental Conservation (NYSDEC) Natural Heritage Program (NHP) will be consulted to update available information on significant natural resources on the site and in the surrounding area. The specific ecology associated with the Central Pine Barrens SGPA will be evaluated and presented in this section of the DSGEIS.
To supplement this information, an assessment of the ecological system as a whole across the entire site will be presented. The focus of this assessment will not only be on individual plants and animals within the project site, but will also include a discussion of their interactions with each other and the existing habitat. The existing conditions of different sections of the site will be presented and their habitat values will be determined.
In addition, a discussion of the aquatic environments at the site, with respect to existing wetlands and wetland communities, will be included in this section of the DSGEIS.
Once the existing conditions data are obtained, anticipated changes resulting from implementation of the proposed action that could potentially impact natural resources on the site and in the surrounding area will be evaluated. This section of the DSGEIS will evaluate potential impacts of the proposed action on the site and area ecology, including the potential impact on protected native plants, and plant and animal species listed as endangered, threatened, or of special concern, as well as identified wetland communities.
As part of this evaluation, a Comprehensive Habitat Protection Plan would be prepared to identify each habitat type under existing conditions and upon implementation of the proposed action (this Plan would be summarized in the body of the document and appended in its entirety). Specific consideration would be given to sensitive ecological resources at the site (e.g., rare species and ecological communities and their locations on the property), and the relevant mitigation measures to be implemented as part of the proposed action (including during the construction period) would also be incorporated into the Compreh ensive Habitat Protection Plan (e.g., periodic mowing of grassland, protective measures to ensure preservation of grassland to be retained [e.g., covenants, conservation easements, dedication of land to preservation entity], grassland creation [e.g., planted soil over portions of runway, establishment of drainage reserve areas that contain grassland, conversion of old field scrub and scrub acreage] and timing therefor).
In addition, this section of the DSGEIS will discuss the measures developed to provid e for maintenance of buffers of a minimum of 1,000 feet around designated wetlands (to accommodate tiger salamander habitat), and to provide for approximately 596.4 acres of maintained grassland (458.1 acres of existing grassland to be preserved, and 138.3 acres of grassland to be created) to accommodate habitat for the short-eared owl. In addition, this section will discuss how the subdivision provides for the preservation of over 59.5 percent of existing natural area (i.e., grassland and woodland), and how the design of the subdivision will help to protect the ecological resources of the Peconic Headwaters.
Petroleum and Hazardous Materials
The DSGEIS will summarize the former and any current environmental investigations and remediation that are associated with the subject property and immediately adjacent properties. As general background, on-site operations generated hazardous waste from 1954 through 1996. However, such on-site operations were generally confined to the off-site area of the current Calverton Camelot industrial subdivision. Since 1986, the U.S. Navy has conducted environmental investigations and clean-ups throughout the site. A Remedial Feasibility Investigation was conducted by the U.S. Navy in 1997, which indicated on -site Volatile Organic Compound (VOC)-contaminated groundwater with the potential for off-site migration. The U.S. Navy submitted a Feasibility Study for specific areas (including an area identified as the Southern Area groundwater plume) of the site as a follow -up. The U.S. Navy completed a Corrective Measures Study for the Southern Area in 2011. A soil vapor intrusion investigation was conducted in 2011, which indicated that there were no potential impacts. A number of sites within the off-site industrial subdivision are listed on State and Federal databases with respect to potential contamination. This section of the DSGEIS will examine the available information and provide a discussion of the potential impacts of future
development associated with implementation of the proposed action with respect to the remaining areas of potential environmental concern.
Visual Resources
This section of the DSGEIS will discuss the existing visual character of the subject property and the proposed project area and representative photographs will be provided. Potential changes to visual character from various vantage points (e.g., Route 25 corridor) will be evaluated through narrative descriptions. The analysis also will examine the effect of the potential design standards, buffering, landscaping, fencing and signage (based upon the proposed planned development district) on the visual character of the project area.
This section of the DSGEIS will discuss potential lighting associated with future development, based upon the proposed planned development district and existing Town dark sky requirements. It will discuss methods for ensuring that no spill-over lighting impacts would occur to on-site preserved open space/ buffer areas, adjacent properties and roadways.
Cumulative Impacts
The DSGEIS will examine the cumulative impacts associated with the development of other planned or approved projects in the surrounding area with respect to the impact issues described above, if any.
Extent and Quality of Information Needed to Adequately Address Potentially Significant Adverse Impacts
In order to conduct the analyses of potential adverse impacts, available information will be collected and reviewed and empirical information will be developed. Relevant information from the prior 1997 FEIS will be incorporated, as necessary. While it is not possible to determine all information sources to be used, the following represent sources/ research that have been preliminarily identified as necessary to perform the required analyses in th e DSGEIS.
Land Use and Zoning
- Final Environmental Impact Statement: Transfer and Reuse of the Naval Weapons Industrial Reserve Plant, Calverton, New York, U.S. Department of the Navy, December 1997
- Real Estate Market Assessment, Calverton Enterprise Park (EPCAL), RKG Associates, December 8, 2011
- A Comprehensive Reuse Strategy for the NWIRP at Calverton, HR&A Inc., March 1996
- Town of Riverhead-provided Geographic Information Systems Data
- Chapter 108 of the Code of the Town of Riverhead
- Town of Riverhead Comprehensive Plan, November 2003
- Town Of Riverhead Calverton Enterprise Park Urban Renewal Plan – Final Draft September 29, 1998
- Central Pine Barrens Comprehensive Land Use Plan
Socioeconomics
- Real Estate Market Assessment, Calverton Enterprise Park (EPCAL), RKG Associates, Inc., dated December 8, 2011
- Absorption Analysis for NWIRP/ EPCAL, RKG Associates, Inc.
- Consultation with Town of Riverhead Tax Assessor
Community Facilities and Services
- Consultations with service providers
- Suffolk County iMap v. 2.0 – General Land Information: http:/ / gis.co.suffolk.ny.us/ LandViewer/ index.html
- Peconic Bay Medical Center website:
http:/ / www.peconicbaymedicalcenter.org/ z-about/
- Town of Riverhead Sanitation Department website:
http:/ / www.riverheadli.com/ sanitation.html
- Riverhead Central School District website:
http:/ / www.riverhead.net/ HTML/ ourschools.html
- New York State Education Department Property Tax Report Card website: http:/ / www.p12.nysed.gov/ mgtserv/ propertytax/
Transportation
- Traffic Counts
- Accident Data
- Institute of Transportation Engineers (ITE) publication entitled Trip Generation, Eighth Edition, or any subsequent edition
- Highway Capacity Manual
- SYNCHRO, latest edition
- American Association of State Highway and Transportation Officials (AASHTO) Policy on Geometric Design of Highways and Streets
- New York State Department of Transportation, Long Island Transportation Plan (LITP) 2000
- Consultation with NYSDOT, SCDPW, Town of Riverhead Highway Department, Long Island Railroad
Air Quality
- United States Environmental Protection Agency National Ambient Air Quality Standards
- 1990 United States Clean Air Act
- New York State Department of Environmental Conservation Ambient Air Quality Standards
- New York State Department of Environmental Conservation Ambient Air Quality Reports
- Assessing Energy Use and Greenhouse Gas Emissions in Environmental Impact Statements New York State Department of Environmental Conservation. Office of Air, Energy and Climate. July 15, 2009.
- New York State Greenhouse Gas Emissions Inventory and Forecasts for the 2009 State Energy Plan. New York State Energy Research and Development Authority. August 06, 2009
- New York State Department of Environmental Conservation Environmental Facilities Navigator: http:/ / www.dec.ny.gov/ imsmaps/ facilities/ viewer.htm
Noise
- New York State Department of Transportation Noise Analysis Policy and Procedures dated March 2011,
- Highway Noise Fundamentals. Federal Highway Administration, September 1980.
- New York State Department of Transportation Environmental Procedures Manual, Chapter 3.1 August 1998.
- 23 CFR Part 772, Procedures for Abatement of Highway Traffic Noise and Construction Noise.
- Chapter 81 of the Code of the Town of Riverhead
Infrastructure
- Infrastructure Evaluation, Parsons, Brinkerhoff, Quade & Douglas, Inc., October 17, 1995
- Opportunities and Constraints Analysis, HR&A Inc., October 2005
- Town of Riverhead-provided Geographic Information Systems Data
- Information provided by the Calverton Sewer District
- Information provided by the Riverhead Water District
- Information provided by H2M Engineering Group (Consulting Engineers to Town Sewer and Water Districts)
Cultural Resources
- Draft Environmental Impact Statement: Disposal and Reuse of the Naval Weapons Industrial Reserve Plant, Calverton, New York, U.S. Department of the Navy, February 1997
- Final Environmental Impact Statement: Transfer and Reuse of the Naval Weapons Industrial Reserve Plant, Calverton, New York, U.S. Department of the Navy, December 1997
- Agreement Between The Community Development Agency and Riverhead, New York and the New York State Historic Preservation Office Regarding Historic and Archaeological Resources at the Former Naval Weapons Industrial Reserve Plant, Calverton New York, Riverhead Community Development Agency and New York State Historic Preservation Officer, 1998
Geology, Soils and Topography
- Existing reports regarding subsurface conditions
- Soil Survey of Suffolk County
- Soil borings, if available
- USGS Maps and site-specific topographic surveys
- Groundwater Atlas of the United States – Segment 12, USGS, 1995
Water Quality and Hydrology
- Long Island Comprehensive Waste Treatment Management Plan
- Nationwide Urban Runoff Program (NURP)
- Nonpoint Source Management Handbook
- Long Island Comprehensive Special Groundwater Protection Area Plan
- Water-Table and Potentiometric-Surface Altitudes in the Upper Glacial, Magothy and Lloyd
Aquifers beneath Long Island, New York, March-April 2006, USGS, 2009
- Long Island Central Pine Barrens Plan
- Peconic Estuary Comprehensive Conservation and Management Plan
- Brown Tide Comprehensive Assessment and Management ProgramSuffolk County Sanitary Code
- Reducing the Impacts of Stormwater Runoff From New Development, New York State Department of Environmental Conservation
- Chapter 110 of the Code of the Town of Riverhead
- Town of Riverhead-provided Geographic Information Systems Data
- New York State Department of Environmental Conservation Wild, Scenic and Recreational Rivers Systems maps
- New York State Department of Environmental Conservation Freshwater Wetlands Map
- National Wetlands Inventory Maps
- New York State Department of State Significant Coastal Fish and Wildlife Habitats Narratives and Maps
- Federal Emergency Management Agency Flood Insurance Rate Maps
- Consultation with Water and Sewer Purveyors
Terrestrial and Aquatic Environment
- Site inspections by a qualified biologist/ ecologist
- Consultations with the NYSDEC Natural Heritage Program
- Supplemental Final Environmental Impact Statement, Cameron Engineering & Associates, LLP, March 2002
- Supplemental Final Environmental Impact Statement, Dvirka and Bartilucci Consulting Engineers, September 2005
- 2008 Coalition for Open Space EPCAL Herpetofauna and Avifauna Inventory Summary
-
2009 Nature Conservancy EPCAL Grassland Birds Summary
- Ecological Communities of New York State, New York Natural Heritage Program
- Bird Study, Amy S. Greene Environmental Consultants, Inc., 2008
- Central Pine Barrens Joint Policy and Planning Commission. 1995. Central Pine Barrens Comprehensive Land Use Plan Volume 2: Existing Conditions. Available online: http:/ / pb.state.ny.us/ cpb_plan_vol2/ vol2.pdf
- Wildlife Survey, Dru Associates, 2008-09
Petroleum and Hazardous Materials
- New York State Department of Environmental Conservation Registry of Inactive Hazardous Waste Disposal Sites
- AKRF Comprehensive Reuse Strategy for the Naval Weapons Industrial Reserve Plant at Calverton, Phase II Environmental Considerations, dated December 11, 1995
- AKRF Comprehensive Reuse Strategy for the Naval Weapons Industrial Reserve Plant at Calverton, Environmental Issues Summary Phase III – Recommended Reuse Strategy, dated February 1996
- Environmental Data Resources (EDR) Data Map Area Study Report for the Calverton Property, Calverton, NY, dated June 9, 2011
- Final Environmental Impact Statement: Transfer and Reuse of the Naval Weapons Industrial Reserve Plant, Calverton, New York, U.S. Department of the Navy, December 1997
- Navy DEIS, Disposal and Reuse of Naval Weapons Industrial Reserve Plant, Calverton, NY dated February 1997,
- Tetra Tech NUS, Inc., Documentation of Environmental Indicator Determination, RCRA Corrective Action, NIWRP Calverton, NY , EPA ID# NYD003995198 (undated)
- Tetra Tech NUS, Inc., Corrective Measures Study (CMS)/Feasibility Study (FS), Southern Groundwater Plume, NWIRP, Calverton, NY , March 2011
Visual Resources
- Site photographs
- Article XLV of the Town Code, Exterior Lighting
Initial Identification of Mitigation Measures
As the DSGEIS analyses have not yet been conducted, no specific mitigation measures have yet been developed. Nonetheless, where the impact analyses conducted in the DSGEIS indicate the potential for significant adverse impacts, this section of the DSGEIS will set forth measures to mitigate those impacts.
Reasonable Alternatives to Be Considered
Pursuant to 6 NYCRR Part 617, the DEIS must contain a description and evaluation of reasonable alternatives to the proposed action. Thus, the DEIS will analyze the impacts of the following alternatives and quantitatively and qualitatively compare these impacts to those associated with implementation of the proposed action, based upon the specific issues outlined above:
- No-Action (site remains as it currently exists)
- Mixed Use and Polo Alternative
- Alternative Subdivision Design, prepared by representatives of the environmental community
- Alterative Subdivision Design, which "reverses" areas to be developed and areas to be preserved
Conditions and Criteria under Which Future Actions will Be Undertaken or Approved
This section of the DSGEIS will set forth the specific conditions or criteria under which future actions will be undertaken or approved (e.g., obtaining letters of sewer and/ or water availability, ensuring appropriate traffic mitigation, potential for re-evaluation of traffic conditions in the future), including any requirements for subsequent environmental review compliance. This will assist in ensuring that the level of development and its associated impacts are monitored over the course of the build-out period and comply with the conditions and criteria established as a result of the environmental analyses conducted, and that necessary mitigation measures are put in place to minimize potential significant adverse impacts.
Growth-Inducing Impacts
The DSGEIS will discuss the growth-inducing aspects of the proposed action, including, but not limited to, potential spin off-development and potential increase in population due to the proposed development of non-residential uses on the property.
Use and Conservation of Energy
This section of the DSGEIS will contain a description of the energy sources to be used during the construction and operational phases of the proposed project, including potential alternative energy sources. Anticipated levels of demand will be estimated. Relevant energy -efficiency measures will be discussed.
The DSGEIS will also discuss and provide an analysis of energy consumption by the proposed development, including conformance with applicable Town standards as well as mitigation measures proposed to minimize energy consumption.
Information/Data to be Included in the Appendix
- Copy of the Positive Declaration and Final Scope
- Subdivision and Related Plans
- Relevant excerpts of prior studies conducted that affect the subject site
- Relevant technical data used in performing various analyses
- Correspondence with community service providers
- Traffic Impact Study
- Site and area photographs
Issues Raised during Scoping and Determined to be Not Relevant or Not Environmentally Significant or that have been Adequately Addressed in a Prior Environmental Review
Pursuant to 6 NYCRR Part 617 (i.e., the implementing regulations of SEQRA), an environmental impact statement is required to identify and evaluate potential significant adverse environmental impacts and to identify mitigation measures, to the maximum extent practicable. The Town of Riverhead received a number of comments during the scoping period, both in the form of written correspondence and orally at the scoping meeting held on July 16, 2013. The issues identified within the comments received that are relevant for inclusion in the DSGEIS have been incorporated into this Final Scope and will be evaluated in the DSGEIS.
The following issues were raised during the scoping process and, while they are relevant to the Town Board's overall decision making regarding EPCAL as well as the ultimate administration of development approvals, they were deemed not relevant to the environmental review and/ or were determined not to be environmentally significant: creation of Business Improvement District, creation of citizens action group/ community advisory committee to monitor development, timing of site plan approvals, apprenticeship programs, loans and other financial assistance associated with specific energy programs (e.g., Energy Star®), and tax incentives (as no tenants have been identified).
In addition, there were some comments made regarding the proposed traffic evaluation that have not been included in this Final Scope. Representatives of the Town of Riverhead met with representatives of the New York State Department of Transportation to d iscuss the parameters of the traffic study, and this Final Scope represents the analyses required based upon that meeting.
\ \ vhb\ proj\ LongIsland\ 28409.00 Calverton Re-Use Plan\ docs\ VARIOUS\ SCOPING\ Final Scope\ Final Scope For EPCAL REUSE REVITALIZATION OCTOBER 1 2013 - - FINAL VERSION FROM TOWN 10-1-13.docx
|
Connect4Learning: The Pre-K Curriculum Addressing the Needs of Children from Underresourced Communities
Introduction
The early years have a profound impact on the course of children's lives. All children have a dynamic potential to learn, particularly when they are in responsive, nurturing, and stimulating environments. Conversely, there is a detrimental effect on children's learning and development when they are lacking those opportunities and resources. By choice and necessity, growing numbers of young children are spending significant amounts of time in out-of-home learning environments. Meanwhile, the requirements for school readiness upon entering kindergarten have risen considerably in recent years, with articulated national and state standards. These changing demographics and requirements fuel both the tremendous need and opportunity for research-based and practiceproven early childhood education.
An examination of preschool demographics finds that 48 percent of children ages three to five years—a total of 5.9 million—live in low-income families (Addy, Engelhardt, and Skinner 2013). The most recent ECLS-K report on kindergarten readiness found that 44 percent of children enter kindergarten with one or more risk factors associated with lower school readiness scores, particularly in literacy and mathematics (Bernstein et al. 2014). The persistent achievement gap for economically disadvantaged young children starts early in life and is difficult to reverse. Fortunately, a growing body of research is demonstrating that with intentional curriculum and professional development, it is possible to change the educational odds for children from underresourced communities so they may reach their highest potential (Schmit et al. 2013).
1
2
A Return on Investment
Researchers of early childhood education in the United States have a long history of investigating how to best serve and support children from underresourced communities, as well as documenting the return on investment. The landmark longitudinal HighScope Perry Preschool Study examined the lives of 123 children born into poverty and at risk for falling behind in school. The study found that children who participated in the preschool intervention grew up and achieved higher incomes and greater job security, committed fewer crimes, and were more likely to have graduated from high school than adults who did not receive high-quality preschool programming (Schweinhart et al. 2005). In recent years, Tulsa, Oklahoma, has served as a national model for providing preschool to all four-year-olds and is partnering with Head Start to pay for certified teachers in those preschool classrooms. Research findings from Tulsa shed light on a variety of strategies that may significantly improve outcomes for low-income children in the federally funded Head Start program, including intentional curriculum, strong partnerships, extensive professional development, and highly qualified teachers serving children in the classroom. Children's learning gains in Tulsa Head Start were similar to those of children in the Tulsa public schools and significantly larger than Head Start learning gains nationally (Barnett and Frede 2010; Gormley et al. 2004). Furthermore, longitudinal research data from Tulsa's universal pre-K program revealed that children who participated in the 2005– 2006 preschool cohort demonstrated persistent positive gains in reading, writing, and mathematics through third grade, in comparison to children who did not participate (Gormley 2013). Finally, the Abbott Preschool Program Longitudinal Effects Study (APPLES) assessed the impact of New Jersey's Abbott Preschool Program on children's learning and development based on a cohort of children who were four years old in 2004–2005. The APPLES study estimated the impact of Abbott Preschool at kindergarten entry and second-grade follow-up, finding substantial positive impacts on language, literacy, and mathematics at both times. The fourth-grade and fifth-grade APPLES follow-up further revealed that the program had a long-term, positive effect on achievement in language arts and literacy, math and science, as well as a reduction in grade retention (Barnett, et al. 2013). Although not all evaluations of pre-K education have shown long-term positive effects, it is clear that high-quality programs can have lasting benefits.
High-Quality Early Childhood Education
Research, practice, and policy reveal the characteristics of high-quality early childhood education proven to support children from underresourced communities now and longitudinally, as they progress through school. The position statements made by the National Association for the Education of Young Children outline specific recommendations to help all children achieve their learning goals and reach their full potential. Developmentally appropriate practices require meeting children where they are, teaching according to their developmental status, and incorporating best practices that are based on evidence rather than assumptions about how children learn and develop (Copple and Bredekamp 2009). Furthermore, when young children have not had the learning opportunities required to succeed in school, early childhood programs are tasked with providing extended, enriched, and intensive learning experiences to compensate and narrow the persistent achievement gap (Copple and Bredekamp 2009). A curriculum that is effective and developmentally appropriate is grounded in what is known about the interrelationships and sequences of learning domains, such that young children's later knowledge and skills can be built on those already acquired (National Association for the Education of Young Children 2009). The early learning standards implemented and assessed in the classroom should recognize and accommodate variations in children's communities, such as individual characteristics, abilities, and disabilities (National Association for the Education of Young Children 2009). Recent research has found that preschool programs combining evidence-based curriculum, trained teachers, and coaching support produce positive effects on multiple domains of learning and school readiness, including language, literacy, mathematics, emotional development, as well as executive function skills such as working memory, inhibitory control, and attention shifting (Weiland and Yoshikawa 2013). It is deeply problematic that children from underresourced communities are more likely to be enrolled in early learning programs that are lower quality overall (Klein and Knitzer 2007). For example, educational research found that early learning classrooms comprised approximately 60 percent of children from low-income homes rated significantly lower in quality indicators of teaching, teacher–child interaction, and provisions for learning than classrooms with fewer low-income children (Pianta et al. 2005). Like all children, those from lower-resourced communities will respond to intentional curriculum implemented thoughtfully by caring educators.
www.connect4learning.com
3
4
Introducing Connect4Learning
Connect4Learning (C4L) is an interdisciplinary early childhood curriculum, the development of which was funded by the National Science Foundation, which aims to synthesize research-based approaches in four domains of learning: mathematics, science, literacy, and social-emotional development. The curriculum uses an interdisciplinary approach to address growing concerns that the majority of preschool instructional time is devoted to literacy at the expense of other content areas, particularly mathematics and science. To address this concern, the C4L units build on a sequence of math and science topics that are grounded in research-based learning trajectories and developmental pathways. Literacy and social-emotional skills are developed through focused lessons and in the context of these math and science topics. Research shows that children from lowerresourced communities are even less likely than their more advantaged peers to receive substantial and intentional math and science instruction in preschool, thus making the C4L approach particularly relevant for them.
C4L aims to further develop cognitive process goals that are simultaneously domain specific and applicable across all four domains of learning. These process goals include skills that address executive function learning, such as persistence, self-regulation, reasoning, problem solving, and innovating. Cognitive process goals lead to high expectations for all children participating in the C4L curriculum, including those with more limited resources and experiences, thus preparing them for success in school.
Research-Based Best Practices with C4L
An intentional early childhood curriculum is based on research, driven by content, emphasizes active engagement with children, includes attention to social and regulatory skills, and is responsive to children from a variety of communities and backgrounds. A special focus on these strategies is important because many children from underresourced communities fall behind early and remain significantly behind their peers in reading and mathematics (Lee and Burkam 2002). C4L's intentional curriculum incorporates research-based best practices designed to respect the strengths and support the needs of children from underresourced communities. The following sections highlight these practices in detail with specific examples of how C4L translates research into action for all children.
Connect4Learning
Practice 1: Leading with Math and Science Content
Research has long revealed that math and science proficiency in the United States is low in comparison to other developed countries and that the achievement gap is even wider for children who live in poverty and are members of linguistic and ethnic minority groups (Arnold and Doctoroff 2003; National Research Council 2001, 2007, 2009). These achievement gaps originate in early childhood when children from low-income fami lies, on average, already possess less extensive math and science knowl edge than middle-income children due to fewer high-quality learning opportunities at home and at school (Blevins-Knabe and Musan-Miller 1996; Brenneman, Massey, and Metz 2009). Science is specifically emerging as an area of concern, with research revealing that among the eight Head Start Learning Outcomes, children entered kinder garten with lower science readiness scores than in any other domain (Greenfield et al. 2009).
Research into Practice with Connect4Learning
Despite these discouraging findings, children at an early age exhibit a natural mathematical and scientific curiosity. Children's innate desire to explore and make sense of the world around them naturally leads to their use of early math concepts, such as telling how many or how much, compar ing, ordering, and manipulating items as they build and play. The learning trajectories approach— building activities that match children's natural way of thinking about and learning math at each developmental level—emphasizes the math concepts within and extended from children's natural activity through the use of engag ing stories and activities. Recent studies (Maloney et al. In press;
Connect4Learning
The Connect4Learning (C4L) early childhood curriculum addresses the above research by building on math and science content. C4L departs from the more common preschool strategy of building the curriculum around literacy and instead relies on a sequence of science and math topics as a foundation, grounded in research and learning trajectories, and draws meaningful connections between math and science. The mathematics approach in C4L has been shown to be effective in past studies (Clements et al. 2011; Clements and Sarama 2008; and Clements and Sarama 2007). This instruction is grounded in the learning trajectories funded by the National Science Foundation. That is, for each topic, research and the wisdom of expert practice are used to determine the developmental progressions children follow—the levels of thinking through which they progress in learning each topic. The curriculum addresses key domains of number sense, quantity, geometric and spatial reasoning, and measurement, as well as weaving core mathematical subthemes throughout, including sorting, sequencing, and patterns. Curriculum lessons are based on preschool children's experiences and interests with a particular emphasis on supporting mathematical thinking and reasoning. Similarly, C4L addresses science through the Preschool Pathways to Science (PrePS) curricular planning framework that encourages children to think critically about a particular science concept for an extended period of time (Gelman et al. 2009). Curriculum planned with the PrePS approach incorporates science practices that children use repeatedly across content areas, such as observing, predicting, comparing, contrasting, and experimenting. C4L incorporates elements of PrePS and other high-quality, standardsaligned science approaches by providing opportunities for children to practice inquiry skills through deep engagement with science concepts; by engaging children in life science, physical science, earth and space science, and engineering; and by incorporating mathematics and literacy as critical to the scientific endeavor.
www.connect4learning.com
5
6
Sarama and Clements 2009) indicated the power of the learning trajectories approach for math achievement, with especially promising results not only in mathematics performance but also in oral language skills. Similarly, young chil dren also display a natural capacity and inclination to observe, explore, predict, and discover the world around them (National Research Council, 2012). These are examples of core science skills that can and should be encouraged and sup ported among children in the early years. Furthermore, recent research indicated that young children have the capacity for constructing conceptual understand ing and for developing the ability to use the scientific practices of reasoning and inquiry (National Research Council 2007, 2012), both of which are critical as they transition to learning science in the elementary grades. According to the position statement released by the National Science Teachers Association (2014) on early childhood science education, young children need multiple and varied opportunities to engage in science exploration and discovery, because children develop their science knowledge through both formal and informal learning opportunities and those skills develop over time through sustained engagement with new ideas and concepts. The National Science Teachers Association further recognized that science provides a purposeful context for developing literacy skills and concepts, including speaking, listening, and vocabulary development.
Practice 2: Supporting Social-Emotional Development
It is widely accepted among educators, researchers, and policy makers that early childhood education must attend to young children's social-emotional development. Emotional well-being and social competence provide a strong foundation for emerging cognitive abilities, and together, they are the brick and mortar that comprise the foundation of human development (National Scientific Council on the Developing Child 2007). Children develop emotionally by becoming more aware of their feelings and needs. They develop socially by becoming more aware of the feelings and needs of others. When children develop self-awareness, their social awareness increases simultaneously (Shonkoff and Phillips 2000). Children need instruction and guidance, however, to become self-aware and learn to selfregulate their behavior. Self-awareness positively affects motivation, interest, and persistence in school. Research shows that children's ability to regulate their own emotions and behaviors affects their ability to build and maintain healthy relationships with others, which in turn has a direct impact on academic success (Graziano et al. 2007). Therefore, developing social and emotional skills in the early years has a lasting impact on children's learning (Cohen 2001; Jones, Greenberg, and Crowley 2015). Furthermore, both self-control and self-regulation contribute to the development of executive function skills. Executive functions involve the ability to manage emotions and behavior, make and carry out plans, solve problems, and think flexibly. A growing body of research is demonstrating that executive function skills in the early childhood years are a strong predictor of later school success (Blair and Razza 2007; Tough 2009).
Connect4Learning
Play is also crucial to healthy social-emotional development during the early years. Play promotes key abilities that enable children to learn successfully. In high-level dramatic play, for example, the collaborative planning of roles and scenarios and the impulse control required to stay within the play's constraints develops children's self-regulation, symbolic thinking, memory, and language— all skills critical to later learning, social competence, and school success (Copple and Bredekamp 2009). Circumstances in the homes of some children from underresourced communities may limit opportunities for high-level dramatic play that would afford them so many cognitive, social, and emotional benefits. As a result, it is vital for early childhood programs to provide opportunities for sustained high-level play with teacher support in the classroom.
Connect4Learning
Research into Practice with Connect4Learning
When designing all instructional activities, the principal investigators of Connect4Learning (C4L) reviewed practices related to the promotion of social-emotional development and the prevention of problem behaviors. They consistently emphasized three key areas, 1) designing the learning environment to promote children's engagement with activities, materials, and peers; 2) supporting the development of children's social skills and emotional competencies, particularly self-regulation; and 3) implementing a planned and intentional approach to preventing and addressing challenging behaviors. The C4L curriculum incorporates the principles and practices associated with the Pyramid Model for Promoting Social-Emotional Competence (Fox et al. 2003; Hemmeter, Ostrosky, and Fox 2006) as its foundation for social-emotional development. This model provides guidance for early childhood educators on the use of effective research-based instructional practices and behavior support for all children, including those from more underresourced backgrounds and with the most severe behavioral challenges. The Pyramid is a framework of best practices rather than a specific curriculum. As such, it can be seamlessly integrated into an interdisciplinary curriculum with an adaptive approach that is uniquely tailored to the characteristics of the context and the individual needs of the children being served. C4L further addresses current research on the importance of play by melding explicit instruction with playtime. The curriculum encourages intentional dramatic play during collaborative projects and diverse learning centers, making play a primary context for helping children learn social-emotional skills and develop their executive function competencies.
7
8
Practice 3: Narrowing the Vocabulary Gap
Language skills, including receptive and expressive vocabulary development, are among the most important skills to develop during a child's first five years of life. Strong vocabulary skills help children learn and express knowledge across all developmental domains. There is a long history of research, however—most notably with Hart and Risley's (1995) seminal work, "Meaningful Differences," which highlights both the vocabulary gap, on average, between children from lower- versus higher-resourced communities, as well as how children's lack of early exposure to words is strongly linked to delays in reading achievement years later. Circumstances in lower-resourced communities are such that children may not experience the range of words, repeated exposures to words, and systematic opportunities to use new words that are needed to narrow the persistent vocabulary gap (Neuman and Dwyer 2009).
Research into Practice with Connect4Learning
As noted above, Connect4Learning (C4L) is an interdisciplinary curriculum synthesizing literacy with math, science, and socialemotional development. The C4L literacy approach focuses on receptive and expressive language within each of these domains, as well as words that are used in multiple domains. In C4L, vocabulary is used as a meaningful tool for learning, rather than being taught in isolation. Read-alouds provide one important source of vocabulary learning, including using informational books that have rich vocabulary, syntax, and content. C4L includes more than 120 children's books, both trade and custom, to promote the development of vocabulary skills in all children and to help narrow the vocabulary gap. In addition, every week the teacher will see highlights of new vocabulary words that will be introduced during the week. This vocabulary is incorporated multiple times and in multiple ways throughout the week's lessons, providing children with extensive exposure and repeated practice.
During the preschool years, children must acquire the words necessary to communicate their needs, understand teacher expec tations and instructions, and develop deep content knowledge. Vocabulary instruction in early childhood is ideally designed to build children's understanding of word meaning, the concepts under lying words, and the ways that words relate to each other. Research suggests that vocabulary instruc tion for young children can be effective with explicit instruction of new words, guided practice with multiple opportunities to use new words, systematic review of words, and regular progress monitoring to inform ongoing instruction (Neuman and Dwyer 2009).
Practice 4: Constructing World Knowledge
World knowledge, in addition to word knowledge, is essential for constructing meaning from text (Duke and Carlisle 2011; Hirsch 2003). However, as explained earlier, preschool curricula typically offer limited opportunities for children to develop world knowledge, particularly in science. Moreover, children typically have very little exposure to, or experience with, informational and expository text in early childhood. Furthermore, as is often the case, children from underresourced communities experience this disparity the most (Duke 2000). These children are even less likely to be provided opportunities to interact with informational text in school, just as they are less likely to have opportunities to develop content area knowledge (Halvorsen 2003; Sarama and Clements 2009). Despite these findings, recent research showed that incorporating literacy into science curriculum planning, such as with theme-specific nonfiction read-alouds, is an educational and meaningful practice for preschoolers (Brenneman and Louro 2008; Gelman et al. 2009).
Educators and researchers know that young children's devel opment is strongly interconnected, with positive outcomes in one area relying on development in other domains (National Association for the Education of Young Children 2009). As such, preschool is the optimal time to foster children's natural curiosity about their envi ronment and leverage it to help them develop critical thinking, observation, and problem-solv ing skills necessary for all future learning (National Institute for Early Education Research 2009; Neuman et al. 2007). An inter disciplinary curriculum helps children make sense of the world around them while building the foundational knowledge needed for academic learning (National Institute for Early Education Research 2009). Curriculum that engages children across devel opmental domains promotes integrated learning and repetition of concepts in varied contexts, both of which support increased world knowledge and curiosity.
Connect4Learning
Research into Practice with Connect4Learning
Connect4Learning (C4L) offers an important step forward in building world knowledge in the preschool years by providing children from underresourced communities with substantial attention to science and other neglected domains and significant informational reading and writing opportunities. C4L incorporates elements of the project-based approach by which children collaborate toward a larger, long-term goal throughout a unit of instruction. Units are designed to inspire imagination, broaden children's horizons, enhance their personal and social skills, and increase their world knowledge. A holistic approach to literacy helps children to gain a deep knowledge of the natural and social world through extensive use of nonfiction and informational readalouds. For example, Unit 2 titled "Our Environment" focuses on learning about the people, plants, animals, and earth features of the local environment, as well as their interconnectedness and interdependence. In this unit, children apply what they learn about their local environment to the study of a coral reef, transforming their classroom into an elaborate life-like reef as the unit's central project. The coral-reef project integrates math, science, literacy, and social-emotional development, as well as emphasizing fine motor skills, visual arts, and music. From informational readalouds in particular, children learn a variety of important concepts and knowledge that can be transferred and applied outside the unit of instruction—in this example, how to reuse, reduce, and recycle. As their world knowledge is constructed and grows, children begin to ask questions, make connections, and develop a natural love of learning.
www.connect4learning.com
9
10
Practice 5: Expecting and Exceeding
All children have the potential to learn and the capacity to succeed, regardless of diverse circumstances and abilities. High expectations for all children, includ ing those from more underresourced communities, improves their approaches to learning, which include how children will engage with learning new concepts, hold information in their minds, manage their behavior, and apply the skills nec essary to achieve their goals (Sesame Workshop 2014). Children meet and exceed expectations when they have teachers who encourage communication and rea soning and who construct an atmosphere of respect, confidence, and enthusiasm for learning (Early et al. 2006). Having high expectations is especially critical for
Research into Practice with Connect4Learning
The Connect4Learning (C4L) curriculum sets high expectations for all children by not underestimating their abilities and potential but instead developing an early childhood community of learners engaging with content on a deep level. C4L raises the bar for children from underresourced communities through a consistent approach of rich content, responsive teaching, meaningful classroom tools, iterative learning cycles with reflection and practice, and project-based learning. In addition, the unique C4L process goals ensure that children who may be at risk for academic difficulties are practicing and mastering skills that are applicable across all domains of learning and correlated to later success in school. These high expectations, consistent for children from all backgrounds, lead to increased initiative and curiosity in the classroom. Children reveal an interest in learning and talking about a range of topics and ideas. They display self-confidence in approaching new challenges, including an openness to learning more and an empowerment to tackle new problems while developing new skills. Children have the opportunity to think and play imaginatively, which paves the way for flexible thinking and problem solving—skills that will serve them well in school, career, and life.
achieving better outcomes for the most vulnerable of children who may require additional supports, experiences, and opportunities to help them learn and develop (Early et al. 2006). Early childhood class rooms and curriculum with high expectations for all children will lead to improved achievement, motivation, self-confidence, and resilience for children.
Conclusion
Recently, the C4L principal investigators began collecting empirical evidence to evaluate the appeal, usability, and effectiveness of the C4L curriculum. Early pilot data on the effectiveness of C4L reveal that the program shows promise for young children's learning. Children in five classrooms of children from families representing a range of social-economic status that implemented the C4L curriculum significantly outperformed children in control classrooms on measures of math, science, and literacy. The graphs that follow highlight the difference in pre- and post-test achievement for children who received the C4L curriculum and those who did not.
Figure 2: Early Literacy Performance on the Phonological Awareness Literacy Screening (PALS)
C4L
Comparison
Connect4Learning
11
As evidenced, C4L is an interdisciplinary early childhood curriculum ideally positioned to serve the needs of children from underresourced communities. By leading with math and science content, supporting social-emotional development, narrowing the vocabulary gap, and broadening children's horizons, C4L ensures that all preschoolers can meet the high expectations set for them and achieve their highest potential.
References
Addy, S., W. Engelhardt, and C. Skinner. 2013. Basic facts about low-income children under 18 years, 2011. New York: Columbia University, National Center for Children in Poverty.
Arnold, D. H., and G.L. Doctoroff. 2003. The early education of socioeconomically disadvan taged children. Annual Review of Psychology 54: 517-545.
Barnett, W. S., and E. Frede. 2010. The promise of preschool. American Educator, Spring, 21-40.
Barnett, W. S., K. Jung, M. Youn, and E. C. Frede. 2013. Abbott preschool program longitudinal effects study: Fifth grade follow-up. New Brunswick: Rutgers University, National Institute for Early Education Research.
Bernstein, S., J. West, R. Newsham, and M. Reid. 2014. Kindergartner's skills at school entry: An analysis of ECLE-K. Washington, DC: Mathematica Policy Research.
Blair, C., and R. P. Razza. 2007. Relating effortful control, executive function, and false belief understanding to emerging math and literacy ability in kindergarten. Child Development 78: 647-663.
Blevins-Knabe, B., and L. Musan-Miller. 1996. Number use at home by children and their parents and its relationship to early mathematical performance. Early Development and Parenting 5: 33-35.
Brenneman, K., and I. F. Louro. 2008. Science journals in the preschool classroom. Early Child hood Education Journal 36: 113-119.
Brenneman, K., Massey, C., and Metz, K. 2009. Science in the early childhood classroom: In troducing senses as tools for observation. Presented at the biennial meeting of the Society for Research in Child Development, Denver, CO.
Clements, D. H., J. Sarama, M. E. Spitler, A. A. Lange, and C. B. Wolfe. 2011. Mathematics learned by young children in an intervention based on learning trajectories: A large-scale cluster randomized trial. Journal for Research in Mathematics Education, 42(2), 127-166.
Clements, D. H. and J. Sarama. 2008. Experimental evaluation of the effects of a research-based preschool mathematics curriculum. American Educational Research Journal, 45, 443-494.
Clements, D. H., and J. Sarama. 2007. Effects of a preschool mathematics curriculum: Summa tive research on the Building Blocks project. Journal for Research in Mathematics Education, 38, 136-163.
Cohen, J., ed. 2001. Caring classrooms/intelligent schools: The social emotional education of young children. New York: Columbia College, Teacher's College Press.
Copple, C., and S. Bredekamp, eds. 2009. Developmentally appropriate practice in early child hood programs serving children birth through age 8. 3rd ed. Washington, DC: National Association for the Education of Young Children.
Duke, N. K. 2000. 3.6 minutes per day: The scarcity of informational texts in first grade. Reading Research Quarterly 35: 202-224.
Duke, N. K., and J. F. Carlisle. 2011. The development of comprehension. In M. L. Kamil, P. D. Pearson, E. B. Moje, and P. Afflerbach (eds.), Handbook of Reading Research, Vol. IV (pp. 199-228). London: Routledge.
Early, D. M., D. M. Bryant, R. C. Pianta, R. M. Clifford, M. R. Burchinal, S. Ritchie, C. How es, O. Barbarin. 2006. Are teachers' education, major, and credentials related to classroom quality and children's academic gains in pre-kindergarten? Chapel Hill, NC: National Center for Early Development and Learning.
Fox, L., G. Dunlap, M. L. Hemmeter, G. Joseph, and P. Strain. 2003. The teaching pyramid: A model for supporting social emotional competence and preventing challenging behavior in young children. Young Children 58: 48-52.
Gelman, R., K. Brenneman, G. Macdonald, and M. Roman. 2009. Preschool pathways to science (PrePS): Facilitating scientific ways of thinking, talking, working, and understanding. Baltimore: Brookes.
Connect4Learning www.connect4learning.com
13
Gormley, W. 2013. Oklahoma's preschool program: Better than ok. Washington, DC: Georgetown Public Policy Review.
Gormley, W., T. Gayer, D. Phillips, and B. Dawson. 2004. The effects of Oklahoma's universal Pre-k program on school readiness: An executive summary. Washington, DC: Georgetown University, Center for Research on Children.
Graziano, P. A., R. D. Reavis, S. P. Keane, and S. D. Calkins. 2007. The role of emotion regula tion and children's early academic success. Journal of School Psychology 45(1): 3-19.
Greenfield, D. B., J. Jiroux, M. X. Dominguez, A. C. Greenberg, M. F. Maier, and J. M. Fuccillo. 2009. Science in the preschool classroom: A programmatic research agenda to improve science readiness. Early Development & Education 21(2): 238-264.
Halvorsen, A. 2003, April. The state of social studies education. Paper presented at the American Educational Research Association, Chicago, IL.
Hart, B., and T. Risley. 1995. Meaningful differences in the everyday experience of young American children. Baltimore: Brookes.
Hemmeter, M. L., M. M. Ostrosky, and L. Fox. 2006. Social emotional foundations for early learning: A conceptual model for intervention. School Psychology Review 35: 583-601.
Hirsch, E. D., Jr. 2003. Reading comprehension requires knowledge of words and the world. American Educator 27(1): 10-13, 16-22, 28-29, 48.
Jones, D. E., Greenberg, M., and Crowley, M. 2015. Early social emotional functioning and public health: The relationship between kindergarten social competence and future well ness. American Journal of Public Health, 105, 2283-2290.
Klein, L., and J. Knitzer. 2007. Promoting effective early learning: What every policymaker and educator should know. New York: Columbia University, National Center for Children in Poverty.
Lee, V. E., and D. T. Burkam. 2002. Inequality at the starting gate: Social background differences in achievement as children begin school. Washington, DC: Economic Policy Institute.
Maloney, A. P., J. Confrey, and K. H. Nguyen. In press. Learning over time: Learning trajectories in mathematics education. New York: Information Age Publishing.
National Association for the Education of Young Children. 2009. Early learning standards: Creating conditions for success. Washington, DC: National Association for the Education of Young Children.
National Institute for Early Education Research. 2009. Math and science in preschool: Policies and practice. New Brunswick, NJ: Rutgers Graduate School of Education.
National Research Council. 2012. A framework for K-12 science education: Practices, crosscutting concepts, and core ideas. Washington, DC: National Academies Press.
National Research Council. 2009. Mathematics in early childhood: Learning paths toward excel lence and equity. Washington, DC: National Academies Press.
National Research Council. 2007. Taking science to school: Learning and teaching sciences in grades K-8. Washington, DC: National Academies Press.
National Research Council. 2001. Eager to learn: Educating our preschoolers. Washington, DC: National Academies Press.
National Science Teachers Association. 2014. NSTA position statement: Early childhood science education. Arlington, VA: National Science Teachers Association.
National Scientific Council on the Developing Child. 2007. The science of early childhood devel opment. Cambridge, MA: National Scientific Council on the Developing Child.
Neuman, S. B., and J. Dwyer. 2009. Missing in action: Vocabulary instruction in Pre-K. The Reading Teacher 62(5): 384-392.
Neuman, S. B., L. A. Lenhart, T. S. Wright, and K. Roskos. 2007. Nurturing knowledge. New York: Scholastic.
Pianta, R., C. Howes, M. Burchinal, D. Bryant, R. Clifford, D. Early, and O. Barbarin. 2005. Features of pre-kindergarten programs, classrooms, and teachers: Do they predict observed classroom quality and child-teacher interactions? Applied Developmental Science 9(3): 144159.
Sarama J., and D. H. Clements. 2009. Early childhood mathematics education research: Learning trajectories for young children. New York: Routledge.
Schmit, S., H. Matthews, S. Smith, and T. Robbins. 2013. Investing in young children: A fact sheet on early care and education participation, access, and quality. New York: Columbia University, National Center on Children in Poverty.
Schweinhart, L. J., J. Montie, Z. Xiang, W. S. Barnett, C. R. Belfield, and M. Nores. 2005. Lifetime effects: The HighScope Perry Preschool study through age 40, Monographs of the HighScope Educational Research Foundation, 14. Ypsilanti, MI: HighScope Press.
Sesame Workshop. 2014. Sesame Street framework for school readiness. New York: Sesame Work shop.
Shonkoff, J., and D. Phillips, eds. 2000. From neurons to neighborhoods: The science of early child hood development. Washington, DC: National Academy Press.
Tough, P. 2009. Can the Right Kinds of Play Teach Self-Control? New York Times, September 25.
Weiland, C., and H. Yoshikawa. 2013. Impacts of a prekindergarten program on children's mathematics, language, literacy, executive function, and emotional skills. Child Develop ment 84(6): 2122-2130.
17
17
www.connect4learning.com Copyright © 2016 Connect4Learning
|
Terms and Conditions for Payment Services – Nordea Bank S.A.
Terms and Conditions for Payment Services
January 2018
1
Contents
Terms and Conditions for Payment Services
An essential and basic service that we provide is the transfer of funds from and to your account. We are bound by law to agree with you, as our client, on the terms and conditions under which payment services are rendered by us, Nordea Bank S.A. These terms and conditions ("Terms and Conditions") set out the framework within which payment services will be handled.
In these Terms and Conditions words beginning with a capital letter have the meaning as stipulated in clause 18 below.
to return any funds due by any means other than cash, e.g. by way of a credit transfer or a cheque.
1. General provisions
1.1 Unless expressly agreed otherwise, these Terms and Conditions apply to all Payment Transactions made in EUR or any other currency of a European Union ("EU") or European Economic Area ("EEA") member state and where:
* the payment services are provided between us and a Payment Service Provider located in an EU or EEA member state; or
* the payment service solely takes place internally with us.
These Terms and Conditions also apply to Payment Transac tions in a currency that is not the currency of an EU or EEA member state, provided that the payment services are deliv ered between us and a Payment Service Provider that is located in an EU or EEA member state, but only in respect to those parts of the Payment Transactions which are carried out in the EU.
These Terms and Conditions also apply to all other Payment Transactions for which payment services are provided between us and a Payment Service Provider that is located outside of the EU or EEA, except for clauses 8, 9 and 12.2 of these Terms and Conditions.
All other parts or aspects of Payment Transactions not referred to in the preceding paragraphs are governed by our General Terms and Conditions.
1.2 Payment services in these Terms and Conditions are defined as:
* credit transfer service enabling you, as Payer, to issue a Payment Order to us, instructing us to debit your Payment Account and transfer funds that are available, or covered by a credit line, to a payment account held by a Payee. The credit transfer service also comprises us crediting your Payment Account with funds transmitted to us by a Payer (which if applicable may be you), via their Payment Service Provider, in favour of you as Payee. In accordance with your instructions, a credit transfer may be executed:
– –either on individual Payment Order; or
– –on a recurring basis at regular intervals, to the same Payee and for the same amount every time, in which case it is a standing order. A standing order is, unless indicated otherwise, valid until it is expressly revoked by you.
* service enabling cash withdrawals from your Payment Account, at our offices, and subject to any cash withdrawal limits we may have in place. Reasonable advance notice must be given to us for any withdrawal of cash at our offic es. It is expressly agreed that we may fulfil our obligation
* payment services via credit card enabling you to give a Payment Order through the Payment Instrument that has been issued by us, in accordance with the Terms and Con ditions applicable to credit cards and the relevant amount of the Payment Transaction, so ordered, will be debited from your Payment Account.
* payment services via Nordea Private eBanking enabling you to give a Payment Order via Nordea Private eBanking, in accordance with the Terms and Conditions for Nordea Private eBanking.
1.3 These Terms and Conditions do not apply to:
* accounts related to investments and which therefore do not qualify as Payment Accounts (e.g. securities, term deposits etc.);
* cash transactions (e.g. cash payment between seller and buyer);
* payments based on a paper document, such as a cheque;
* Payment Transactions relating to securities transactions (purchases/sales, subscriptions/redemptions);
* Payment Transactions related to securities asset servicing (e.g. payment of dividend, interest or income).
This list is not exhaustive. The complete list of services that are not covered by these Terms and Conditions can be found in article 3 of EU Directive 2015/2366 of 25 November 2015 on payment services in the internal market.
1.4 With respect to payment services covered by these Terms and Conditions, the contractual relations between us are further governed by our General Terms and Conditions and any other specific agreements between us.
1.5 In case of conflict between these Terms and Conditions, the General Terms and Conditions, the Terms and Conditions for Private eBanking and the Terms and Conditions applica ble to credit cards issued by us, these Terms and Conditions will prevail.
1.6 You are informed that, under applicable Luxembourg law, a declaration must be submitted to the Luxembourg Cus toms and Excise Administration if you wish to transport more than EUR 10,000 (or equivalent in another currency) out of the Grand Duchy of Luxembourg. In case you wish to trans port more than EUR 10,000 (or equivalent in another curren cy) outside the European Union, this declaration must be filed pursuant to regulation (EC) 1889/2005 of 26 October 2005 on controls of cash entering or leaving the European Community.
2. Payment Orders and communication
2.1 Payment Orders that you initiate must be given by you in whatever means has been expressly agreed with us. The Pay ment Order must include all information needed for the exe cution of the payment, such as:
– – Payer's name
* details of the Payer
– – account number
– – Payee's name and address
* details of the Payee
– – banking connection (e.g. BIC or the name and address of the Payee's Payment Service Provider)
* currency of payment
– – Unique Identifier (i.e. account number e.g. in IBAN format)
* amount and due date of payment
* any other information stated by us that is required for the transmission of the payment.
For a standing order, you must also provide the starting date for the first Payment Order and the periodicity of the Pay ment Order.
You are responsible for the validity of the information provid ed in a Payment Order and must ensure that the Payment Order is in accordance with all rules and regulations applica ble to it, depending on the currency or the destination of the Payment Transaction.
You accept that the aforementioned information will be passed to the Payee's Payment Service Provider (and, where relevant, also to intermediary Payment Service Provider(s) involved in the execution of the Payment Transaction).
We are not obliged to rectify or supplement a Payment Order and have no liability for errors made by you in the Payment Order. A Payment Transaction credited or debited to the account number or in accordance with any Unique Identifier stated by you in the Payment Order is deemed to have been correctly executed by us.
2.2 Payment Orders may also be given through the use of a Payment Instrument, such as a credit card issued by us and/ or via Nordea Private eBanking as detailed respectively in the Terms and Conditions applicable to credit cards and/or the Terms and Conditions for Nordea Private eBanking.
2.3 We will act in accordance with the Payment Orders given by you or your duly authorised agents. Payment Orders received from a duly authorised agent will be treated as Pay ment Orders given by you, unless otherwise specified in these Terms and Conditions.
3. Consent and withdrawal of consent
3.1 We are entitled, but not obliged, to require that a Pay ment Order issued by you is confirmed by you, in accordance with the below provisions and/or arrangements agreed with you separately:
* for Payment Orders issued by you by e-mail or orally by telephone, we may require you to confirm the Payment
* for Payment Orders issued by you in writing, you give your consent to execute the Payment Order by signing the Pay ment Order;
Order separately in writing or in another manner as instructed by us;
* via Nordea Private eBanking in accordance with the arrangements set out in the Terms and Conditions for Nor dea Private eBanking (to the extent this option is offered by us);
* by means of a credit card in accordance with the arrange ments set out in the Terms and Conditions applicable to credit cards;
The transmission to us of a Payment Order in accordance with the aforementioned terms shall constitute an authorisa tion to execute the said Payment Order.
If you are a Non-Consumer, a Payment Order from you may, at our discretion, be considered as having been authorised, even if it is transmitted in a different manner.
The validation of a Payment Order by means of a Payment Instrument is equivalent to your original signature, and has the same force as an original written document.
3.2 Consent may be withdrawn by you at any time, but no later than the point in time of irrevocability, as specified in clause 11.
4. Spending limits
In cases where a specific Payment Instrument is used for the purposes of authorising Payment Transactions, we may agree on spending limits for Payment Transactions executed through that Payment Instrument. We reserve the right to refuse to execute one or more Payment Transactions if the relevant lim its would be exceeded if the Payment Transaction would be executed. In such a case, we will not be under any obligation to send a separate notification of our refusal to you.
5. Information on Payment Transactions
Information on Payment Transactions executed and notifica tion of unauthorised or incorrectly executed Payment Transactions.
5.1 You will receive confirmation of executed Payment Transactions, as agreed between you and us. You must promptly read and review the information regarding execut ed Payment Transactions which is provided.
In the event of any discrepancy between the information pro vided by us and your own information or records, you must inform us without undue delay, in accordance with our Gener al Terms and Conditions.
It is your responsibility to inform us immediately if you do not receive a transaction confirmation, in accordance with our General Terms and Conditions.
You may request that the information on individual Payment Transactions for which you are acting as Payer be provided or made available to you periodically, at least once a month, free of charge and in a manner agreed with us which allows you to store and reproduce information unchanged.
5.2 If you become aware of any unauthorised, incorrectly executed, delayed or unexecuted Payment Transactions, you
must inform us without undue delay as soon as you detect it. If you are classified as a Consumer, you must in all cases report such Payment Transaction no later than 13 (thirteen) months from the date on which the Payment Transaction was executed or the amount was debited to your Payment Account. The period does not start until we have delivered the details of the execution or non-execution of the Payment Transaction to you in the agreed manner. If you are classified as a Non-Consumer, such a report must be submitted within 30(thirty) days.
If you do not request a rectification within the abovemen tioned time limit, we will no longer have any liability for any harmful consequences resulting from the execution of a Pay ment Transaction, whether or not it is authorised, or from the non-execution or defective execution of a Payment Transaction.
6. Our liability for unauthorised Payment Transactions
Our liability for unauthorised Payment Transactions (when you have filed a claim for rectification within the time limit set out in clause 5.2 above).
6.1 If you dispute a Payment Transaction on the basis that you did not authorise it, it will be our responsibility to offer proof that you did authorise the transaction.
If you consider us to be liable for an unauthorised Payment Transaction, we will immediately, and in any event no later than by the end of the following Business Day, after noting or being notified of the unauthorised Payment Transaction, restore the debited Payment Account to the state in which it was prior to the Payment Transaction. In that case the refund is conditional, meaning that we have the right to debit the returned amount from your Payment Account in case we are not liable for the Payment Transaction in question. Alterna tively, we reserve the right to investigate the Payment Trans action first, and if we are liable, to refund you immediately after investigation and not in the timeframe stated above.
If you are a Non-Consumer, it is for you to prove that a Pay ment Transaction which could be considered by us as having been authorised was not in fact authorised by you and, until proven otherwise, any executed Payment Transaction is deemed to have been authorised by you.
In any event, if you are a Non-Consumer, the use of a Pay ment Instrument, as recorded by us, is sufficient in itself to prove that the Payment Transaction was authorised by you.
6.2 Further financial compensation may be determined in accordance with the law applicable to the agreements con cluded between us.
5
7. Your liability for unauthorised Payment Transactions
Your liability for unauthorised Payment Transactions (when you have filed a claim for rectification within the time limit set out in clause 5.2 above).
By derogation to the rules set out in clause 6.1 above, you will bear the losses relating to any unauthorised Payment Trans actions in the following circumstances and conditions.
If you are a Consumer:
* in the event of loss or theft of a Payment Instrument or if the misappropriation of a Payment Instrument was made possible as a result of your failure to keep safe your per sonalised security features and until you have notified us of the Incident in accordance with the Terms and Conditions applicable to credit cards and/or the Terms and Conditions for Nordea Private eBanking, you will be liable for the loss es suffered in relation to any unauthorised Payment Trans action up to an amount of EUR 50. The above does not apply if the loss, theft or misappropriation of a Payment Instrument was not detectable by you prior to a Payment Transaction, except where you have acted fraudulently;
* notwithstanding the preceding paragraph, you will remain liable for all losses suffered until you have notified us of the Incident in accordance with the Terms and Conditions applicable to credit cards and/or the Terms and Conditions for Nordea Private eBanking, without any limitation in terms of amount, if :
– – intentionally or as a result of gross negligence, you have not complied with your obligation to use the Payment Instrument in accordance with the provisions of these Terms and Conditions and/or the Terms and Conditions applicable to credit cards and/or the Terms and Condi tions for Nordea Private eBanking; and/or
– – you have failed to notify us of an Incident within a rea sonable delay;
* in any event, you will bear the full amount of losses in con nection with an unauthorised Payment Transaction in the event of fraudulent behaviour on your part, without any limitation in terms of amount and irrespective of any notifi cation of Incident given to us.
If you are a Non-Consumer, you will bear the full amount of losses in connection with an unauthorised Payment Transaction:
* in the event of loss or theft of a Payment Instrument or if the misappropriation of a Payment Instrument was made possible as a result of your failure to keep safe your per sonalised security features.
* you have not complied with your obligation to use the Pay ment Instrument in accordance with the provisions of these Terms and Conditions and/or the Terms and Condi tions applicable to credit cards and/or the Terms and Con ditions for Nordea Private eBanking;
* you have failed to notify us of an Incident within a reason able delay;
* in the event of fraudulent behaviour on your part, irrespec tive of any notification of Incident given to us.
8. Liability for non-executed or defectively executed authorised Payment Transactions
Liability for non-executed or defectively executed authorised Payment Transactions (when you have filed a claim for rectifi cation within the time limit set out in clause 5.2 above).
Unless expressly stated otherwise, the rules stated in the present clause 8 do not apply if you are a Non-Consumer.
8.1 Liability when you are acting as Payer
8.1.1 You initiate the Payment Order
In the event of the non-execution or defective execution of a Payment Transaction, we will endeavour, at your express request, to trace the Payment Transaction and will inform you of the results of our efforts.
We may in no event be held liable for the defective execution of a Payment Order if we can establish that the amount cov ered by the Payment Order has been received by the Payee's Payment Service Provider within the applicable time limits. These provisions will also apply if you are a Non-Consumer.
Insofar as we are liable for the non-execution or defective execution of a Payment Transaction, we will refund, if appli cable, the total amount of the Payment Transaction to you and, if necessary, restore your debited Payment Account to the state in which it would have been had the defective Pay ment Transaction not taken place (the credit Value Date will be no later than the date the amount has been debited).
As far as possible, we may also take measures to remedy the defective execution of a Payment Order, if the Payment Order contains all the information necessary to remedy this defec tive execution, in particular in cases where we have trans ferred an amount different from that of the Payment Order, or in the event of an internal credit transfer from your Payment Account to another account belonging to you opened in our books. These provisions will also apply if you are a Non-Consumer.
The late execution of a Payment Order will not give rise to a refund of the total amount of the Payment Transaction pursu ant to the previous paragraphs but, if applicable, simply to a refund of the charges and interest incurred by you as a result of late execution. These provisions will also apply if you are a Non-Consumer.
8.1.2 The Payment Order is initiated via the Payee (Payment Transaction initiated by means of a credit card)
In the case of the defective execution of a Payment Transac tion, if you can establish that the Payee's Payment Service Provider transmitted the Payment Order within the applica ble time limits, we shall refund to you the total amount of the Payment Transaction and, if necessary, restore your Payment Account to the state in which it would have been had the said Payment Transaction not taken place (the credit Value Date will be no later than the date the amount has been debited).
As far as possible, we may also take measures to remedy the defective execution of a Payment Order, if the Payment Order contains all the information necessary to remedy this defec tive execution, in particular in cases where we have trans
ferred an amount different from that of the Payment Order. These provisions will also apply if you are a Non-Consumer.
The late execution of a Payment Order will not give rise to a refund of the total amount of the Payment Transaction pursu ant to the previous paragraphs but, if applicable, simply to a refund of the charges and interest incurred by you as a result of late execution. These provisions will also apply if you are a Non-Consumer.
8.2 Liability when you are acting as Payee
8.2.1 Payment Order executed in accordance with the Unique Identifier
A Payment Transaction executed by us in accordance with the Unique Identifier stated in the Payment Order will be deemed to have been executed correctly as regards the Payee indicat ed by the Unique Identifier, notwithstanding any additional information which may be provided to us. These provisions will also apply if you are a Non-Consumer.
If the Unique Identifier is incorrect, we may in no event be held liable for the harmful consequences resulting from the non-execution or defective execution of a Payment Transac tion when we have executed the latter in accordance with the indicated Unique Identifier stated in the Payment Order. It will then be for you to seek redress from the Payer and/or the latter's Payment Service Provider in this regard. These provi sions will also apply if you are a Non-Consumer.
8.2.2 Non-executed or defectively executed Payment Order
We will be considered as liable for the defective execution or non-execution of a Payment Order where you are the Payee only if you can prove that we received, within the applicable time limits, the amount specified in the Payment Order initiat ed by the Payer but that your Payment Account has not been credited with the amount specified in the Payment Order, after deduction, if applicable, of our charges, in accordance with clause 14 of these Terms and Conditions.
In this case, we will ensure that the amount of the Payment Transaction is at your disposal immediately after the amount is credited to our account. The amount of the relevant Pay ment Transaction will be credited with a Value Date no later than the Value Date applicable had the Payment Transaction been correctly executed.
It is expressly agreed that, if a Payment Transaction is incor rectly credited to your Payment Account due to a technical error, we will be irrevocably authorised to debit your Payment Account with the amount that was incorrectly credited to your Payment Account, without prior notification to you. If we receive a refund request from the Payment Service Pro vider of the Payer concerning a Payment Order credited to your Payment Account, we will be entitled to provide the Pay ment Service Provider of the Payer, without delay and with out prior notification to you, the information that is necessary for the Payer to request the refund directly to you (i.e. your name, address and account number).
9. Special case of Payment Transactions initiated via the Payee
Special case of Payment Transactions initiated via the Payee (Payment Transactions initiated by means of a credit card) and where a precise amount is not specified in the initial authorisation.
9.1 You, as Payer, are entitled, if you are a Consumer, to a refund from us of an authorised Payment Transaction initiat ed through the Payee which has already been executed, if the following conditions are met:
a) the authorisation given by you did not specify the exact amount of the Payment Transaction when the authorisa tion was made; and
b) the amount of the Payment Transaction exceeded the amount you could reasonably have expected, taking into account in particular your previous spending pattern, the agreements with us and relevant circumstances of the case; for the purpose of this subparagraph (b), you may not rely on currency exchange reasons, where the refer ence exchange rate agreed between us in accordance with clause 14.2 below has been applied for the execution of the relevant Payment Transaction.
At our request, you must provide factual elements relating to such conditions.
You may in any event only request a refund of the amount of the Payment Transaction in question. It is agreed that the charges, commissions and other costs generated by such a Payment Transaction may not be refunded.
You, as Payer, are not entitled to a refund where you have given your consent to execute the Payment Transaction directly to us and, where applicable, information about the future Payment Transaction was provided to you at least 4 (four) weeks before the due date, by us or by the Payee.
9.2 The request for the refund of an authorised Payment Transaction initiated through a Payee within the meaning of clause 9.1 above must be filed by you with us in writing in accordance with the arrangements specified in these Terms and Conditions and/or the Terms and Conditions applicable to credit cards, no later than 8 (eight) weeks from the date on which the funds were debited from your Payment Account.
Within 10 (ten) Business Days of receiving a request for a refund, we will either refund the full amount of the Payment Transaction to your Payment Account (in which case the credit Value Date will be no later than the date the amount was debited) or provide justification for refusing the refund, using the means of communication agreed with you. If you do not accept the reasons invoked by us, you can file a complaint in accordance with clause 17.1 below.
7
10. Receipt of Payment Orders
10.1 The point in time of receipt by us of a Payment Order is the time when the Payment Order transmitted directly by you or indirectly through a Payee is received by us in a manner approved by us. If the time of receipt is after 16:00 CET on a Business Day, or on a day that is not a Business Day for us, the Payment Order is deemed to have been received on the fol lowing Business Day.
A Payment Order will be deemed to have been received by us:
* if it is sent by e-mail, when the electronic mail is actually received during our business hours, as evidenced by our IT systems;
* if it is sent by post, when it is actually received by us;
* if by means of a credit card, in accordance with the arrangements set out in the Terms and Conditions applica ble to credit cards;
* in the event of an oral communication, at the time of the oral communication;
* if via Nordea Private eBanking, in accordance with the arrangements set out in the Terms and Conditions for Nor dea Private eBanking (to the extent this option is offered by us);
* if it is sent by fax, when we have received the complete fax message during our business hours.
If we require a Payment Order to be separately confirmed in accordance with clause 3.1, a valid Payment Order will be deemed to have been received by us at the receipt of the val idly given confirmation.
10.2 We may agree that execution of the Payment Order will start on a specific day, or at the end of a certain period, or on the day on which you have made funds available. In this case, the time of receipt is deemed to be the agreed day. If the agreed day is not a Business Day for us, the Payment Order shall be deemed to have been received on the first Business Day thereafter.
11. Irrevocability of a Payment Order
11.1 You may not revoke a Payment Order once it has been received by us unless otherwise specified here below. Such a Payment Order will be executed by us, notwithstanding any of your subsequent instructions to revoke it.
11.2 Notwithstanding clause 11.1 above, in cases where we have agreed that the execution of a Payment Order shall begin upon a specific day, at the end of a specific period or on the day when you have made the funds available to us, you may revoke the Payment Order at the latest by 16:00 CET on the Business Day preceding the agreed day. In case of revoca tion of a standing order, no further Payment Transactions will be executed under the relevant standing order.
11.3 After the time limits specified above, the Payment Order may only be revoked if agreed between us. If the Payment Transaction was initiated via the Payee, it will also be neces sary to obtain the Payee's agreement for the revocation to be effective. We shall have no liability for not accepting the revo cation of a Payment Order at your request. However, if we should nevertheless accept revocation, we will be entitled to charge you accordingly.
11.4 Concerning the receipt by us of a request to revoke a Payment Order, the terms set out in clause 10 shall apply.
12. Execution time and Value Date
12.1 We will execute a Payment Order if the information required for execution is provided in the required manner and the Payment Order is authorised by you (see clause 3) and a sufficient credit balance in the currency of the Payment Order is available, or sufficient credit has been granted.
12.2 The maximum execution times for outgoing Payment Transactions are determined as follows:
a. for Payment Transactions in EUR
– – when the funds are debited from a Payment Account held in EUR, the maximum completion time shall be 1 (one) Business Day;
– – when the funds are debited from a Payment Account held in another currency, and conversion is required before the funds can be sent, the maximum completion time is 4 (four) Business Days;
b. for Payment Transactions in another EU or EEA currency than EUR, the maximum completion time is four (4) Busi ness Days.
If the Payment Order is initiated on paper, the above-men tioned execution times may be extended by a further Busi ness Day.
These time limits start at the moment of receipt of the Pay ment Order, as defined in clause 10. Where you act as Payer, your Payment Account is not debited before receipt of the Payment Order within the meaning of clause 10 above. The Payment Transaction is considered executed when the Pay ment Service Provider of your counterparty has received the funds. It is understood that these are maximum times and that they apply only when there are sufficient funds in the Payment Account. The debit Value Date for your Payment Account is the Business Day on which the amount of the Pay ment Transaction is debited from your Payment Account.
12.3 For all other Payment Transactions not covered in clause 12.2, you acknowledge that the time taken to execute the Payment Transaction will depend on the operating rules of international payment systems and that in such cases we shall not be bound by the time limits specified above.
12.4 If we do not detect the fraudulent use or misuse of a Payment Instrument and execute Payment Transactions initi ated by means of such a Payment Instrument, we shall be considered, except in cases of gross or deliberate negligence, to have validly executed the Payment Transaction, as if the said transaction had actually been initiated by you.
12.5 In case you are Payee in the context of a Payment Transaction, we will ensure that the credit Value Date for your Payment Account is the same as the credit Value Date on which the amount of the relevant Payment transaction is credited to our account.
We will ensure that the amount of the Payment Transaction is at your disposal immediately after that amount is credited to our account where, on our part, there is no currency conver
sion or a currency conversion between the currencies of two EU or EEA member states.
12.6 The amount of the Payment Transaction will be made available by a simple credit entry on your Payment Account, even if the overall balance of such Payment Account remains overdrawn.
When the currency in which the funds have been received differs from the currency of your Payment Account, we may open a sub-account in the currency and credit the said funds to the new sub-account.
13. Refusal to execute a Payment Order
Without prejudice to clause 6.3 of the General Terms and Conditions, we may – without however having any obligation – refuse to execute a Payment Order:
* if the Payment Order contains any factual error whatsoev er, in particular an incomplete or inaccurate Unique Identifier;
* if you have defaulted on any of your obligations to us pur suant to these Terms and Conditions or, more generally, any other agreement between us;
* if the Payment Order does not comply with the information requirements agreed in these Terms and Conditions or reg ulatory or market standards;
* if the Payment Order cannot be executed in full, in particu lar because your funds or credit line are inadequate;
* if the available balance of one or more Payment Instru ments is insufficient according to the limits agreed between us for their use;
* if it appears to us that the Payment Order emanates from a person who is not authorised to operate your Payment Account;
* if changes in your financial situation or a person financially connected to you might call into question the prompt exe cution in full of your commitments;
* if it appears that we are required, pursuant to a legal or contractual provision, or a court order, not to execute the Payment Order or block the Payment Account or a Pay ment Instrument.
If we refuse to execute a Payment Order in accordance with the previous paragraph, we will inform you of our refusal using the communication means agreed with you, within the time limits for execution pursuant to clause 12 of these Terms and Conditions, unless there are legal provisions to the con trary. We will specify in the said notification, if possible, the reasons for our refusal and the procedure to be followed to correct any factual errors having led to the said refusal. We will be deemed to have satisfied this obligation if we have sent this notification within the aforementioned time limit, irrespective of the actual date of receipt of this notification by you. The charges in connection with any such notification by us of a justified refusal of a Payment Order may be charged to you.
If you want a Payment Order executed that we have previous ly refused to execute, you must submit a new Payment Order to us containing all the necessary elements and not simply correct the initial Payment Order.
14. Charges
14.1 Price list
We charge the services rendered under these Terms and Con ditions and depending on the nature of the services agreed, as set out in in our relevant Charges and Commissions List. If you are a Consumer, these charges are set out in our relevant Charges and Commissions List which will be held available to you. Moreover, if you are a Consumer, our relevant Charges and Commissions List has been provided to you before the entry into force of these Terms and Conditions.
In respect of payments within the EU and EEA, i.e. where both the Payer's and the Payee's Payment Service Providers are located within the EU/EEA, the Payer and the Payee are each liable for paying the fees and charges charged by their own Payment Service Provider for the execution of the Pay ment Transaction (the "SHA" principle, costs shared equally between the Payer and the Payee).
In all other instances, you may decide to apply the "SHA" principle, "OUR" principle (costs to be borne by you) or "BEN" principle (costs to be borne by the Payee). If no choice is made, the "SHA" principle will be applied automatically.
Before every individual Payment Transaction, you undertake to ascertain the specific charges applying to the said Payment Transaction.
Where you act in a capacity as Payee in relation to a Payment Transaction, you authorise us to debit from the amount to be credited to your Payment Account any fees that may be due to us, before crediting your Payment Account.
More generally, you authorise us to automatically debit your Payment Account with the charges payable to us.
You accept that, in addition, you may be charged, in particular in the event of notification by us of our refusal to execute a Payment Transaction, in the event that we accept the revoca tion of a Payment Transaction within the meaning of clause 11.3 or in the event of the recovery of a Payment Transaction following the provision of an inaccurate Unique Identifier by you. If you are a Non-Consumer, you agree that we may deduct all the charges incurred in carrying out the informa tion measures and preventative corrective measures which we are to perform pursuant to these Terms and Conditions.
You will continue to be liable for charges due, even if the said charges are claimed after the Payment Account has been closed.
14.2 Foreign exchange rate
14.2.1 When the provision of a payment service pursuant to these Terms and Conditions involves a foreign exchange transaction, we will apply the exchange rate on the day of the execution of the proposed Payment Transaction, based on current market rates.
For Payment Transactions initiated via credit card, the exchange rate and its application are subject to the terms specifically provided for in the Terms and Conditions applica ble to credit cards.
9
Given that exchange rates fluctuate continuously and that the rates provided vary intraday, you undertake to ascertain the applicable exchange rate before any Payment Transaction involving a currency conversion.
14.2.2 You acknowledge that exchange rates may vary at any time. You acknowledge that the exchange rate applied to a Payment Transaction will be the effective rate at the time the Payment Transaction is executed.
You accept that any changes in exchange rates will be applied immediately without prior notice. If you are a Con sumer, such an immediate change, without notice, may only be applied if the changes are based on changes in reference exchange rates. Information on the applicable exchange rates following such a change will be made available to you in our offices and provided to you upon request.
Changes to exchange rates, which are favourable to you will be applied without prior notice.
15. Duration and termination
15.1 The rules set out in clause 20.1 of our General Terms and Conditions are applicable in case of termination of these Terms and Conditions.
However, we may terminate with immediate effect, without prior formal notice, the mutual relations pursuant to these Terms and Conditions:
– –irrespective of your status, if among other things, you have defaulted on your contractual obligations or if we consider that we may incur liability as a consequence of the continuation of our relationship with you or that your Payment Transactions appear to be contrary to applica ble laws and regulations, public order or accepted princi ples of morality, or if you do not respect your undertaking to act in good faith;
– –if you are a Non-Consumer; or
in which case all your obligations, even future obligations, will become immediately enforceable.
15.2 Current Payment Transactions will not be affected by the termination of these Terms and Conditions. These Terms and Conditions as well as our relevant Charges and Commis sions List will continue to apply for the settlement of Payment Transactions in course of execution.
15.3 The termination of these Terms and Conditions will result, if applicable, in the termination of the Terms and Con ditions applicable to credit cards. However, the termination of the Terms and Conditions applicable to credit cards will not result in the termination of these Terms and Conditions as a whole, but only of the provisions of these Terms and Condi tions relative to payment services by means of a credit card.
The termination of these Terms and Conditions will not result in the termination of all contractual relations between us; the sole consequence will be that you will no longer be autho rised to carry out Payment Transactions in accordance with these Terms and Conditions.
15.4 You acknowledge and accept that in the event of the termination of these Terms and Conditions or of the Terms and Conditions applicable to credit cards within 6 (six)
months after the acceptance thereof, termination charges may apply. If you are a Non-Consumer, you will be charged termination charges, without prejudice to all other charges which may be due to us in the event that an account is closed, also in the event of the termination of these Terms and Condi tions or of the Terms and Conditions applicable to credit cards beyond 6 (six) months after the acceptance thereof.
15.5 The termination of all contractual relations between us in accordance with the provisions of the General Terms and Conditions will automatically result in the termination of these Terms and Conditions. However, during the notice peri od as provided for therein, these Terms and Conditions as well as, if applicable, the Terms and Conditions applicable to credit cards will continue to apply and the Payment Account will remain open in order to carry out Payment Transactions only. In this context, the Terms and Conditions as well as, if applicable, the Terms and Conditions applicable to credit cards and the relevant provisions of the General Terms Condi tions will continue to apply throughout the said notice period.
16. Data protection
The performance of Payment Transactions may entail the processing of your personal data and of related third party natural persons (such as your representatives or contact per sons). Please refer to the Privacy Policy for further informa tion on the processing of personal data. The current version of the Privacy Policy can be found on our website www.nor deaprivatebanking.com.
By initiating Payment Transactions, you expressly consent to the related processing of your personal data by us, as further described in the Privacy Policy.
17. Complaints and redress procedures
17.1 In case you wish to raise a complaint in relation to any Payment Transaction or matters covered by these Terms and Conditions, please refer to our complaint management proce dure. Details of our complaint management procedure are published on our website, www.nordeaprivatebanking.com, under the section "How to complain". You agree that such a complaint management procedure will be made available in English and that all communications between us on this sub ject will be in English.
You agree that all communications/answers in this context may be addressed to you either on paper or on another dura ble medium.
17.2 Without prejudice to the right to bring proceedings before a court, you are entitled to file a complaint with the Luxembourg financial supervisory authority, Commission de Surveillance du Secteur Financier (www.cssf.lu) regarding the alleged infringement of the provisions of Luxembourg law implementing the EU Directive 2015/2366 of 25 Novem ber 2015 on payment services in the internal market. Further details about the CSSF competence in that respect, and the manner in which a request may be submitted to the CSSF, are also provided on our website www.nordeaprivatebanking. com, under the section "How to complain".
18. Definitions
Capitalised terms used in these Terms and Conditions have the following meanings:
"BIC" means a Business Identifier Code, ISO 9362. which is an international code that identifies the Payment Service Provid er. The BIC is also known as the SWIFT code.
"Consumer" means a natural person who, in the framework of these Terms and Conditions, is acting for purposes other than her/his trade, business or profession. Legal persons are always considered as Non-Consumers;
"Incident" means the loss or theft of a Payment Instrument, the disclosure to third parties (even if it is unintentional or only suspected) of the secret code ("PIN Code") of a credit card or of any other access codes to a Payment Instrument, the misappropriation or any other unauthorised use of a Pay ment Instrument by you or by a third party as well as the loss, theft, disclosure to third parties (even if it is unintentional or only suspected), misappropriation or any other unauthorised use of your personalised security features;
"Non-Consumer" means a legal person or natural person who, in the framework of these Terms and Conditions, is act ing for trade, business or professional purposes. Natural per sons acting in private capacity are always considered as Consumers;
"Payee" means a party receiving funds;
"Payer" means the initiator of a Payment Order or, where the Payment Order is initiated by the Payee, the Payment Service User whose account is debited;
"Payment Account" means an account held by the Client with Nordea Bank S.A. for making or receiving payments;
"Payment Instrument" means any personalised device(s) and/or set of procedures (such as a credit card or Nordea Pri vate eBanking) agreed between us and used by you to initi ate a Payment Order;
"Payment Order" means an instruction from a Payment Ser vice User requesting the execution of a Payment Transaction;
"Payment Service Provider" means any natural or legal per son authorised to provide payment services;
means a Payer or a Payee;
"Payment Service User"
"Payment Transaction" means the act, based on the Pay ment Order, of transferring, withdrawing or receiving funds, or making funds available;
"Unique Identifier" means the account number, e.g. "Interna tional Bank Account Number" (accompanied by the "IBAN" distinguishing abbreviation) and, if applicable, the "Bank Identifier Code" (accompanied by the "BIC" distinguishing abbreviation) to be provided by you:
* to enable the payment account of the other Payment Ser vice User to be identified unambiguously for the purposes of ensuring the correct execution of a Payment Order, and,
* if applicable, to identify unambiguously your Payment Account to ensure the correct execution of a Payment Order;
"Value Date" means a reference date used by us for the cal culation of interest on the funds debited from or credited to your Payment Account through a Payment Transaction.
Capitalised terms not otherwise defined in these Terms and Conditions have the meaning ascribed to them in the General Terms and Conditions.
|
THANKS…A LONG TIME COMING
This has to be the hardest newsletter that I've ever written. Over the years, I've had the freedom to go on about pretty much whatever I've wanted in this space. It's been a lot of fun, most of the time it's been a little irreverent as I tried to make a point, and hopefully it's done a little good. A lot of you comment about my writing skill, or lack of it, so someone must be reading this stuff. Hard to believe that I've never once gotten in trouble for what I've said, (my wife is amazed)! I've tried to use this outlet to wake up some people, to get them involved, to make them uncomfortable and to ruffle a few feathers about us all being safer and better people, parents and citizens. I sincerely hope that I've never offended you as that has certainly never been my intent.
Now I have the microphone one more time and I want to use it to thank you, each of you, for what you have given to my family and I.
This will be my last Pleasant Grove newsletter. If you haven't heard, I'll be leaving the Pleasant Grove Police Department on November 1st. I have been given the chance of a lifetime… the chance to start and build a police department in Lindon City as their Chief of Police.
Leaving Pleasant Grove Police Department will not be easy. I want to tell you all how much I've enjoyed and will always treasure the last, almost 27 years that I've worked with and for you. Every minute of it has been an adventure, and what a great ride! I have been able to learn from great teachers; Chief Mike Ferre who took a chance on me as a kid, and my great friend Chief Tom Paul, who I have tried to emulate and to whom I am forever indebted.
I get to leave knowing that PGPD and the great people who work here make up what is probably the best small department in the state. I hope that my contribution helped a little along the way. It will be a tough act to follow as I try to build in Lindon.
Please know that I appreciate that you have been my neighbors, my teachers, my friends…and sometimes my comic relief. We have been through a lot together, you have helped to raise my children as I have tried to help with yours, we have shared joy and pain, grief and comfort, tragedy and triumph, but most of all success and hope.
The people of Pleasant Grove and Lindon are unrivalled anywhere that I have roamed in their integrity, their humanity, their sense of community and their willingness to serve. I have been blessed and honored by my association with you over the years and I thank you for entrusting me with the duty and opportunity to serve you.
Captain Cody Cullimore, Pleasant Grove Police Department
Thanksgiving Edition
November 2007 www.plgrove.org
MAYOR'S MESSAGE
The Recreation Center continues to grow. Drive by the High School and see the building, parking and landscaping as it takes shape.
Last month we celebrated three groundbreakings, for a total of 234,000 square feet of new commercial construction in Pleasant Grove; as well as 954,000 square feet of commercial space for the months of August through November. Total construction value of these eleven projects is expected to top $190,000,000!
Three more groundbreakings are scheduled for November. You are invited to join in these events. They are:
1. West Grove Plaza, 700 South 2500 West, Wednesday, November 14 at 10:00 a.m. They are planning a threestory, 34,000 square foot Class A office building. Brett Nelson observed, "Pleasant Grove is clearly the center of gravity for commercial development in Utah County."
2. Tuscan Gardens, 600 West Center Street, Thursday, November 15 at 10:00 a.m. This is a 153,000 square foot office and retail park. The ten-acre, $20 million project will include six buildings: three office buildings of three floors each, and three retail buildings.
3. Lansing Building Products, 829 South 490 West, Friday, November 16, at 10:00 a.m. Lansing is one of Pleasant Grove's most important sales taxpayers. They will be adding onto their existing 14,000 square foot manufacturing facility.
This is a great time of growth for our City. The variety of businesses will create a tremendous economic base and professional jobs for years to come. We are grateful to the investors who have chosen Pleasant Grove as their home.
If you'd like space in these and other projects in our City, please contact our Economic Development Director Richard Bradford. He may be reached through at City Hall, 801-7855045.
Congratulations to Captain Cody Cullimore who is the new Chief of Police for our neighbors in Lindon. Cody has served Pleasant Grove for 27 years. He is a great asset to both cities and will work closely with Chief Tom Paul as we create two police departments by July of 2008.
Remember to vote on Tuesday, November 6. In addition to selecting three City Councilmen, you will also be deciding on Education Vouchers for the State of Utah. Voting is a privilege and responsibility for citizens in the USA. It is important that your voice is heard.
Thanks again for all you do as citizens to make Pleasant Grove such a great place to live. Because of you, many good things are happening. Keep your comments and questions coming to email@example.com.
Michael W. Daniels, Mayor
PUBLIC INFORMATION MEETING #2
Geneva Road Environmental Impact Statement Wednesday, November 28, 2007, 6:00 - 8:00 PM Vineyard Elementary 620 East Holdaway Road, Vineyard, Utah
There will not be a formal presentation. Please stop by anytime between 6:00 PM and 8:00 PM to view the displays and visit with the project team members. (If you are unable to attend the open house you can still submit comments via email, letter, project hotline, or the project Web site.)
Contact information: Project Hotline 801.763.5256, www.udot.utah.gov/geneva, firstname.lastname@example.org
WEED ABATEMENT:
Please keep yards and vacant lots free of weeds. These create fire hazards and also spread the seeds to neighboring residences.
CHRISTMAS IN THE GROVE – DEC. 9
"Christmas in the Grove" is a joyous musical celebration of the Christmas season featuring choirs from the Grove Creek Stake. It is a wonderful opportunity to attend a lovely Christmas concert with your family. "Every year we look forward to sharing the joy of the season with our neighbors and friends through music and song," explains music director Kathryn Laycock Little. The music ranges from traditional carols to more contemporary selections, and there is always something interactive for the audience. Individual musicians will perform 30 minutes prior to the program. Everyone is invited to arrive early to enjoy the additional performances before the concert begins.
"Christmas in the Grove" will be presented on Sunday, December 9, in the Alpine Tabernacle, 110 East Main, American Fork. The "pre-program" begins at 6:30 p.m., and the concert begins at 7:00 p.m. Admission is free.
HOUSE NUMBERS:
Please install house numbers on your home. It is difficult for Emergency Services to locate residences that do not have numbers posted on their homes.
MAKE THEM AS VISABLE AS POSSIBLE
LINCOLN ACADEMY
Lincoln Academy will have open enrollment December 1, 2007 - February 1, 2008 for the 20082009 school year. Lincoln Academy is a Free public school for K- 9th grade . For more information about Lincoln and enrollment visit www.lincolnacademy.org. Tours of the school are available Tuesdays at 10:00 a.m. 12/4/07 - 1/29/08. Lincoln Academy is located at 1582 West 3300 North in Pleasant Grove.
ILLEGAL BURNING:
No burning of weeds or refuse is allowed in the city. This is a Federal law, and only small, recreational fires are allowed. If you have questions, contact the Fire, Police or Community Development office.
GREETING FROM YOUR FIRE CHIEF
We hope your Halloween was as scary as you dreamed it would be. And, we wish you the best Thanksgiving ever.
Look for us around town sporting our new logos on our vehicles. It is a new look for us and something we are proud to display.
Please be safe! I look forward to a more detailed visit next month.
Chief Marc Sanderson
STORM DRAIN AND GUTTER CLEANING:
Please remove all leaves from gutters and storm drains which are located in front of your homes.
MOUNTAIN VIEW CORRIDOR
The Utah Department of Transportation (UDOT) announces the release of the Draft Environmental Impact Statement (DEIS) on the Mountain View Corridor, a proposed highway and transit corridor in west Salt Lake County and northwest Utah County. The public comment period for the DEIS is Oct. 17 through Dec. 24, 2007.
"Five volumes, 34 chapters, 2,238 double-sided pages and 18 pounds later, we have reached a significant milestone for transportation with the release of the Mountain View Corridor DEIS," said Teri Newell, Mountain View Corridor Project Manager. "This monumental task offers the first, real comprehensive look at transportation issues in west Salt Lake County and northwest Utah County."
The DEIS is available on the project Web site, www.udot.utah.gov/mountainview, or at the Pleasant Grove City Library. Other locations are listed on the project Web site. Comments on the DEIS may be submitted via:
* The project Web site: www.udot.utah.gov/mountainview.
* E-mail: email@example.com
* Mail: Mountain View Corridor, C/O Parsons Brinckerhoff, 488 E. Winchester St., Suite 400, Murray, Utah 84107
* Phone: (800) 596-2556
Comments may also be made at three public hearings: Hunter High School in West Valley City, Nov. 14, 4 – 8 p.m.; Willow Creek Middle School in Lehi, Nov. 15, 4 – 8 p.m.; and Copper Hills High School in West Jordan, Nov. 17, 2 – 6 p.m.
Tremendous growth is projected in west Salt Lake County and northwest Utah County over the next 30 years, including a 167 percent increase in population, a 298 percent increase in employment, and a 223 percent increase in households. This growth will cause significant delay on many of the major north-south and east-west roads in the project area. It will also create new demands for public transportation or transit service.
After nearly five years of extensive study, the project team has narrowed the list of viable transportation solutions to two roadway alternatives and two transit alternatives in Salt Lake County, three roadway alternatives in Utah County and a trail system. The Federal Highway Administration will ultimately make the final selection of a preferred alternative, which will be documented in the Record of Decision in 2008.
Those interested in learning more about the Mountain View Corridor should check regularly on the project Web site at www.udot.utah.gov/mountainview.
ELECTION INFORMATION
The Primary election on September 11, 2007 qualified six remaining candidates for the election on November 6, 2007. Those candidates are Richard W. Ables, Cindy Boyd, Bruce Call, George Church, Erin Daniel and Jeffrey D. Wilson. The top three candidates (from the November election) will fill positions on the Pleasant Grove City Council. The General Election will be held on Tuesday, November 6, 2007. The Citizen's State Referendum #1 (regarding school vouchers) will also be on the November ballot. Polling places will be the same for your precinct as was during the Primary Election. If you have any questions, please call Utah County Elections at 851-8130 or 851-8128
2007 Consolidated Precincts:
PG01 & PG11 Manila Elementary 1726 N. 600 W. PG14 Manila Elementary 1726 N. 600 W. PG02 & PG05 Mt. Mahogany Elementary 618 N. 1300 W. PG03 and PG07 P.G. Jr. High 810 N. 100 E. PG04 and PG10 Valley View Elementary 941 Orchard Dr. PG06 Sportsmen/Lions Center 600 E. Center PG08 & PG13 Sportsmen/Lions Ctr. 600 E. Center PG09 & PG12 Grovecrest Elementary 200 E. 1100 N.
UNREGISTERED/ABANDONED VEHICLES AND TRAILERS:
Pleasant Grove has a 48-hour parking limit for vehicles and trailers parked on the streets. Unregistered or expired vehicles cannot be parked on the street. Contact Community Development or The Police Department for questions.
HEAT PROGRAM
Community Action Services is now accepting applications for the HEAT program, a program which assists low-income households in making utility payments through the winter season. A one-time payment per year will be submitted directly to utility companies for individuals who qualify. Disbursements are based on income. All Utah County residents interested in applying must call 373-8200 from now until the end of April for an appointment. Low-income households and those with disabilities are especially encouraged to apply. Applicants must meet income guidelines and provide all required documentation. Homebound individuals may request an Outreach worker to come to their home to assist in the application process. Firsttime applicants in Utah County must complete an energy education class as part of the process (energy class is waived for disabled or elderly applicants).
Please go to www.CommunityActionUC.org for more information or call 373-8200.
LIBRARY NEWS
"Rise Up Reading"
Pleasant Grove City Library celebrates National Children's Book Week November 12th to 16th with fun activities every evening at 6:30.
Monday- Rise up reading through imaginative learning from Mad Scientists of Salt Lake City.
Tuesday- Rise up reading with more planned fun activities.
Wednesday- Rise up reading with stories, crafts, songs and fun at Twilight Tales
Thursday- Rise up reading with a dance company. Friday- Rise up reading with movie night at the library.
"Mrs. Santa Claus Tells Stories"
November 28 at 6:30 and 7:30pm
Mrs. Santa Claus will visit the library with new Christmas books at Twilight Tales. Plan to start the holiday season with the Pleasant Grove City Library.
R.E.A.D. Book Group
November 8, at 10:00 am The Anguish and Adventure of Adversity: Finding Joy in the Journey Written and reviewed by Cheryl Carson
Book Enders Book Club
November 29, at 7:00 pm
The Memory Keeper's Daughter by Kim Edwards
SIGNS:
City code requires all signs (including garage sale signs) to have permits. Illegal signs will be removed and the owner will be billed $47 for each one taken down. Contact Community Development for free permits.
STREET WIDENING STUDY
US 89 (State Street) Widening Study
UDOT is conducting a study to analyze ways to provide for travel demand, improve safety, and accommodate planned developments, including making State Street a consistent seven lane roadway from 2000 North in Orem to 100 East in American Fork. Residents are invited to learn about the project, ask questions, share concerns or to be added to the project mailing list. Residents may do so by calling the project hotline at 801-763-5280, visiting the website at www.udot.utah.gov/statestreetes or by email at firstname.lastname@example.org
RECREATION NEWS
Jr. Jazz Basketball
3rd Annual Pleasant Grove Recreation Basketball Turkey Shoot
Come show off your stuff and a chance to win a holiday turkey for Thanksgiving. Saturday, November 10th starting at 3:00 pm at Pleasant Grove Community Center 65 East 200 South. If you can shoot a basketball your in! COST- A can food donation that will be delivered to the Utah Food Bank
Pleasant Grove Recreation Ski & Snowboard School 2008
Join us for another great year on the slopes! Pleasant Grove Recreation sponsors this program in conjunction with Sundance Ski Resort. This is a five week program and includes round trip bus transportation from Pleasant Grove Community Center and a 2 hour lesson and lift ticket each time. Participants must be at least 7 years old. This program is open to the residents of Pleasant Grove and Lindon only! Those outside of these cities will be placed on a waiting list and added if space is available.
Registration: November 1 – December 28 or until filled Space is limited so please sign up early.
Program Dates: January 12, 26 February 9, 23 and March 8.
Holiday Cooking Classes
Ages 5 and up Register Now for Pie Class Nov 20 Elf Cooking Dec 1 Cookie Class – Dec 22
For more details Pick up flyer at the Pleasant Grove Recreation Center
|
RULES AND REGULATIONS
of
THE HERITAGE VILLAGE WATER COMPANY
Revised April 1, 2009
(A) DEFINITIONS
(B) GENERAL RULES
(C) APPLICATIONS AND TRANSFERS
(D) MAIN EXTENSIONS AND SERVICE CONNECTIONS
(E) METERS
(F) BILLING AND COLLECTION
(G) DISCONTINUATION OF SERVICE
(H) PRIVATE FIRE SERVICE
(I) PUBLIC FIRE SERVICE
(J) COMPANY RESPONSIBILITIES
CONTENTS
RULES AND REGULATIONS
(Subject to change without notice. These Rules and Regulations constitute an integral part of the contract between The Heritage Village Water Company and its Customers.)
(A) DEFINITIONS
1. The word "Company" as used herein means The Heritage Village Water Company, including its Sewer Division.
2. The word "Customer" means any person, partnership, firm, corporation, company, association, governmental unit, lessee who by the terms of a written lease is responsible for the water or sewer bill, owner of property, or other entity furnished water or sewer service by the Company.
3. "DPUC" means the Department of Public Utility Control of the State of Connecticut.
4. "Premises" shall include, but is not restricted to, the following:
(a) A building or combination of buildings owned or leased by one Customer, in one Common Enclosure, occupied by one individual or family as a residence or one Customer as a place of business or as a combination place of business and residence; or
(b) Each unit of a multiple house or building separated by a solid vertical partition wall occupied by one individual or family as a residence or one Customer as a place of business, regardless of whether said unit is owned or leased by the occupant thereof; or
(c) Each separately owned unit within a condominium, cooperative, or similar individual ownership arrangement occupied or used by one individual or family as a residence or place of business; or
(d) A building owned or leased by one Customer and having a number or apartments, offices or lofts which are rented to tenants using in common one hall and one or more means of entrance; or
(e) A building two or more stories high under one roof Owned or leased by one Customer and having an individual entrance for the ground floor occupants and one for the occupants of the upper floors; or
(f) A combination of buildings owned by one Customer, in one Common Enclosure, none of the individual buildings of which is adapted to separate ownership; or
(g) A public building; or
(h) A single plot, used as a part or recreational area.
5. "Common Enclosure" means property under common ownership which is bounded by property lines, public streets or highways.
6. "Main" means a water or sewer pipe owned, operated and maintained by the Company which is used for the purpose of transmission or distribution of water or collection or transmission of effluent, but is not a Service Pipe.
7. "Service Pipe" means any pipe or pipes running between a Main and a Customer's Premises, including fire lines, and where the context requires, such valves and fittings as may be connected thereto.
8. "Service Connection" means (a) a water Service Pipe (excluding the corporation cock) from a Main to and including a curb stop adjacent to the street line or a Customer's property line, together with such other valves and fittings as the Company may require between the main and the curb stop and (b) that portion of a sewer Service Pipe that is not a Customer Service Line.
9. "Customer Service Line" means (a) that portion of a water Service Pipe from the curb stop to the Customer's Premises and (b) that portion of a sewer Service Pipe that is, in the case of any building that contains separately owned units within a condominium, cooperative, or similar individual ownership arrangement, five feet or less from the building being served by such Service Pipe and, in any other case, that portion of a sewer Service Pipe that is located on the Customer's property, subject in each instance to any agreement to the contrary between the Company and the Customer.
10. "Meter" means any device for measuring the quantity of water used as a basis for determining charges for water or sewer service, respectively, to a Customer
11. "Tap" means the fittings installed at a Main - to which a Service Pipe is connected.
12. "Fire Service Line" means a Service Pipe used exclusively for fire protection purposes.
13. "Combination Service Line" means a water Service Pipe used for both fire protection and domestic or industrial water use.
14. The term "owned" shall include fee ownership, ownership of a cooperative interest, a life estate, time-sharing or any other long-term interest similar to ownership.
The interpretation of the Company shall govern the meaning of all definitions.
(B) GENERAL RULES
1. The rules and regulations as herein set forth and as filed with the DPUC, along with such water and sewer rate schedules as may from time to time also be filed and approved by the DPUC, constitute an integral part of the Company's contract with every Customer; and each Customer shall be deemed to assent thereto and be bound thereby.
2. The Company will undertake to provide an adequate supply of potable water at adequate pressure throughout its water system and to remove effluent from its sewer system, but cannot assume responsibility or liability, whether direct, indirect, or consequential, for any damages resulting from failure to do so. Whenever possible, work necessitating the interruption of service will be scheduled to provide the least inconvenience to the Customer. The Company will make a reasonable effort to give advance notice of any work necessitating the interruption of service. To safeguard against possible damage due to interruption of service, Customers are advised to regulate their installations connected with the water supply system so that damage will not result if water is shut off without notice. Automatic check valves should be installed on the Customer Service Line for water at the building entrance. Hot water boilers should be provided with vacuum and pressure relief valves maintained by the Customer in good operating condition at all times. Lever type valves are recommended.
3. Authorized employees of the Company shall have reasonable access to Customers' Premises for the purpose of reading, testing or repairing Meters; inspecting plumbing connections, fixtures or pipes; or discontinuing service upon request or for any of the reasons set forth in Rule G-1. Such employees will wear a Company uniform or carry a badge, identification card or insignia identifying them as Company employees. Services rendered after hours or on weekends or holidays are subject to special charges. The Company, its employees or agents shall perform such tests and make such inspections as the Company deems necessary or desirable to determine the operational efficiency of its water and sewer systems and the compliance by Customers with these rules and regulations.
4. Whenever the public interest so requires, the Company reserves the right to curtail or suspend entirely the use of water for nonessential purposes. Any such curtailment or suspension shall be without liability on the part of the Company but the Company shall make a reasonable effort to notify in advance all customers affected by such curtailment or suspension.
5. In high areas where pressure may be low, it is recommended that Customers install and operate, at the Customers' expense, a booster pump and tank, the size of which shall be subject to approval by the Company. In low areas where pressures may be high, it is suggested that Customers install, at the Customers' expense, pressure reducing valves. The Company shall not be liable for damages resulting from failure of a Customer to provide adequate equipment to compensate for pressures attributable to a high or low location.
6. No Customer shall supply water or sewer service to other persons or permit any connection to be made on its Premises for supplying water or sewer service to other Premises. No Customer shall connect any sump pump, yard drain, gutter, storm drain or similar drainage system to the Company's sewer system.
7. If there is not sufficient pressure or flow in a particular portion of the Company's water system to permit an industrial Customer to qualify for preferred risk insurance, the costs of any improvements in the system for the specific purpose of achieving such qualification shall be borne by the Customer unless special written agreement is reached with the Company.
8. Each Customer is responsible for keeping its Customer Service Lines and all pipes and fixtures within the Customer's Premises in good order and protected from freezing. Failure to do so may result in interruption of service and costly repairs for which the Company is not liable.
9. Any changes in the location of Meters or Service Pipes requested by the Customer shall, if approved by the Company, be made at the Customer's expense.
10. Except for residential water and sewer service in the Heritage Village Water Division or as otherwise previously agreed or as herein provided, applications for water or sewer service at flat rates shall not be accepted by the Company. Flat rate Customers shall notify the Company before making any changes in the number of fixtures serving their Premises. The Company may make periodic inspections of fixtures belonging to flat rate Customers.
11. No pipe or fixture connected with the water Mains of the Company may be connected with pipes or fixtures supplied with water from any other source. Storage or mixing tanks subject to contamination, swimming pools, swimming pool recirculating systems, private wells and water reclaiming systems, etc. are considered for the purpose of this Regulation as other sources.
12. The piping and plumbing, on all Premises serviced by the Company's water or sewer system shall comply with the Connecticut Public Health Regulations and the sanitary codes, if any, of the municipality in which the Premises are located.
13. Customers who plan to install air conditioning or refrigeration equipment totaling over three tons in capacity shall provide water conserving equipment as approved by the Company.
14. In the event that any Customer shall use water at rates of flow that cause noticeable pressure variations in any portion of the Company's water system, the Company may require that the Customer alter such rates of flow or install such equipment as the Company may approve to minimize such variations.
15. Except as otherwise provided herein, these rules and regulations shall apply equally to water service and to sewer service.
(C) APPLICATIONS AND TRANSFERS
1. Applications for water and/or sewer service shall be made on forms provided by the Company and signed by the owner of the Premises to be supplied or by his duly authorized representative. The costs of service connections which are to be borne by the Customer (as set forth in Rule D-19) are payable in advance. No application for water and/or sewer service will be accepted from a Customer having a delinquent water or sewer account.
2. The Company may require from any Customer or prospective Customer a deposit to guarantee payment of bills. Such deposit will not exceed an amount equivalent to the estimated maximum bills for water and/or sewer service for 90 days. Such deposit may be retained so long as is required to insure payment of bills but shall be returned, together with accrued interest as described below, once satisfactory credit has been established. A receipt for all such deposits shall be issued; and, so long as any deposit is held by the Company, it shall pay simple interest thereon at the rate of 1.5 percent per annum. Such interest shall be credited annually to the account of the Customer or, if the deposit is returned other than on the date for such credit, paid directly to the Customer. Any deposit shall cease to draw interest on the date it is returned, on the date service is terminated, or on the date notice is sent to a Customer's last-known address that the deposit is no longer required. Upon final discontinuance of service, the Company may apply any deposit of a Customer, including accrued interest thereon, to any account due from the Customer for water and/or sewer service. Any balance due to such a Customer shall be promptly refunded.
3. Customers shall notify the Company in advance when Premises are to be vacated so that the water may be turned off and so that metered Premises may have Meters read and removed.
If the Premises are to be permanently abandoned, owners shall notify the Company immediately so that the water Service Connection can be closed.
Resumption of water service - through a Tap or Service Connection which has been shut off requires a new application, and payment of a fee therefore as set forth in the schedule of fees and charges approved by and on file with the DPUC. The cost of restoring a previously abandoned service in excess of any salvage realized on parts of the old service replaced at the time of restoration shall be borne by the Customer.
4. Water for construction purposes shall be applied for on forms provided by the Company. Whenever practicable, meters will be installed on a temporary basis to account for usage. Applicants will notify the Company of the date of occupancy in advance.
5. When the Company renders temporary or intermittent service to a Customer, it may require that the Customer bear the costs in excess of any salvage realized from installing or removing the services. See Rule F-9 as to charges for temporary or intermittent service.
6. All applicants for water and/or sewer service desiring to attach to a water or sewer Main or Main extension, as the case may be, already under contract may be required to pay the Company an amount which, in the judgment of the Company, represents their equitable share of any prepayment previously made by others and/or to assume their equitable share of any existing guarantee provision. Payments to the Company of shares of prepayments previously paid by others will be refunded to the original depositors.
(D) MAIN EXTENSIONS AND SERVICE CONNECTIONS
1.
All water and/or sewer Main extension applications shall be made in writing upon a contract covering such extension shall be executed before the start of construction, and all
contributions or advances, if any, shall be
paid before material is ordered. These contracts shall be available for the review of the DPUC along with written notice prior
to starting
construction of a new main extension.
2. Developers requesting water and/or sewer Main extensions shall, upon request of the
Company, furnish a map drawn to scale
showing the layout of proposed roads and buildings.
Before a
Main extension is commenced, roads must have permanent grades established and
must have been approved by the proper public authority.
All persons requesting such a Main extension must provide when necessary, free of cost to the Company, rights of way or easements satisfactory to the Company, allowing it to install,
maintain, extend and replace Mains and related facilities and make connections thereto.
3. When the Company receives a request for a water and/or sewer Main extension it shall determine whether the revenues
which reasonably may be anticipated from known Customers to
be served
through such extension will be sufficient to support theCompany's investment therein
(including the Cost of surveys and engineering studies required to complete such extension)
and all
operating expenses associated therewith. When the Company determines that the revenues anticipated from Customers to be served through
a
requested Main extension will be insufficient to support
the
Company's investment therein and all related operating such
extension shall only be made pursuant to one of the forms of
expenses, following
three of the Company's contract:
.
A.
Guarantee Agreement
B. Refundable Advance Payment Agreement
C. Contributory Agreement
Individual Customers seeking Main extensions shall be offered their choice of the above three agreements. Developers having lots for building construction or the sale of homes shall be offered, in the Company's discretion, either the Refundable Advance Payment Agreement or the Contributory Agreement.
4. The Company's standard form of Guarantee Agreement shall provide for a guarantee to the Company by the person requesting an extension of an annual minimum amount of revenue from the requested extension.
5. The Company's standard form of Refundable Advance Payment Agreement shall require the person requesting an extension to advance the total cost of the extension and make provision for a refund to such Customer for each additional Customer taking service-from the extension within a stated period of time.
6. The Company's standard form of Contributory Agreement shall require the person requesting an extension to advance the cost of the extension less the then present value of the payments which the Company determines would become refundable to such person under the Company's standard form of Refundable Advance Payment Agreement.
7. The design and specifications of all Main extensions and the size and type of pipes and fittings used therein shall be determined by the Company. Costs to be borne by the person requesting an extension shall be calculated on Mains of the size required to serve such person and shall 'not be calculated on water Mains larger than eight inches in diameter unless unusual Customer requirements warrant a larger size water Main. Water Mains having a diameter of less than six inches s h a l l not be installed without prior approval of the DPUC.
8. If an extension requires additional facilities such as standpipes and booster pumps which are not necessary to benefit the Company's water or sewer system as a whole, the cost of such facilities shall be included as part of the cost of the extension. If facilities larger than required are installed to serve an extension, the Company shall pay the excess cost.
9. Notwithstanding anything in Rule D-19 to the contrary, extension contracts shall include the costs of all Service Connections constructed in connection with the installation of new Mains.
10. Any estimated costs included in an extension contract shall be adjusted to actual costs upon completion of work except Refundable Advance Payment Agreements and Contributory Agreements may be based, in the discretion of the Company, on average costs.
11. Any provision herein to the contrary. notwithstanding, the Company has undertaken and committed itself to install and maintain services to its Heritage Village Water Division and Heritage Village Sewer Division per a rate schedule filed with the DPUC. In said Divisions, the Company shall own, install and maintain' at its own expense all Service Connections and Main extensions. The Company may, in its sole discretion, but shall not be obligated to, install sewer service Mains or Service Pipes or extend sewer service to any Customer beyond those presently being serviced.
12. Single metered Service Pipes may not supply more than one Customer. Each separate premises, including each separate condominium, cooperative, time-shared or similar type of unit typically owned by an individual or family shall be provided water and/or sewer service through a separate service line and meter.
13. All new and renewed water Service Pipes shall be a minimum of 1" in diameter with no soldered joints underground. Water Service Pipes shall be of copper, cement-lined cast iron or other Company- approved material. Copper pipes shall be cold drawn or soft annealed seamless copper type "K" which meets A.P.S.T. standard specifications for Lake copper 34-27, of standard weight and dimensions for copper service tube, and able to withstand being flattened and then bent back on itself 180 degrees while cold without cracking on the outside of the bent portion. Cement-lined cast iron must meet A.W.W.A. specifications for this use. No other material may be used without specific approval of the Company.
14. All metered water Service Pipes shall be provided with a full way shutoff and valve box at the curb or at a convenience point prescribed by the Company between the curb and the property line and with a gate valve inside the cellar wall, one such valve to be located on either side of the Meter. Where two or more buildings on the Premises are supplied by a single metered water Service Pipe, the branch line to each building shall have an underground shutoff valve with valve box and operating rod outside the building.
15. The Service Pipe shall extend to that point on the Customer's property line on the street line easiest of access to the Company from its existing distribution system and where practicable from a point at right angles to the existing distribution line in front of the Premises to be serviced. Service Pipes shall not cross intervening properties. The directions of the Company shall control as to the proper location of Service Pipes.
16. All water Service Pipes shall be laid at a minimum depth of 5' below ground. Water Service Pipes for buildings without cellars shall have underground stop and waste valves between the buildings and curb shutoffs.
17. Water Service Pipes may be laid in the same trench with other underground utility facilities except oil or sewer pipes provided 12u separation on a horizontal plane is maintained and provided such arrangements are mutually acceptable to the parties concerned on a case-by-case basis. In order to avoid possible damage, the Customer or his agent performing the excavation for a new or renewed water or sewer service shall obtain from other agencies or companies having sub-surface rights information pertaining to the location of other underground facilities. This can be done by phoning, toll free, "Call Before You Dig," or any successor organization. The ditch underneath, around and over the pipe shall be backfilled with good material thoroughly tamped to secure a firm support. To disclose any settlement of the backfill which may need correcting, newly filled ditches shall be inspected by the Customer at intervals.
18. No water Service Pipe shall cross any portion of a seepage system or be installed less than 10' away from any portion of a seepage system. Wherever possible, no water or sewer Service Pipe shall be installed under a driveway.
19. When an applicant applies for new service, except in conjunction with new water or sewer Main extensions, the Compan3 will furnish, install, own and maintain the Service Connection at its expense, except the Company shall make a charge to the applicant for tapping the Main, furnishing the tapping saddle, if any, curb cock and curb box and for the costs of excavation, backfill, and removal and replacement of paving, walks and curb; necessarily incurred with respect to the new Service Connection. The Company shall have the option of performing the work required for such excavation, backfill and removal and replacement of paving, walks and curbs; and the Customer shall bear the costs therefor. Should the Company elect not to provide such excavation, backfill, and removal and replacement, it shall nevertheless have the right to require that the party hired by the Customer to perform such work be approved by the Company. The Company shall have the right to make continuing inspections of all installations of new Service Connections and reserves the right of final approval of same. Such final approval will be granted upon reasonable compliance with the Company's Rules and Regulations and conformance with accepted engineering standards. Where circumstances require blasting or other extraordinary methods of excavation, the Customer shall regardless of negligence on the part of those performing the blasting.
20. The Company or its agent will furnish, install, own and maintain at its expense all replacements of Service Connections including the cost of excavation and backfill and the removal and replacement of paving, walks and curbs necessarily incurred with respect thereto.
21. The Customer, at its own expense, shall furnish, install, own and maintain the Customer Service Lines and shall assume ownership of the curb box, keeping said lines and box in good repair in accordance with the reasonable requirements of the Company. Installation of the Customer Service Lines shall be performed by a licensed or qualified plumber. If a Customer Service Line for water enters a building through the cellar, a full way valve (gate valve or ball valve) shall be provided immediately inside the cellar wall. Should the Customer Service Line enter a building in a restricted crawl space or other location which may be inaccessible in an emergency, the Company reserves the right to specify the location of such valve. Such valve and adjacent piping shall be maintained by the Customer in good condition so as to permit operation of the valve in an emergency and to enable the Company to change those meters set inside cellars. If the Customer fails to maintain the valve and adjacent piping in good condition, the Company may make all necessary repairs or alterations at the Customer's expense.
22. The Customer shall inform the Company before proceeding to backfill to enable the Company to make an inspection in order to determine whether the Customer Service Lines comply with Company requirements. No water Service Pipe shall be turned on without prior approval by the Company.
23. The cost of maintenance of Customer Service Lines shall be borne by the Customer. Thawing frozen Customer Service Lines shall be done by the Company at the Customer's expense.
24. If a leak develops in a Customer Service Line for water or a Customer-owned Service Connection, the Customer shall repair it without delay. If such repair work is not completed within a reasonable period specified by the Company in writing to the Customer, the Company may discontinue service until the leak is repaired or repair the leak itself. In either case, the Customer shall pay all costs.
25. Customers are urged to obtain the Company's recommendations for the proper Customer Service Line size for water service which in no case shall be less than 1" in diameter. The Company reserves the right to specify such diameter and may withhold the installation of the Service Connection until its specifications have been met.
26. All underground lawn sprinkling systems shall be equipped with check valves and vacuum breakers to prevent back siphonage into the water system.
27. All water and sewer Service Pipes shall be constructed and located in accordance with these regulations and with the standard specifications for installation of water and sewer pipe available at the office of the Company, as the same may be revised from time to time. The Company will make available for public inspection such standard specifications during the Company's normal business hours.
(E) METERS
1. The provisions of these Rules and Regulations relating to meters shall not be applicable to those Customers and Premises which are subject to flat rate billing.
2. Meters will be owned, installed, maintained and removed by the Company. Damage due to freezing, hot water, faulty connections, or Customer's negligence shall be paid by the
3. The Company shall determine the type and size of each-- Meter to be installed. Each Premises must be separately metered except for Premises subject to flat rate bill ng.
4. Submetering shall be permitted only with the approval of the Company and DPUC.
5. Services provided with Meters larger than 1 1/2" shall include valves, a sealed by-pass and test tee around the Meter.
6. No person, other than a Company employee, shall break seals or disconnect Meters unless specifically authorized in writing by the Company to do so. If any person takes such action without authorization from the Company, he will be liable for any damages which may result therefrom and shall be billed on the basis of water used in a similar period.
7. Customers will provide at their expense an accessible and protected location for Meters, which location shall be subject to the approval of the Company at the time of installation of the Service Pipe.
Meters may be located inside buildings when, in the opinion of the Company, an inside setting will provide adequate accessibility and protection against freezing or other damage to the Meter, and when the Service Pipe does not exceed 150 feet in length. A setting within a building shall be located immediately inside the cellar wall at a point which will control the entire supply, exclusive of Fire Service Lines, to the Premises.
When no suitable place inside the building is available, or the Service Pipe exceeds 150 feet in length, the Company may require that a Meter be set near the street shutoff with suitable valve in a covered pit at least 5 feet deep. Pit and cover shall be owned, installed andmaintained by the Customer. Pit construction and location shall be approved by the Company.
8. Customers are responsible for maintaining the piping on either side of a Meter in good condition and valves on both sides of the Meter so that the Meter may be removed or replaced conveniently and without impairing such piping. If a leak should develop subsequent to Meter removal or replacement due to poor condition of the piping, the Customer shall be responsible for any necessary repairs.
9. The Company may require that swimming pools or other facilities which require considerable quantities of water be separately metered and have separate water Service Pipes. Customers are not permitted to fill pools with water from hydrants.
10. Customers shall notify the Company promptly of any defect in or damage to a Meter or its connection.
11. In order to assure accuracy, the Company may at any time remove a Meter for tests, repairs or replacement.
12. The Company will upon written request by a Customer and, if desired, in the presence of the Customer, make without charge a test of the accuracy of a Meter in use provided the Meter has not been tested by the Company or DPUC within the period of one year previous to such request. A written report of the results of the test shall be furnished to the Customer.
13. Approved remote Meter reading devices when requested by a Customer for its convenience will be installed by the Company at the Customer's expense. Remote reading devices installed for the Company's convenience will be installed at the expense of the Company.
14. Premises on flat rate may be changed to metered service on written notice from the Company. Flat rate customers who use water for purposes not stated or intended by the flat rate charges established by the Company's rate schedule will be required to change to a metered rate on the date such use begins. Examples of such uses include:
(a) A fish or lily pond, a swimming pool, a skating rink.
(b) An underground irrigation system.
(c) A water-cooled air conditioner.
(F) BILLING AND COLLECTION
1. Each Premises shall be separately billed.
2. Except as otherwise specifically provided in these Rules and Regulations bills are payable when rendered. Failure of the Customer to receive a bill or notice does not relieve the Customer from the obligation of payment or from the consequences of non- payment.
3. Each Premises shall have a separate service and shall be billed separately. Except by special agreement with the persons involved, water and/or sewer service supplied to a building occupied by more than one tenant shall be charged to the owner or his agent and shall not be charged to the various tenants in the building. Upon written request of an owner, the Company will bill tenants who are separately metered. However, the property owner shall be liable for payment of bills due for water/sewer service supplied such premises, except for a tenant who by the terms of a written lease is responsible for the water or sewer bill.
4. Whenever a metered Customer receives water or sewer service for more than one purpose, predominant use as determined by the Company shall determine whether the Customer is to be billed at residential or industrial rates.
5. Where Premises are supplied through two or more Meters connected to a single service, the minimum charge for each Meter shall be applied and the registrations combined in the computation of consumption charges. Where Premises are supplied through more than one service the minimum charge shall be applied to each Meter and the registrations shall not be combined. Combined billing will not be allowed except on the same Premises.
6. Bills for residential and small commercial metered service shall be rendered quarterly and shall cover water consumption and/or sewer use during the previous quarter.
7. Unless otherwise agreed to between the Customer and the Company, bills for industrial customers and other large customers shall be rendered monthly and shall cover water consumption and/or sewer use during the previous month.
8. First and final bills shall be prorated so as to adjust the bill to the actual period for which service was rendered.
9. The charge for intermittent water and/or sewer service over a period of time shall be
10. Flat or fixture rate bills shall be rendered quarterly in advance with the final bill prorated to cover the actual period of water and/or sewer service.
11. Unless otherwise agreed to between the guarantor and the Company, guarantee contracts shall be billed quarterly in advance with subsequent adjustment for actual revenue received.
12. Private fire protection charges shall be billed quarterly (1/4 of the annual charge) and shall cover service during the previous quarter.
13. Public fire protection charges shall be billed in accordance with Rules 1-4 and 1-5.
14. Water for construction purposes will be sold at regular commercial Meter rates. If it is not practicable to install a Meter, the minimum commercial Meter rate will apply.
15. Miscellaneous Sales are billed as the service is rendered.
16. All bills are due upon presentation. If a monthly bill or, any part thereof, remains unpaid 33 days after the date on which it was mailed or if a quarterly bill, or any part thereof, remains unpaid 63 days after the date on which it was mailed, a late payment fee of 1 % per month will apply.
17. Bills which are incorrect due to Meter or billing errors will be adjusted in accordance with the following rules:
(a) Whenever a Meter in-service is tested and found to have over-registered more than two percent, the Company will adjust the Customer's bill for the excess amount paid determined as follows:
If the time at which the error first developed can be definitely determined, the amount of overcharge shall be based thereon. If the time at which the error first developed cannot be definitely determined, it shall be assumed that the over-registration existed for a period equal to one-half of the time since the Meter was last tested. If more than one Customer received service measured by the fast Meter during the period for which the refund is due, a refund will be paid to the present Customer only for the time during which it received service measured by the Meter.
(b) Whenever a Meter in service is found not to register, the Company may render an estimated bill or bills. The estimated charges shall be determined on the basis of the amounts registered over a similar period preceding or subsequent to the period of nonregistration or during corresponding periods in previous years, adjusting for any changes in the Customer's usage.
(c) Billing adjustments due to faulty Meters will be calculated on the basis that the Meter should be one hundred percent accurate. For the purpose of billing adjustment, the Meter error shall be one-half of the algebraic sum of the error at maximum test flow plus the error at intermediate test flow.
(d) When a Customer has been overcharged as a result of incorrect reading of the meter, incorrect calculations of the bill, incorrect connection of the Meter or other similar reasons, the amount of the overcharge will be refunded or credited to the Customer.
(e) When a Customer has been undercharged as a result of incorrect reading of the meter, incorrect calculation of the bill, incorrect connection of the Meter or other similar reasons, the amount of the undercharge will be billed to the Customer who will be financially responsible for one year after receiving such service, unless the Customer by an affirmative act is responsible for the inaccurate billing or fails to provide reasonable access to the premises where the meter is located.
18. The Company has the right of access at reasonable hours to the Customer's Premises to read, inspect, repair, replace or service Meters and accessory equipment. The Customer agrees to provide, or cause to be provided, such access for properly identified employees of the Company. If a Company representative cannot gain access to premises to read a Meter, the water and/or sewer charge for the current billing will be estimated.
(G) DISCONTINUATION OF SERVICE
l. Refusal or discontinuation of service by a water company is restricted by certain provisions of the Connecticut General Statutes and of the Connecticut Department of Public Utility Control's "Rules and Regulations Concerning Termination of Electric, Gas, Water and Sewage Utility Service. Copies of the applicable statute and of the DPUC publication are available for inspection at all of the Company's offices.
Termination proceedings may be started by the Company for anyone of the following reasons, and carried out subject to the aforementioned restrictions; service may be terminated without notice, again subject to certain restrictions, for reason (a) below and upon 13 day notice of the proposed termination, again with such restrictions, for reasons (b) through (k) below:
* (a) A condition determined by the Company to be hazardous.
(b) Non-payment of a delinquent account, provided that the Company has notified the Customer of the delinquency and has made a diligent effort to have the Customer pay the delinquent account.
(c) Failure by a Customer to comply with the terms of any agreement where under he is permitted to amortize the unpaid balance of an account over a reasonable period of time, or any failure by such a Customer simultaneously to keep his account for utility service current as charges accrue in each subsequent billing period.
(d) Failure of the Customer to furnish such service, equipment, permits, certificates or rights of way as shall have been specified by the Company as a condition to obtaining service, or if such equipment or permissions are withdrawn or terminated.
(e) Failure of the Customer to fulfill his contractual obligations for service or facilities subject to regulation by the DPUC.
(f) Failure of the Customer to permit the Company reasonable access to its equipment during normal working hours.
(g) Failure or refusal of the Customer to reimburse the Company for repairs to or loss of Company property on his property when such repairs are necessitated or loss is occasioned by the intentional or negligent acts of the Customer or his agents.
(h) Customer use of equipment in such a manner as to adversely affect the Company's equipment or the Company's service to others.
(i) When the Company has discovered that by fraudulent means a Customer has obtained unauthorized water or sewer service or has diverted the water service for unauthorized use or has obtained water or sewer service without same being properly registered upon the Company's meter.
(j)Tampering with the equipment furnished and owned by the Company.
(k) Violation of or non-compliance with the Company's Rules and Regulations.
2. A termination notice to a customer whose account is delinquent will be mailed no earlier than 64 days after mailing the original quarterly bill or 34 days after mailing the original monthly bill. Actual termination of the service will not occur earlier than 13 days after mailing the termination notice.
3. The Company will not terminate service to a customer
(a) If the customer has an unresolved complaint or dispute in with the Company and/or the DPUC. Such complaint must be made to the Company within seven days of his receipt of a termination notice.
(b) If there is known to be serious illness in the home of a residential Customer. The Company must be notified by a doctor within seven days of the customer's receipt of a termination notice, and such notice must be confirmed by letter within a week after the verbal notification. The Customer is required to make an equitable arrangement with the Company to pay up the delinquent part of his bill, and to pay all future bills on a current basis while the illness continues.
(c) If the customer is a landlord or agent for an occupied residential rental property, and the delinquent bill is for water or sewer service to that property. If practicable, arrangements may be made with the tenant for payment of bills for future service, and appropriate legal action may be taken against the Customer for the delinquent and current amounts.
(d) On the day immediately prior to a weekend or holiday except under conditions as set forth in subparagraph l(a) of this section.
4. Both water and sewer service shall be discontinued upon any termination made pursuant to these rules, notwithstanding a customer's violation of these rules with respect only to water service or sewer service.
(H) PRIVATE FIRE SERVICE
1. Fire hydrants and sprinkler systems shall be installed and maintained at the expense of the Customer. The size, material and locations of piping and specifications for any tanks and pumps which may be required for such systems shall be submitted in writing to the Company for approval. Any installation of fixtures may be made by the Company at its option but the Company reserves the right to approve a subcontractor furnishing such installation for a Customer and further reserves the right of final inspection of said installation.
2. Private fire systems shall not be used to serve water for purposes other than fire protection, and no water shall be taken from a private Fire Service Line for any purpose other than to extinguish fires or to test fire fighting equipment. Such tests shall be made only after written notification to and approval by the Company.
3. An annual charge will be made for each private Fire Service Line based on the size of the water Service Pipe at the Main. An annual charge will be made for each Combination Service Line based on the size of the Service Pipe at the first Fire Service Line. The above annual charges are payable in equal quarterly installments.
4. No water shall be taken from a private fire hydrant except for use on the property on which it is located.
5. The Company shall not be held liable or responsible for any losses or damage resulting from fire or water which may occur due to the installation of a private Fire Service Line or any leakage or flow of water therefrom.
(I) PUBLIC FIRE SERVICE
1. Fire departments desiring to use water from hydrants for testing equipment or for any purpose other than that of extinguishing fires must notify the Company in advance of such usage.
2. Persons other than authorized fire department personnel who desire to use water from public hydrants for building or other purposes must first obtain permission in writing from the Company. The Company may make available fire hydrant Meters and may charge for the use of water at appropriate rates.
3. Any hydrant located on public property or a public right of way shall be subject to public fire charges rather than private fire charges.
4. Each municipality shall pay an annual charge for each public hydrant owned by the Company within the limits of the municipality. This annual charge is payable in equal quarterly installments. The Company will install hydrants on its system at such locations as may be designated by the municipality.
5. At the option of the Company municipalities served by the Company may be charged annually for fire protection on the basis of the inch-feet of main 6" or larger in service on December 31 of the preceding year. Such annual charge is payable in equal monthly or quarterly installments as determined by the Company.
6. Hydrants owned by a municipality shall be repaired by the Company at the municipality's expense upon written order from the appropriate municipal authority. Hydrants owned by the Company will be maintained by the Company at its expense. A municipality shall notify the Company in writing of any repairs which it has determined are required.
(J) COMPANY RESPONSIBILITIES
1. The Company undertakes to supply its Customers with water and sewer service which meets the requirements of the State Department of Health and, as to water service, which has such physical and chemical properties as to make it acceptable for domestic use. However, the Company does not undertake to render any special service, to maintain any fixed pressure, to deliver any fixed quantity of water, or to remove any fixed quantity of effluent, except as provided by special contract with specific Customers.
2. The Company shall not be liable for any damage to person or property, sustained as a result of any break, failure or accident in or to its system or any part thereof, which is not due to the Company's negligence, or which, being known to the Customer, was not reported by it in time to avoid such damage.
3. No agent or employee of the Company shall have authority to bind it by any promise, agreement or representation not provided for in these Rules and Regulations.
4. From time to time the Company may temporarily discontinue water or sewer service to flush its Mains or to make necessary repairs or alterations. In such event, the Company will make a reasonable effort to notify its Customers in advance of such interruption.
|
PRESENT: Supervisor Reiter; Councilmembers Bax, Marra, Palmer and Winkley; Deputy Supervisor Catlin; Town Attorneys Dowd and Davis; WWTP Chief Oper. Ritter; Building Inspector Masters, Highway Superintendent Janese; Town Engineer Smith, Police Chief Salada; Finance Officer Johnson; 3 Press; Approximately 53 Residents and Clerk Donna Garfinkel
Supervisor opened meeting, followed by Pledge of Allegiance and a moment of silent reflection.
TWO-MINUTE STATEMENT BY RESIDENTS
Supervisor asked if any resident wished to address the Board.
Craggs, Todd – 1974 Langdon Road – Craggs spoke on the Quasar lagoon proposed for Porter Center Road. This is a 6-million gallon waste lagoon. This is in no favor for those in the area. Craggs can't believe anyone wants this.
Reiter explained that the Town Board has not seen this application. There will be a public hearing at a later date to welcome comments. It is improper for the Board to discuss this.
Lauer, Evelyn – 4300 Williams Road – Lauer read the following statement: Quasar Energy Group wants to build a cesspool lagoon in the Town of Lewiston, almost directly in my backyard. This cesspool would hold millions of gallons of something they term "equate" but please do not be confused. "Equate" is nothing more than human waste, animal waste and restaurant by-product waste. In other words a fancy name for sludge or sewage.
The residents of the Town of Lewiston already tolerate Modern and CWM; does this mean we have to be host for every company that wants to store waste in whatever way they choose in our town? Who knows what types of biohazards the human waste in this open pit will produce; what type of pests or insects could be drawn to the animal or restaurant waste in this cesspool. There would also be an increase in the truck traffic above and beyond what we already contend with because of Modern and CWM.
The contents of this cesspool are NOT the same as the liquid fertilizer that farmers spread on their crops. According to Quasar's own website, when this human and animal waste are spread it could take up to 38-months before the crops could be used for human consumption. Visitors to that website can view photos of the existing lagoons in Ohio, which look to be miles away from any farms. This Lewiston pit is being proposed in too populated an area, where prevailing winds will most certainly blow any odors directly to the resident of Williams Road and surrounding homes. I enjoy opening my windows in the summer and using my backyard; will I ever be able to do that again if you allow this sewage pit?
The Town of Lewiston's website states, "Agriculture, development standards and community vision all strive to preserve and enhance the Town's rural character." Additionally, I must also implore to you that the quality of life of the residents MUST be taken into consideration. I vehemently oppose this cesspool lagoon being built in my backyard and I DO NOT want my quality of life or my property value impacted by this absentee owner trying to force his waste business into our rural residential homelands.
Please do not let Quasar Energy Group build their cesspool lagoon in our backyards.
Testerman – 4187 Dickersonville Road – Testerman agrees totally with Ms. Lauer. The springs from the proposed Quasar lagoon will run off into his yard/fields. Is it safe?
Jolbert – 4235 Williams Road – Jolbert feels that Niagara County Health Dept. pushed this through. Jolbert asks the Town Board and the Planning Board to remember they represent the residents. This project has been stopped in two other communities. The Board should consider funds to defend the residents against this.
Brown – 4510 Porter Center Road – Brown would like to thank the Highway Dept. for the great job they have done on Porter Center Road. The Board should consider making Porter Center Road a town road.
In regards to Quasar, there is already enough truck traffic in the Town, we do not need more.
Kraft – 1535 Swann Road – Kraft agrees with what all others have said. There is a parasite called the round worm that invades the body. Animals can carry this parasite. This parasite might be in this lagoon.
James – 4370 Williams Road – Quasar is a proposed small landfill of its own. Residents old and new do not want this lagoon. This project is located within a square-mile of properties. It is located in part of an I-1 zoned area.
The product has to be on the fields for 38 months before planting of consumption veggies can be planted. The Quasar plant in Ohio does have violations. Economically, neighbor's property will loose value. James asks the Board to consider the residents, and remember who they represent.
Feldman – 806 the Circle – Feldman requests the Board fund an attorney to assist the residents in fighting this down. Feldman does not understand why there is a debate, the resident do not want this. This will affect Lewiston, not the County so fund the effort to not have this here.
Witryol, Amy – 4726 Lower River Road – Witryol read the following statement: It's clear from newspaper reports that the health, science and legal experts stopped work, and that, in 4 years, Lewiston has not contributed to its own defense against a new toxic waste dump, proposed for construction about a mile from our public schools.
Michael Gerrard, lead attorney who defeated the CECOS toxic waste landfill application, is the same nationally renowned legal expert who recommended the lead attorney working for Lewiston's defense today. Gerrard has also helped your team on CWM in recent years.
For the past seven years, in their capacity as Village or Town Board members, Mr. Palmer, Mr. Bax, Mr. Winkley and Mr. Marra have fully supported the partnership with the County. This applies to Mr. Johnson as well with respect to his prior Board service.
Like the press, any time during the past 7 years the Board has had ample opportunity to pick up the phone and contact the experts, or contact the Director of the County Health Department for information about the experts work. For 7 years, you have had easy access to the experts' work which is on file at both the Town office and the Village office.
After 7 years, and just as hearings are expected to begin, it is bewildering that any board member could have questions or want to suddenly change the practice they have historically supported. We expect the Board would never conceal from the public any change in the historical partnership.
It's like having a good ambulance service for seven years, not paying the bill in 4 years, and then refusing payment and halting the ambulance while someone is lying injured in the middle of the road. It's not for lack of an invoice. It's like voting against crime and refusing to fund the police.
In a Town that spent $100,000 on a failed Rec. Center concept, the Board's delay in defending us against toxic waste dumping for the next 40 years is not for lack of money.
The intent of the state hazardous waste assessment was made very clear, and yet this board has not spent even a fraction of those funds for experts to protect us from a new CWM toxic waste landfill.
This Board receives monthly reports from the DEC which list documents quite obviously requiring expert review in preparation for upcoming state hearings, but which have been backlogged, for months, because of the Town's failure to live up to its promise.
As reported in the paper, a Town check to the County would put the experts back on the clock, immediately. Each day of delay has already diminished the Town's own defense.
I won't review the historical action of either the Supervisor or Town attorney who had recued himself on this matter, unless necessary after tonight's meeting.
However, you may recall I publicly thanked this Board at your April meeting for the expert groundwater analysis identifying problems and migration of chemicals like Benzene and TCE a mile from school property.
I have every confidence that Mr. Bax and Mr. Palmer are capable of working with the County to get the experts back on the clock before the end of the day tomorrow, provided the Town authorizes $50,000 for the $18,000 past due balance with the remainder for the customary escrow.
Given their past initiative and support of the County partnership, and the fact they will both serve on the Board after Jan. 1 st , tonight I ask you authorize Mr. Palmer and Mr. Bax to jointly resolve any issues and release up to $50,000 to put the experts back to work. It shouldn't take even 24 hours.
Soda, Francis – 4221 McKoon Avenue – Soda read the following statement: Mr. Supervisor and members of the Town Board: My name is Frank Soda and I am a life-long resident of Niagara Falls.
From 1986 to 1989 and for six months in 1998 I was a member of the Niagara Falls City Council. From 1986 to 1991, I served on the Love Canal Area Revitalization Agency. From 1991 to 1993, I was a member of Occidental Petroleum Corporation's Community Advisory Panel as well as serving on its steering committee.
These experiences have had a profound effect in shaping my perspective of the environmental challenges facing Niagara County and their impact on the quality of life on our communities.
It is from these experiences that I strongly encourage the Town Board to actively and aggressively oppose the proposed expansion of chemical waste disposal at the CWM facility. It is from my experience on the Niagara Falls City Council that I learned how effective a municipality can be if it dedicates itself to pursuing the goal of environmental security.
In early 1987, CECOS International had an application pending with the New York State DEC for the construction of a sixth hazardous waste landfill to be located in Niagara Falls and the Town of Niagara.
It was widely accepted that the CECOS application would be approved by DEC and so the communities anxiously awaited the permitting process. However, citizen opposition began to intensify.
In March 1987, the Niagara Falls City Council unanimously adopted a resolution opposing expansion of hazardous waste dumping at the CECOS facility in spite of the DEC approval of the application for the construction of a 30-foot above-ground landfill.
However, it was quite evident to those of us on the City Council that our technological, scientific, and legal capabilities were very limited in comparison to our corporate adversary. Even a coalition of local governmental entities and 16 area environmental groups lacked the expertise necessary to successfully stop the CECOS effort to expand.
In April 1987, the City Council appropriated $200,000 and hired the New York City law firm of Berle, Kass & Case to provide legal advice as we prepared for the permit hearings. Attorney Michael B. Gerrard was retained to assemble the technical and scientific experts who would provide the data for our position. The resolve of the City Council even prompted Gov. Mario Cuomo to lend his special counsel, Fabian Palomino, as an advisor to the coalition of environmental groups opposed to expansion. Later that summer, the state legislature passed a law that required the expansion of hazardous waste landfills to be reviewed by a state siting board.
Over the next year, our legal counsel worked diligently with his team of technical and scientific experts. Eventually, in March 1988, the siting board hearings convened with overflow crowds of 300 to 400 citizens attending each session. The voices of the City Council were joined in their opposition to expansion by the supervisors of the towns of Lewiston and Niagara; a member of the City Council of Niagara Falls, Ontario; and Assemblyman Joseph Pillittere and State Senator John Daly.
The legal fight continued through the remainder of 1988. In January 1989, CECOS made a corporate decision to stop accepting hazardous waste. Between August 1989 and February 1990, Administrative Law Judge Andrew Pearlstein sided with CECOS and twice recommended expansion. Nevertheless, in March 1990 both the state siting board and DEC Commissioner Thomas Jorling ruled against expansion. CECOS had reached its capacity for hazardous waste disposal a year earlier and was making provisions to close its landfill.
These struggles against the hazardous waste disposal industry are never easy or inexpensive. However, I must ask you what is the value you place on the environmental security of your citizens?
Fideli, April – President of RRG – Fideli read the following statement: We were surprised and confused to read in the newspaper after the county legislature meeting that Lewiston has not sent escrow of $50,000 to county, which as a result, halted the work of health and science and legal experts.
It doesn't really matter why at this point, but we are looking to the Lewiston Board to get the experts back on the clock immediately, which the newspapers quoted county officials as saying could happen if Lewiston sends a check.
Legislative memos indicate a primary purpose of the hazardous waste assessment is environmental protection from the siting of a hazardous waste facility, which in our case, is CWM. It is important the Town release a small portion of that assessment, $50,000 now, and additionally budget the same amount for 2014 since we expect hearings will be in full swing at that time.
This is a once-in-30 year chance to end toxic waste dumping in this community, at a facility so close to our schools.
Mr. Johnson, Mr. Palmer and Mr. Bax were members of the Lewiston Town Board and expressed full support when the County partnership was in place and functioning.
Because hearings are expected to start soon, this is the worst possible time to be tinkering with the County partnership or delaying payment for any reason.
There is a growing backlog of technical documents which require review by experts to be reasonably prepared for hearings, which could start within 30 days.
Whatever the permitting and siting outcome, the experts have, and will continue to move DEC toward the safest regulation possible, instead of poorly enforced minimums.
The wind is at the back of Lewiston residents because of the state's conclusion there is no need to site additional toxic waste disposal capacity in New York.
But we cannot let DEC allow any slack in permit conditions for the management of toxic waste already at the site, or allow any more migration of PCBs and other contaminants into the community.
The fact that it's taken CWM over 10 years just to complete its application, just to begin the decision-making process on the application, is a sign that CWM is a complex and troubled facility. That's even more reason to want adequate resources for the experts to protect us.
It is clear that the responsibility for payments belongs to Lewiston right now. We ask that Lewiston honor its longstanding commitment. It is Lewiston's turn, and now is well past the time for debate or further delay. Please put the experts back to work to defend us. Thank you.
Sitek, Greg – Upper Mountain Fire Company President – Sitek read the following statement: I am a taxpayer, a firefighter, an EMT, and President of Upper Mountain Fire Company. I am her representing Upper Mt. Fire Company to discuss Resolution 2013-17, which was adopted by the Town Board on October 7 by a unanimous vote.
That resolution asks the state government to compel the New York Power Authority to help fund the town's fire and police services.
As emergency responders, the first lesson we are taught about approaching ANY situation is to do a complete scene size-up, also know as a 360. The purpose of a 360 is to gather as much information as possible before hastily rushing into a situation.
It is done not only for our safety, but the safety of everyone involved.
You see, even when acting with the best intentions, moving forward without having all the facts can cause unintended damage. We are concerned that the Town Board didn't do a 360 before adopting this resolution. As a result, Upper Mt. Fire Co., and other fire companies that respond to calls on New York Power Authority property were taken by complete surprise when we learned of the resolution AFTER it was passed.
Upper Mt. Fire Co. was not contacted by ANY MEMBER of the Town Board regarding this resolution, or to ascertain what our needs are. Yet out name, "Upper Mountain Fire Company" appears in 5 of the 12 arguments for funding stated in this resolution.
It's nice when someone asks how they can help. Unfortunately, it didn't happen here. As a result, this resolution misrepresents some facts with respect to Upper Mt. Fire Co. preparedness and response, as well as our relationship with the New York Power Authority.
Two obvious examples: FIRST, the resolution reference a 2012 turbine fire to which we responded at NYPA. It was, in fact, a transformer fire. There's a big difference. The resolution also inaccurately states that we fought a fire that in fact, had already been extinguished by the time the first engine arrived.
SECONDLY, the resolution also says Upper Mountain has responsibility for providing Rural/Metro ambulance services. Rural/Metro DOES NOT provide ambulance services to the Town of Lewiston Upper Mountain and other volunteer fire companies do. For reference, in 2012, Upper Mountain answered 1,032 calls for emergency medical services.
In 2007, when NYPA was barred from disbursing funds to the fire companies, UMF and all the responding agencies started meeting with them to develop and present a 10-year plan to address our needs. In fact, over the past several years we have enjoyed a constructive working relationship with the local Power Authority representatives, who have helped us in planning and staging exercises for emergency situations that could occur on their property.
Upper Mountain has needs for equipment that our current town contract will NEVER cover. Like you, we would welcome additional support for emergency responders from the Power Authority, just as we would welcome support from Mount St. Mary's Hospital or the LewistonQueenston Bridge – two other entities that require, but don't contribute to our fire protection and ambulance services.
If the town is to ask the state government to compel NYPA to provide that support, we believe Upper Mountain and the other responding agencies should be included in the process to ensure the accuracy of the ask, and the effective deployment of any equipment received as a result.
Until this occurs, we ask that you rescind Resolution 2013-17.
Upper Mountain Fire Company members volunteer our time to respond to emergencies 24/7/365, at one of the busiest volunteer fire companies in the entire county. We do it to help people we don't even know in their most desperate times.
In the future, if you want to talk about something this important, I would invite you to pick-up the phone and contact myself or Chief Leven. We would be happy to work with you to secure additional equipment to help to meet the town's emergency response needs.
Glasgow, Paulette – 836 The Circle – Glasgow read the following statement: Last July, I stood before this Town Board and asked you, Mr. Winkley; you, Mr. Bax; you, Mr. Marra and you, Mr. Palmer the following: when are you going to say enough? When is enough going to be enough? When are you going to tell Mr. Reiter no more? When is enough enough? That night as you often did and do, you ignored me. And four months ago because you wouldn't do your duty, the FBI, the Attorney General and the State Comptroller did it for you.
There's a concept within our justice system that you are innocent until proven guilty except when the accused publicly admits to his wrongdoing and that's exactly what happened the day after Lewiston was visited by federal and state agents. To a Buffalo News reporter on June 7 th , the Supervisor admitted to all the allegations he was being accused of. Last month the Supervisors admissions of misuse were implied and restated by the county chair of the Supervisors party and these admissions have yet to be disputed.
These past few months individuals have talked about ethics, transparency and open government. Yet this Town Board continues to ignore addressing this issue and has taken no action. The press has asked Town Board members to comment on the ongoing investigation and they have been stone walled by Town Board members refusing to comment or by saying the matter is closed. Well gentlemen the matter isn't closed because you have yet to report to the public, and once again the nature and outcome of the investigation will remain hidden from the public and the secrecy continues.
Tonight, as a Lewiston resident, I ask you, Mr. Winkley; you, Mr. Bax; you, Mr. Marra and you, Mr. Palmer, why do we have to wait months before our government is cleaned up? Why do we have to wait for ethic and transparency to return? When is enough, enough? If you are men of your word, you shouldn't only talk the talk but walk the talk and put to an end this sad chapter of Lewiston history. As one of the senior members of this board who has publicly stated they were going to end investigations and secrecy, I'm asking you, Mr. Palmer to make the motion asking for the resignation of Steven L. Reiter.
APPROVAL OF AGENDA
Reiter asked if any Board member wishes to add to the agenda. Bax – Engineering Proposal for the Muck Land pump; Marra – Executive session to discuss Parks & Recreation personnel; Reiter – WWTP union contract.
Bax MOVED to approve the agenda as amended, Seconded by Winkley and Carried 5 – 0.
APPROVAL OF MINUTES
Marra MOVED to approve RTBM – 9/23/2013; Budget Meeting – 9/26/2013; Worksession – 10/07/2013, Seconded by Palmer and Carried 5 – 0.
POST AUDIT PAYMENT
Bax MOVED to approve the following Post Audits Payments: Home Depot - $583.74; Sam's Club - $782.27; Key Bank - $435.81; DeLage Landen - $121.91; Leaf - $455.80; Mountain Glacier LLC - $63.69, Seconded by Marra and Carried 5 – 0.
NEW BUSINESS
Items 1 – 6 - Drainage work requests. Bax requests tabling these till he and Highway Sup. of Nov. 25 th . (McKenzie, Deering, Latko, Ellerington, Rivers, Rice)
Janese go to the properties on Thursday. Bax will report back at the Town Board Worksession Item 7 – Judge Sheeran – Carry-over vacation days Court Clerk
Palmer MOVED to approve Mary Kinney to carry over unused vacation time, to be used the 1 st quarter of 2014, Seconded by Marra and Carried 5 – 0.
Item 8 – Town Clerk / Water Department Fund Transfer
Winkley MOVED the transfer of funds from Contingency A1990.04000in the amount of $900 to account A1410.20 and $600 to account A1620.200 to cover the unexpected replacement of two (2) computers, Seconded by Bax and Carried 5 – 0.
Winkley MOVED to transfer funds in the amount of $3000 from SW1-8340.400 to SW18310.400 to cover shortage and utility bills for the remainder of the year, Seconded by Bax and Carried 5 – 0.
SUPERVISOR REITER
LEGAL
Memorandum of Understanding for Riverwalk residents regarding drainage should be signed today.
ENGINEERING – Sanborn Sanitary Sewer change order
Smith updates the Board on a necessary change order. The State is allowing the Town to open cut Route 31.
Palmer MOVED to approve the change order in the amount of $29,636.00, Seconded by Marra and Carried 5 – 0.
Designate Halloween hours
Marra MOVED to approve the hours of 4 pm – 8pm for Halloween on October 31, 2013, Seconded by Palmer and Carried 5 – 0.
HIGHWAY – Snow & Ice Contract
Bax MOVED to approve, subject to attorney approval the 2014 – 2015 State Dept. of Transportation Snow & Ice Contract, Seconded by Marra and Carried 5 – 0.
Appointment to Assessment Review Board – no discussion.
FINANCE
Johnson distributed the 2012 Final Audit to the Board.
Johnson requested the Board schedule the 2014 Budget public hearing.
Bax MOVED to schedule a Public Hearing on the 2014 Budget for November 7, 2013 at 6:00 pm, Seconded by Marra and Carried 5 – 0.
Johnson would like to meet with department heads and the Board prior to the public hearing.
Marra MOVED to schedule a Budget Worksession for November 4, 2013 at 4:00 pm for any Department Head who wishes to meet with the Board, Seconded by Palmer and Carried 5 – 0.
COUNCILMAN BAX
Ritter, Chief Operator at the WWTP is requesting approval from the Board for the Niagara Falls Water Board to act on the Towns behalf for chemical bids.
Bax MOVED to participate in a cooperative bid with the Niagara Falls Water Board for the 2014 Chemical Bid, Seconded by Marra and Carried 5 – 0.
Muck Pump
A Feasibility Study needs to be performed.
Bax MOVED that Nussbaumer & Clarke provide a proposal to prepare a feasibility study regarding the elimination or replacement of the Muck Pumps located on the Reservation between Chew Road and Bridgeman Road, Seconded by Marra and Carried 5 – 0.
Catlin will work with Smith on this.
COUNCILMAN MARRA
Marra announced the Family Ice Rink will open at Academy Park November 30 th till January 26, 2014. The rink was used by 8,500 people last year. It is a successful project. Marra thanks Highway Sup. Janese and the Village for all the help in its construction.
HIGHWAY SUPERINTENDENT JANESE
In regards to Legacy Drive, Janese said the surface has lost oil. It will need to be sealed within the next 12-months.
In regards to County Club Trail, Janese said the curbs and catch basins are in need of being replaced. The amount of work and a scope of this project might need to be done.
Benches are being placed in the Sanborn area.
Janese requests a street light be placed at the entrance to the Highway Garage at Swann Road and Harold Road.
Palmer MOVED to forward the lighting request for Swann Road and Harold Road, Seconded by Marra and Carried 5 – 0.
Janese spoke of a new salt structure for the highway garage. A fabric covered structure will increase storage by 35%. The existing shed can be used to house all highway equipment. Funds are available in H-97.
COUNCILMAN PALMER
Palmer wishes to address the investigation of the Police Department. There are agreements in place that stop the Town Board from discussion the issue. This is a NYS Police investigation, which to date has resulted in one officer being fired and specific action was taken with the other officer.
Palmer commends the officers that performed the investigation.
COUNCILMAN WINKLEY
Winkley agrees with Palmer's statement. Winkley believes the current Police Chief would be upset if comments are made by the Town Board.
Supervisor read the upcoming meetings.
Bax MOVED to enter into Executive Session to discuss personnel, Seconded by Marra and Carried 5 – 0.
PRESENT: Supervisor Reiter; Councilmembers Bax, Marra, Palmer and Winkley; Deputy Supervisor Catlin; Town Attorneys Dowd and Davis; Finance Officer Johnson; Recreation Director Dashineau
Discussion on CWM legal situation, Legacy Drive and Parks & Recreation personnel.
Palmer MOVED to exit Executive Session, Seconded by Winkley and Carried 5 – 0. (7:38 pm)
Palmer MOVED to approve payment of $18,000 to the Niagara County Attorneys office for CWM legal work upon receipt of an invoice, Seconded by Winkley and Carried 5 – 0.
Palmer MOVED to approve $100,000 Maintenance Bond for Legacy Drive, Town Highway Department indicates road & sewer okay after 7-years. Town may waive subdivision requirements upon good cause. All outstanding fees to be paid with bond, Seconded by Winkley and Carried 5 – 0.
Palmer MOVED to close the adjourn, Seconded by Winkley and Carried 5 – 0. (7:45 pm)
Respectfully Transcribed and Submitted by:
Donna Garfinkel Deputy Town Clerk
|
Indiana University of Pennsylvania
PROTECTION OF MINORS EVENT REGISTRY ADMINISTRATOR GUIDE
Version 2.0
April 18, 2018
Presented by:
Office of Human Resources
About Event Registration
In general, all events involving minors, both on the campus of Indiana University of Pennsylvania and those which occur off campus but are sponsored by IUP, must be registered with the university using this portal. All programs must be registered annually by the program administrator. The registration should be filed no later than 30 days prior to the start of the program or event.
Events which DO need registered
1. Any camp, clinic, conference, workshop, program or other activity involving minors who are NOT registered students at IUP, AND …
2. The event is sponsored by a college, school, department, office, organization or other unit of IUP and located on or off university property, OR …
3. The event is sponsored by a third party on university property.
Events which DO NOT need registered
1. Any event on university property which is open and marketed to the general public where minors attend at the sole discretion of their parents or legal guardians. Ex) concerts, plays, athletic events, national tests (SAT, ACT, etc)
2. Any private event held on university property where minors attend under parental or legal guardian supervision.
3. Student recruitment activities scheduled to last no longer than one day and does not include overnight stays. Ex) open houses, admission visits, tours ("CUSP")
4. Programs sponsored by a recognized student organization.
5. University research involving minors as human subjects.
6. Other programs chosen by the university president or designated official in advance and in writing as exempt from this policy or specific provisions of this policy.
Key Terms & Definitions
1. Authorized Adults (Program Staff) – Individuals, paid or unpaid, who may have direct contact, interact with, treat, supervise, chaperone or otherwise oversee minors. This includes, but is not limited to, faculty, staff, students (graduate or undergraduate), volunteers, independent contractors, interns and employees of temporary agencies. Roles of authorized adults include, but are not limited to, counselors, chaperones, coaches, instructors, healthcare providers and outside providers running programs in leased facilities. This definition does not include temporary guest speakers, presenters or other individuals who have no direct contact with program participants other than short-term activities supervised by program staff; or fellow students who roles is as a participants in the education, services or program offered.
2. Child Abuse – Defined in 23Pa C.S. §6303 as non-accidental actions or omissions that cause serious physical or mental injuries to a child; or sexual abuse/sexual exploitation of a child including:
a. Physical Abuse – Acts or omissions that cause or fail to prevent a serious physical injury to a child.
b. Sexual Abuse – Includes, but is not limited to, rape, sexual assault, molestation, incest, indecent exposure or otherwise exploiting a child in a manner in which the child is used for gratification or sexual enjoyment by another person.
c. Emotional or Mental Abuse – Acts or omissions that have an actual likely severe negative impact on a child's emotional or behavioral development, including those resulting from persistent or severe emotional mistreatment.
d. Neglect – A severe or persistent failure to provide for a child's physical, emotional or basic needs.
3. Direct Contact – Providing care, supervision, guidance or control; or routine interaction with minors.
4. Mandated Reporter – In a situation of suspected child abuse, all University administrators, faculty, coaches, staff, student workers, independent contractors and volunteers.
5. Minor/Child – A person under 18 years of age who may be enrolled as an undergraduate or graduate student, a "dually enrolled" student with the University and an elementary, middle or high school; or participants in program activities.
6. One-on-One Contact – Personal, unsupervised interaction between any authorized adult and a participant without at least one other authorized adult, parent or legal guardian being present.
7. Program/Activity/Service – Offered by various academic or administrative units of the University, or by nonUniversity groups using University facilities where parents or legal guardians are not responsible for the care, custody or control of their children. This includes, but is not limited to, workshops, services, camps, conferences, campus visits and similar activities.
a. These do not include organized events where parents or legal guardians are responsible for minors.
8. Program Administrator – The person(s) who has primary and direct operational responsibility for managing a program and its respective authorized adults and program staff.
9. Sponsoring Unit – The academic or administrative unit of the University that offers a program or gives approval for the use of University facilities.
10. University Facilities – Facilities owned by or under the control of a State System entity (PASSHE or Chancellor), including spaces used for education, athletics, dining, recreation, University housing and oncampus affiliate-owned housing.
11. University-Sponsored Programs – Programs directly managed by University faculty, staff and affiliated entities on behalf of the University. These programs MUST be registered using this portal.
a. Affiliated Entity – A private organization (typically classified as a 501©(3) nonprofit for federal tax purposes) that exists solely for the benefit of the University and is recognized as such by the University's council of trustees or Board of Governors. This includes, but is not limited to, foundations, alumni associations and student associations. For more information on affiliated entities, see Board of Governors' Policy 1985-04-A: University External Financial Support, and PASSHE Procedure/Standard Number 2013-15, Relationships with Affiliated Entities.
12. Non-University Sponsored Programs – Programs that are not operated on behalf of the University or under the University's control. All such programs using University facilities SHOULD be registered, unless excluded as noted above.
Event Registry Requirements
Identify a Program Administrator
* Must be 21 years of age or older
* Responsible for managing the program and its respective authorized adults and program staff.
* Should have a detailed itinerary of the program, including times and locations.
Description of Program Activities
* Also include state licensures as appropriate, and a list of all university resources to be utilized as part of the program including, but not limited to, transportation, housing and other facilities.
List all Authorized Adults/Program Staff
* Must be 18 years of age or older
* Confirm all required background clearances have been completed.
* Confirm all trainings have been completed within the last year for mandatory reporting and policies related to minor health, wellness, safety and security.
* Must complete Adult Code of Conduct form (sample form at end of this guide)
Safety and Security Plan to include… (sample forms at end of this guide)
Any special or extraordinary security resources being requested from the university or outside parties.
A process to notify the minor’s parent/legal guardian in the case of an emergency, such as medical issues, behavioral problems, natural disasters or other significant disruptions.
A fire evacuation plan
Supervision and staffing ratio requirements
Completed Participant requirements/forms
* Participation Agreement / Permission Form
* Health Form / Proof of Medical Insurance
* Photo and recording release
* Code of conduct
* Waiver of Liability
A response protocol when an authorized adult is accused of misconduct. (Please refer to the Office of Social equity Policy page)
Insurance Requirements (if applicable)
* If the event requires the use of campus facilities, please refer to the Administration, Business and Hospitality Services page for the “Guidelines and Procedures for Requesting Facility Use”.
Description of Program Orientation for minors and parents
Record Retention Plan
About Background Clearances
All authorized adults listed as Program Staff are required to have the following background investigations completed before the event or program:
1. Pennsylvania Criminal Record Check (online) – A criminal history record check with the Pennsylvania State Police (PSP) or statement from the PSP that the individual has not been convicted of a reportable offense.
2. Pennsylvania Child Abuse History Clearance (online) – Certification from the Department of Human Services that the individual is not named in the statewide database as a perpetrator in a pending child abuse investigation or in a founded or indicated report of child abuse within the last five (5) years.
3. Federal (FBI) Criminal History Report (in person) – Submission of a full set of digital or ink fingerprints to the FBI for the purpose of verifying the identity of the individual and obtaining a current record of any criminal arrests and convictions.
*** Allow 3-4 weeks for results of clearances to be delivered to the applicant.
Type of Authorized Adult
How they complete clearances
IUP Employees & Student Workers (Hire A Hawk)
Obtained during the onboarding process with the Office of Human Resources. Results are on file with the Office of Human Resources. With permission from the authorized adult, status may be obtained via the Background Clearance Status Portal on MYIUP.
IUP Volunteers
Must be reported to the Office of Human Resources via the Contractor/Volunteer Notification Form found on our website. Clearances are obtained during the onboarding process with the Office of Human Resources. Results are on file with the Office of Human Resources.
The Federal (FBI) Criminal History Report is not required if all the following apply:
he/she is not being paid for services
he/she has been a resident of the Commonwealth of PA during the entire previous ten (10) year period.
he/she has not been convicted of an offense enumerated in PA’s Child Protective Services Law, 23Pa C.S. §6344© [ see IUP Background Investigation Policy /Section D/Reportable Offense ]
Student Volunteers
Not required to complete the background clearance process if:
he/she is currently enrolled at IUP and IUP is sponsoring the event
he/she is volunteering for an event on IUP property
he/she is not responsible for a child’s welfare
the event is not for minors in the care of a child-care service
Non-University Volunteers
Information can be obtained at www.keepkidssafe.pa.gov. Results should be verified by the Program Administrator.
Non-Employee A d u lts in Non- University Spon s o r ed Programs
Information can be obtained at www.keepkidssafe.pa.gov. Results should be verified by the Program Administrator.
About Training Requirements
All authorized adults listed as Program Staff are required to be trained on policies and issues related to minor safety and security:
1. Protection of Minors (Mandatory Reporting) – Training will include such topics as Sexual and other unlawful harassment, and detecting and reporting abuse.
a. Online training is required for new and current IUP employees and volunteers each academic year pursuant to the Board of Governors Protection of Minors Policy 2014-01. Evidence of completion should be maintained by the Program Administrator.
b. Authorized adults who are not IUP employees or volunteers may complete the training online via the Office of Social Equity website. Evidence of completion should be maintained by the Program Administrator.
2. Emergency Protocols – Training will include such topics as first aid, CPR and medication management.
3. Camp Information – Training will include such topics as participant conduct management and disciplinary procedures, adult code of conduct and disciplinary procedures and review of the safety and security plan.
Best Practices for Authorized Adults with Direct Contact with Minors
* The program administrator should always have a detailed itinerary of the program to include times and locations.
* Avoid situations in which you are alone with a minor. Two adults should be present whenever possible.
* Clearly identify program staff at events for minors with an ID band, staff and shirt, etc.
* If circumstances present that you are alone with a minor, leave the door to the room open in which you are with the minor. Inform another adult about the meeting and the time and location of the meeting.
* If it is necessary to accompany a single minor to the restroom, first check the restroom to ensure it is safe for the minor to use, then exit the restroom and ensure that the minor uses the restroom alone.
* Minors must be accompanied at all times and/or paired with another minor participant for purposes of going from one location to another, i.e., restroom.
* There should never be any showering, massage, horseplay, undressing, alcohol, drugs, profanity, or sexual jokes and innuendos around minors.
* Do not lock doors from the inside when with a minor unless it is an emergency.
* Do not transport a minor alone. When traveling away from the University for a University program, a parent or legal guardian, or another adult travels in the group.
* Do not date a minor.
* Do not have contact with a minor outside of the program or event.
* Do not take a photo of a minor on your personal cell phone or camera.
* Do not cover windows into your office or classroom. Allow visibility of the minor.
* Separate shower facilities and/or schedules should occur for adults, male minors, and female minors. The minors should be grouped with similar aged minors for this activity. Adults and minors should never use the same bathing facilities simultaneously.
* Male and female minors are never assigned to sleep in the same room overnight unless accompanied by the parent or legal guardian.
* Respect personal boundaries.
SAMPLE FORMS
The following sample forms are available for your use.
Code of Conduct for Authorized Adult or Program Staff
Authorized adults or program staff should be positive role models for minors and act in a responsible manner. It is expected that all authorized adults and program staff will adhere to the below expectations. Violations of any of the forgoing shall be reported to the program administrator.
1. Do not engage in any sexual activity, make sexual comments, tell sexual jokes, or share sexually explicit material with minors or assist in any way to provide access to such material to minors.
3. Do not touch minors in a manner that a reasonable person could interpret as inappropriate. All personal contact should generally only be in the open, and in response to the minor's needs, for a purpose that is consistent with the program's mission and culture, or for a clear educational, developmental, or health-related purpose (e.g., treatment of an injury). Any refusal or resistance from the minor should be respected.
2. Do not engage or allow minors to engage you in romantic or sexual conversations or related matters. Similarly, do not treat minors as confidantes; refrain from sharing sensitive personal information about yourself. Examples of sensitive personal information that should not be shared with minors are information about financial challenges, workplace challenges, drug or alcohol use, and romantic relationships.
4. Do not use harassing language that would violate Board of Governors' Policy 2009: Social Equity, or University harassment policies.
6. Do not meet with minors outside of established times for program activities. Any exceptions require written parental authorization and must include more than one authorized adult or program staff.
5. Do not be alone with a minor. If one-on-one contact is required, meet in open, well- illuminated spaces or rooms with windows observable by other authorized adults or program staff, unless the one-on-one contact is expressly authorized by the program administrator or is being undertaken for medical care.
7. Do not invite individual minors to your home or other private locations. Any exceptions require authorization by the program administrator and written authorization by a parent/guardian.
9. Do not engage or communicate with minors except for an educational or programmatic purpose; the content of the communication must be consistent with the mission of the program and the University.
8. Do not provide gifts to minors or their families independent of items provided by the program.
10. Do not engage in any abusive conduct of any kind toward, or in the presence of, a minor, including, but not limited to, verbal abuse, striking, hitting, punching, poking, spanking, or restraining. If restraint is necessary to protect a minor or other minors from harm, all incidents must be documented and disclosed to the program administrator and the minor's parent/guardian.
12. Do not provide alcohol or illegal substances to a minor.
11. Do not use, possess, or be under the influence of alcohol or illegal drugs while on duty, or in the presence of minors involved in a program, or when responsible for a minor's welfare.
13. Do not provide medication to a minor unless authorized by the program's medication management guidelines.
14. When transporting minors, more than one authorized adult or program staff from the program must be present in the vehicle, except when multiple minors will be in the vehicle at all times through the transportation. Avoid using personal vehicles if possible and comply with the program's transportation guidelines.
Parent/Legal Guardian Notification Process
This procedure, consistent with University standards and expectations, is to be used for notifying the minor's parent/legal guardian in case of an emergency, including medical issues, behavioral problems, natural disasters, or other significant disruptions. The program administrator shall provide written information on the notification procedure to adults involved in the program, parents/legal guardians of minors, and, if age appropriate, the minor.
For overnight programs, each program administrator must have a roster of all minors participating in the program. The roster shall include each minor's name, gender, age, and home address; local room assignment (if any); phone number(s) of parent or legal guardian; and emergency contact information.
1. Provide information to the parent or legal guardian detailing the manner in which the minor can be contacted during the program.
2. For overnight programs, provide the registry administrator with a roster of program staff and contact information, including information on the program administrator.
3. Have completed a comprehensive health form for each minor camp or conference participant.
4. Program staff may distribute medications to minors only under the following conditions:
* The minor's family must provide the medicine in its original pharmacy container labeled with the minor's name, medicine name, dosage, and timing of consumption. Over-the-counter medications must be provided in the manufacturer's container and labeled with the minor's name, dosage, and timing of consumption.
* The parent or guardian must provide written authorization before program staff may distribute any medication to a minor.
* Program staff shall keep the medicine in a secure location and, at the appropriate time for distribution, meet with the minor in the presence of another adult.
* The program staff member shall allow the minor to self-administer the appropriate dose as shown on the container.
* For medicine that the minor cannot self-administer, the parent or guardian must make arrangements in advance of the minor's arrival with a qualified individual to administer the medication.
* Minors may carry personal "epi" pens and inhalers during activities for self-administration.
5. Develop and make available to participants the rules, discipline measures, and response protocols applicable to the program.
6. Obtain all liability releases as part of the program registration process.
7. Assign a staff member who is at least 21 years of age to be accessible to the participants. The staff member must reside in the housing unit, if applicable.
8. As applicable, all programs must adopt and implement rules and regulations for proper supervision of minors in University housing.
General Fire Evacuations
Evacuation Procedures – Building Evacuations
If you see a fire or other emergency requiring people to leave the building immediately, activate the building alarm.
When the building alarm sounds, walk quickly to the nearest marked exit.
Do not delay your exit to look for keys, coats or personal belongings. Seconds count – get out right way.
Know the location of the nearest fire exit and have an alternate exit pathway identified if your primary exit is blocked by smoke or flame.
If possible, assist individuals with disabilities in exiting the building.
When evacuating rooms, close the door to confine the fire and reduce oxygen, but do not lock the door behind you.
Do not use the elevator.
Do not return to an evacuated building until the all clear sign is provided by the Fire Chief, a Police Officer, the Environmental Health and Safety Director, or other official.
Once outside, move a safe distance away from the building (at least 100 feet); do not block emergency responders as they enter the building.
If your building has established a designated assembly point, go there and stay at the assembly point until a head count is taken.
What to Do If You Are Trapped in the Building
Feel the door and doorknob, if hot do not open the door.
Place a wet towel or cloth underneath the door to try to stop some of the smoke from entering the room. Stay low to the floor.
If the door and doorknob are not hot, open the door a crack. If you see large amounts of smoke, close the door.
Do not try to leave your room.
NOTE: If there is no window stay near the floor where the air will be less toxic. Shout at regular intervals to alert emergency crews of your location.
NOTE: If you become trapped in a building during a fire and a window is available, place an article of clothing (shirt, coat, etc.) outside the window as a marker for rescue crews.
Fire Evacuation – Helpful Tips
Become familiar with the layout of your building.
Familiarize yourself with how you will reach that exit in case of an emergency. Know how you will exit the building before an emergency occurs.
Locate the nearest exit to your work area.
Familiarize yourself with the locations of fire alarm pull boxes and fire extinguishers in your work area and in our building.
Crawl along the floor if necessary to stay below the heat and flames at the ceiling.
The most important thing to do in the event of a fire is to get out of the building and get help.
Always leave the building by the nearest exit.
Individuals with Disabilities and Fire Safety
In the event of a fire or other emergency that requires the evacuation of the building, individuals with disabilities on the upper floor of buildings should move to the stairwells and remain there until rescue assistance arrives.
Do not attempt to use the elevators during a building evacuation.
These individuals may also have pre-arranged provisions for getting assistance to get down the stairs.
Any individual in a residence life building who has a hearing disability can request a strobe light in their room. Contact Student and Residence Life staff to request a strobe light.
Any individual with a disability who requires an accommodation relating to fire safety (strobe Light) should contact Facilities Management.
Evacuation Procedures – Persons with Disabilities People Who Are Mobile
Persons who can evacuate with little or no assistance should be directed to the nearest exit.
People with hearing impairment will see the strobe lights indicating the alarm has activated and they need to evacuate the building.
People with visual disabilities will hear the sirens warning them that they need to evacuate. Do not assume that a visually impaired individual needs assistance; ask them if they need help finding their way out of the building.
People Who Are Not Mobile or Trapped on Upper Floors of Buildings
If there is a fire, the elevators will not work. The person should be directed to a stair tower. There, evacuation and rescue will be provided by emergency responders such as the Indiana Fire Department.
It is imperative that someone communicate to the arriving rescue personnel, the locations of all people with disabilities in the building and their exact location.
If another person can wait with the person who is mobility impaired, in the stair tower, until rescuers arrive, that is helpful.
Firefighters and emergency personnel will prioritize these areas for rescue operations. In ideal situations, one or more people exit the building and find emergency responders to communicate this information, while another individual waits with the mobility impaired person in the stair tower.
Persons with disabilities, especially mobility disabilities, like all students and employees, need to be familiar with the location of primary and back up exit pathways, elevators, stair towers, etc.
If an immediate evacuation is necessary, the person with a mobility disability may not be able to wait for rescue by emergency responders. In this situation, it is best to ask the person with the disability how best to aid them and effect the evacuation. Some persons may need to be carried, while others may need assistance walking. This should always be a last resort when an immediate threat is determined to be present.
Some people with disabilities, especially students, make prior arrangements to have friends come and assist them if they are on the top floors of buildings, in the event of a fire or emergency. This practice is encouraged.
Supervision and Staffing Ratio Requirements
Program or Activity Supervision
- The program administrator must be 21 years of age or older.
- Authorized adults or volunteers must be 18 years of age or older.
- Authorized adults or volunteers must be at least 2 years older than the minor he/she is supervising.
* One-on-one contact between an authorized adult or volunteer and a minor is prohibited, unless the authorized adult or volunteer is the minor’s parent orguardian.
- Participation by a minor under 6 years of age is prohibited unless the minor is accompanied by a parent or guardian at all times.
Supervision Ratios
In establishing supervision ratios for a program, activity, or service involving minors, a program administrator should consider the ages of the minors participating, the nature of the program, activity, or service to ensure minor safety, the location of the activity, and the duration of the program, activity, or service. Below are the suggested supervision ratios for a program, activity, or service involving minors:
Day Program*
* 1 staff for every 8 participants aged 6 – 8 years. (1:8)
* 1 staff for every 6 participants 5 years of age or younger. (1:6)
* 1 staff for every 10 participants aged 9 – 14 years. (1:10)
* 1 staff for every 12 participants aged 15 – 18 years. (1:12)
Overnight Program*
* 1 staff for every 6 participants aged 6 – 8 years. (1:6)
* 1 staff for every 5 participants 5 years of age or younger. (1:5)
* 1 staff for every 8 participants aged 9 – 14 years. (1:8)
* 1 staff for every 10 participants aged 15 – 18 years. (1:10)
*Ratios are based on the American Camp Association.
Participation Agreement / Permission Form
To whom it may concern:
I give permission for my (daughter/son), , to stay at Indiana University of Pennsylvania overnight in a room with (IUP student) ___________ in (room) _______ in (residence hall) _____________________________ from (dates) _______ to ______ .
Please feel free to contact me anytime if you have any questions in regard to this visit to campus. Thanks!
_________________________________________________________________
Parent's Name/Signature
_________________________________________________________________
Parent's Contact Number
---------------------------------------------------------
If student is a recruit please complete following:
_____________________________________ _________________________________
Sport
Coach's signature
HEALTH FORM
Name: __________________________________ ___________________________ _________
Last
First
Middle Initial
Address: __________________________________________________________________________
Number and Street
City
State
Zip Code
Date of Birth:
Age:
Sex:
Grade:
Parent/Guardian Name: _____________________________ Relationship: ___________________________
Home Phone No.: ()
If not available in an emergency, notify:
Work Phone No.: ()
1. _______________________________________
2. _______________________________________
Health History: (Check, giving approximate dates)
Phone No.: (
)
Phone No.: (
) ______________________
Allergies: ______________________________________________________________________________
Current Medications:
Name
Dosage Frequency
Reason
Last Tetanus Shot:
Operations or Serious Injuries (and dates):
Chronic Recurring Illnesses or Athletic Injuries (and dates):
Medical Insurance Information
This section must be completed before the minor will be allowed to participate in activities.
Insurance Company: ________________________________________________________________
Insurance Company Phone Number: ____________________________________________________
Policy Number: ____________________________________________________________________
Parent/Guardian Signature: ______________________________________________________________
--------------------------------------------------------------------------------------------------------------------------------------------
THIS SECTION IS TO BE COMPLETED ONLY FOR THOSE WHO DO NOT HAVE MEDICAL INSURANCE:
In the event there is no medical insurance, Indiana University of Pennsylvania Foundation requires that parents/guardians agree to incur the cost of medical expenses of their child. If there is no medical insurance, please complete the section below:
I, agree to be financially responsible for all medical costs incurred by my child,_____________________________________at [event name].
Parent/Guardian Signature:_________________________________________________________________
A Note to Parents/Guardians without Medical Insurance: You MUST sign where indicated if you carry no medical insurance on the camper. Those without a signature will be returned, and registration will be held until a signature is obtained.
--------------------------------------------------------------------------------------------------------------------------------------------
PARENT'S AUTHORIZATION
Liability Release: I, the undersigned, individually and as a parent/guardian of the camper named on the front of this form, a minor, ask that he/she be admitted to participate in the sports camp sponsored by the Indiana University of Pennsylvania. I do hereby agree to release, discharge and hold harmless Indiana University of Pennsylvania, Indiana University of Pennsylvania Foundation, their owners, agents and employees of and from all causes, liabilities, damages, claims or demands whatsoever on account of any injury or accident involving the said minor arising out of the minor’s attendance at the sport camp or in the course of competition and-or activities held in connection with the sport camp.
This health history is correct as far as I know, and the person herein described has permission to engage in all prescribed camp activities.
I give full permission to the camp to medically treat my child. In the event I cannot be reached in an EMERGENCY, I hereby give permission to the camp medical personnel to administer medication. I also give permission to the physician selected by the camp director to hospitalize, secure proper treatment for, and to order injection, anesthesia or surgery for my child as named above.
Parent/Guardian Signature:
Date:
_______________________
Photo Release Form
The undersigned agrees to give permission to Indiana University of Pennsylvania to use his/her photograph for the purpose of publicizing the University in either general University promotions, which could include the University Web site; publications which include the print admissions package, brochures, magazines, video, television, newspaper, newsletters, and/or publications that may act as fundraising ventures for University clubs/organizations. The photo will most likely not contain a caption identifying any individuals, although one may occasionally accompany the picture.
Signature of Individual to be photographed
Date
Print Name of Individual to be photographed
Signature of parent if Individual is under 18 years of age
Date
Page | 15
Code of Conduct for Participant
It is expected that all participants in any University or non-University sponsored program, activity, or service will conduct themselves in a polite, respectful manner and will adhere to all University rules as follows.
1. The possession or use of alcohol and other drugs, fireworks, guns and weapons is prohibited.
3. No violence, including sexual abuse or harassment, will be tolerated.
2. The use of skateboards is prohibited.
4. Hazing, bullying, and cyber bullying will not be tolerated.
6. Misuse or damage of University property is prohibited.
5. All curfews, if applicable, will be followed.
7. All minors will be accompanied by another minor at all times. This is the buddy system.
9. Minor participants may only be housed with a participant of the same sex.
8. Participants in an overnight program are not permitted to be housed in the same room with an adult unless the person is the minor's parent or legal guardian.
10. No minor will be housed in a room alone.
12. The inappropriate use of cameras, imaging, and digital devices is prohibited including use of such devices in showers, restrooms, or other areas where privacy is expected by participants.
11. Smoking is prohibited in all University buildings.
13. Profanity is prohibited.
15. Only use the building designated by your program supervisor or staff.
14. When crossing streets, only cross in the designated crosswalks.
16. If you are hurt or injured, immediately report your injury to the program supervisor or staff.
Waiver of Liability, Assumption of Risk, and Indemnity Agreement INDIANA UNIVERSITY OF PENNSYLVANIA
[Name of Class or Activity]
Participant's name: [Name]
Participant's Age (if minor) ______
Waiver: In consideration of being permitted to participate in any way in [Description of Class or Activity including date(s)] hereinafter called "the Activity", the undersigned, for himself/herself, his/her heirs, personal representatives or assigns, does hereby release, waive, discharge, and covenant not to sue Indiana University of Pennsylvania, or the State System of Higher Education, part of the Commonwealth of Pennsylvania, or their officers, employees, and agents from liability from any and all claims including the negligence of Indiana University of Pennsylvania, its officers, employees or agents, resulting in personal injury, accidents or illnesses (including death), and property loss arising from, but not limited to, participation in the Activity.
The undersigned understands the description of the Activity above may be changed without notice and that Indiana University of Pennsylvania will provide no compensation for any expenses or losses incurred due those changes.
Signature of Parent/Guardian of Minor
Date
Signature of Participant
Date
Assumption of Risks: Participation in the Activity may involve travel or other activities that carries with it certain inherent risks that cannot be eliminated regardless of the care taken to avoid injuries.
Health Care Authorization: The undersigned hereby authorizes Indiana University of Pennsylvania and its employees and agents to perform any acts which may be necessary or proper to provide emergency health care to a participant in the Activity in the event the parent/guardian and/or emergency contact cannot be reached. This authorization includes consent to and authorization of medical procedures by qualified, licensed physicians, dentists, hospital or other emergency medical personnel, as they, in the exercise of their profession and in their sole discretion, may deem necessary. The undersigned understands that (s)he is responsible for all costs and expenses of such medical treatment.
Indemnification and Hold Harmless: I also agree to INDEMNIFY AND HOLD Indiana University of Pennsylvania and the State System of Higher Education HARMLESS from any and all claims, actions, suits, procedures, costs, expenses, damages, and liabilities, including attorney fees brought as a result of my involvement in the Activity and to reimburse them for any such expenses incurred.
Severability: The undersigned further expressly agrees that the foregoing waiver and assumption of risks agreement is intended to be as broad and inclusive as is permitted by the law of the Commonwealth of Pennsylvania and will be interpreted under such and that if any portion thereof is held invalid, it is agreed that the balance shall, notwithstanding, continue in full legal force and effect.
Acknowledgment of Understanding: The undersigned has read this waiver of liability, assumption of risk, and indemnity agreement, fully understands its terms, and acknowledges and understands that substantial rights are being given up, including the right to sue. The undersigned acknowledges that he/she is signing the agreement freely and voluntarily, he/she is assuming all risks voluntarily and intends by his/her signature to provide a complete and unconditional release of all liability to the greatest extent allowed by law.
Signature of Parent/Guardian of Minor
Date Signature of Participant
Date
Page| 17
Parent/Legal Guardian Notification Process
This procedure, consistent with University standards and expectations, is to be used for notifying the minor's parent/legal guardian in case of an emergency, including medical issues, behavioral problems, natural disasters, or other significant disruptions. The program administrator shall provide written information on the notification procedure to adults involved in the program, parents/legal guardians of minors, and, if age appropriate, the minor.
For overnight programs, each program administrator must have a roster of all minors participating in the program. The roster shall include each minor's name, gender, age, and home address; local room assignment (if any); phone number(s) of parent or legal guardian; and emergency contact information.
1. Provide information to the parent or legal guardian detailing the manner in which the minor can be contacted during the program.
2. For overnight programs, provide the registry administrator with a roster of program staff and contact information, including information on the program administrator.
3. Have completed a comprehensive health form for each minor camp or conference participant.
4. Program staff may distribute medications to minors only under the following conditions:
* The minor's family must provide the medicine in its original pharmacy container labeled with the minor's name, medicine name, dosage, and timing of consumption. Over-the-counter medications must be provided in the manufacturer's container and labeled with the minor's name, dosage, and timing of consumption.
* The parent or guardian must provide written authorization before program staff may distribute any medication to a minor.
* Program staff shall keep the medicine in a secure location and, at the appropriate time for distribution, meet with the minor in the presence of another adult.
* The program staff member shall allow the minor to self-administer the appropriate dose as shown on the container.
* For medicine that the minor cannot self-administer, the parent or guardian must make arrangements in advance of the minor's arrival with a qualified individual to administer the medication.
* Minors may carry personal "epi" pens and inhalers during activities for self-administration.
5. Develop and make available to participants the rules, discipline measures, and response protocols applicable to the program.
6. Obtain all liability releases as part of the program registration process.
7. Assign a staff member who is at least 21 years of age to be accessible to the participants. The staff member must reside in the housing unit, if applicable.
8. As applicable, all programs must adopt and implement rules and regulations for proper supervision of minors in University housing.
|
Literature review on corruption in fragile states
Query
Can you please provide a reading list or review of literature on corruption and fragile states, looking at the relationship between corruption and conflict, and corruption and legitimacy, as well as the effectiveness of anti-corruption interventions?
Purpose
Summary
This will assist the organisation to think through issues around corruption in fragile states, with the aim of sharing analysis and practical lessons across the organisation.
Content
1. Corruption and fragile states
2. Corruption and conflict
3. Corruption and legitimacy
4. Effectiveness of anti-corruption interventions
Caveat
This paper compiles publicly available articles and academic papers examining corruption in fragile states, with a focus on the relationship between corruption, conflict, and state legitimacy. There is a broad consensus in the literature on the correlation between corruption and fragility; the direction of causality is nevertheless debated. Corruption is generally seen as increasing the level of instability and delegitimizing the state; some studies however argue that corruption can have stabilizing effects in the short term.
A number of articles on the effectiveness of anticorruption interventions are also featured but there is only limited available information on interventions in fragile states specifically.
The list of resources provided is not intended to be exhaustive but to give a snapshot view of the existing research on the relevant topics. There is a lack of data on the effectiveness of anti-corruption interventions.
Author(s): Sofia Wickberg, Transparency International, email@example.com Reviewed by: Marie Chene, Transparency International, firstname.lastname@example.org; Robin Hodess, Transparency International, email@example.com
Date:
24 January 2013Number:
360
U4 is a web-based resource centre for development practitioners who wish to effectively address corruption challenges in their work. Expert Answers are produced by the U4 Helpdesk – operated by Transparency International – as quick responses to operational and policy questions from U4 Partner Agency staff.
www.transparency.org
www.cmi.no
1. Corruption and fragile states
Insecurity and violence, legacy of conflict, weak governance and the incapacity to deliver an efficient and just distribution of public goods and services are often observed in fragile states (Mcloughlin, 2012). There is a broad consensus in the literature on the existence of a relationship between corruption and fragility, but causalities is difficult to establish (Hussmann, Tisné, Mathisen, 2009). This bibliography will focus particularly on two aspects of fragility: conflict and legitimacy, and their relationship to corruption.
* Topic guide on fragile states
(Mcloughlin, C., 2012) Governance and Social Development Resources Centre, http://www.gsdrc.org/docs/open/CON86.pdf
* Concepts and Dilemmas of State Building in Fragile Situations,
(OECD, 2008)
http://www.oecd.org/development/conflictandfragility/41 100930.pdf
These reports highlight that there is no internationally consensual definition of what makes a fragile state. The the concept is generally referred to as the failure to perform state functions necessary to meet people's basic needs, such as security, rule-of-law, justice and basic services. The OECD DAC recently defined fragile states as states that are "unable to meet [their] population's expectations or manage changes in expectations and capacity through the political process" (OECD, 2008). Similarly, DFID describes fragile states as 'those where the government cannot or will not deliver core functions to the majority of its people, including the poor' (DFID, 2005) and the University of Oxford's Centre for Research on Inequality and Social Exclusion defines them as 'failing, or at risk of failing, with respect to authority, comprehensive service entitlements or legitimacy' (CRISE 2009). The OECD DAC has developed a typology of fragile states to enable a better comprehension of the wide range of states qualified as "fragile": "arrested development", "deterioration", "post-conflict transition" and "early recovery" (OECD DAC, 2008).
2. Corruption and conflict
Conflict-affected or post-conflict countries are perceived to be amongst the most corrupt countries in the world, www.U4.no
as illustrated by Transparency International's Corruption Perceptions Index 2012. Despite the lack of significant empirical evidence, there is a broad consensus in the literature that corruption and conflict are linked to one another but the direction of the causality is debated. Many experts see corruption and conflict as deeply intertwined, caused by closely connected mechanisms.
Corruption increases the level of instability and the risk of conflict by undermining the legitimacy and credibility of state institutions and weakening peace-building and peace-keeping efforts. In parallel, conflict creates corruption patterns that might not have existed previously. The papers featured below examine various aspects of the impact of corruption on stability and peace, such as the link between fraudulent diamond extraction and civil war, or the development of specific corrupt behaviours during war period and their effect on the aftermath of conflicts.
* Corruption and Armed Conflicts: Some Stirring Around in the Governance Soup
(Andvig, J.C., 2007) Norwegian Institute of International Affairs:
http://english.nupi.no/content/download/1457/3940 4/version/6/file/WP-720-Andvig.pdf
This paper discusses the impact of corruption on the probability of violent conflict events and traces the shifts in the composition of corrupt transactions during and in the aftermath of violent conflicts. It explores the causal linkages between corruption and conflicts, as well as the analogy of the phenomena with both dealing with the modus operandi of the state and the violation of institutional and normative restraints. Corruption and violent conflicts are basically co-flux phenomena caused by the same or closely connected mechanisms.
* Post-conflict Corruption: A Rule of Law Agenda?
(O'Donnell M., 2006) International Peace Academy: Link to pdf
Corruption has quickly become a first-order priority in some post-conflict transitions despite the fact that national capacities are often stretched thin by urgent demands on the ground and the massive inflows of international aid and conditionality. Within the international community, there is a renewed acknowledgement of the importance of the rule of law
not only to improve the well-being of citizens living under them, but also to reduce the negative spill-over effects of state failure for global stability and security. States that can govern well, it is now argued, are key to long-term development, to combating terrorism, and to preventing conflict and the resurgence of conflict in post-conflict transitions. Renewed emphasis on efforts to strengthen the rule of law is in large part propelled by this new consensus on the importance of state-building and governance.
* World Development Report 2011
(World Bank, 2011) Link to download options
Institutional legitimacy is the key to stability. When state institutions do not adequately protect citizens, guard against corruption, or provide access to justice; when markets do not provide job opportunities; or when communities have lost social cohesion—the likelihood of violent conflict increases.
Corruption—which generally has international links through illicit trafficking, money laundering, and the extraction of rents from sales of national resources or international contracts and concessions—has doubly pernicious impacts on the risks of violence, by fuelling grievances and by undermining the effectiveness of national institutions and social norms.
* Corruption and Post-Conflict Peacebuilding: Selling the Peace?
(Cheng, C., and Zaum, D.(eds.), 2011)
http://statesandsecurity.org/_pdfs/Zaum.pdf
The authors argue that corruption has become an increasingly salient issue for societies that are transitioning from war to peace, partly because it undermines the legitimacy and efficiency of the State. War-torn states are recognised as highly susceptible to corruption: their administrative and judicial institutions are weak, and they lack the capacity to monitor and enforce rules against corruption. Lingering social divisions from the war weaken shared conceptions of the public good and social norms that could otherwise constrain corrupt behaviour. There is extensive evidence, both quantitative and qualitative, of the prevalence of corruption in conflict-affected countries, which tend to cluster in the bottom of corruption indices such as Transparency International's Corruption www.U4.no
Perceptions Index, and the World Bank's Governance Indicators.
* Civil Society Organisations in Situations of Conflict
(Poskitt, A. and Dufranc, M., 2011) CIVICUS http://www.integrityaction.org/resources/publicatio ns
There is a broad consensus in the CSO community that weak political systems and high levels of corruption have the most significant, negative long-term effect on civil society in situations of conflict. The inevitable breakdown of systems that occurs in conflict situations deeply mars the effectiveness of civil society.
This report illustrates the dynamics of civil society in situations of conflict and looks at how the international community and donors can ensure that their policies adequately empower citizens and civil society in all stages of peace-building and development.
* Blood on the Stone: Greed, Corruption, and War in the Global Diamond Trade
(Smillie, I., 2010) Anthem Press http://idlbnc.idrc.ca/dspace/bitstream/10625/44666/1/ 131101.pdf
Mineral wealth has long been linked to tax evasion, money laundering, conflict and corruption. In the 1990s, they were used to bankroll wars that claimed millions of lives and caused untold suffering.
This book addresses how diamonds fueled some of the most brutal wars in Africa, exploring the extraction of mineral resources from developing countries and the struggle to force corporate accountability for the abuses and imbalances that have resulted.
* Corrupting Peace? Peacebuilding and Post-conflict Corruption
(Le Billion, P., 2008) International peacekeeping Vol15: Link to pdf
Many conflict-affected countries are among the most corrupt in the world, and corruption is frequently reported as a major concern of local populations and foreign aid agencies during transition to peace.
In this paper, the author attempts to demonstrate that different forms of corruption have different effects on conflict likelihood and peace-building, and that, even though corruption is generally an obstacle to peace, in certain situation it may provide a short term solution to peace, by securing some elements of social, economic and political stability. The author argues that peacebuilding programmes ought to take into account the socio-cultural context not to plan any drastic measures that could potentially worsen the situation.
* Controlling Corruption In PostConflict Countries
(Bolongaita, E., 2005) USAID http://www.u4.no/recommendedreading/controlling-corruption-in-post-conflictcountries/
The corrosive impact of corruption on societies is worsened in post-conflict situations because: firstly, perception of corruption weakens enthusiasm for donor support, reducing the level of aid, which prevents postconflict institutions to function properly: secondly, corruption diverts parts of the post-conflict support creating a vicious circle that also discourage further assistance; thirdly, corruption fuels debt and poverty; fourthly, corruption feeds conflicts through greed and grievances patterns
The chances that corruption will distort and undermine peace-building and reconstruction intentions and plans of post-conflict peace agreements or settlements are relatively high. This is partly because post-conflict environments present high opportunities and low punitive risks for corrupt activity. The opportunities and scope for corruption are enhanced because postconflict countries often attract or justify relatively highlevels of aid. Because of the weak governance environment, the incentives for private gain abound, magnified by the lack of disincentives for such illicit enrichment. In the absence of forces fostering transparency and accountability (media, civil society…), the spread of corruption is virtually assured.
3. Corruption and legitimacy
Lack of legitimacy is a common feature of fragile states, who have failed to satisfy citizens' basic needs and establish a functional social contract. The Centre for Research on Inequality, Human Security and Ethnicity of the University of Oxford argues that "states may be fragile because they lack authority (authority failure), fail to provide services (service entitlement failure) or lack www.U4.no
legitimacy (legitimacy failure)" (Frances, Graham, 2009).
Corruption is at the centre of fragility and can deeply undermine state legitimacy. Corruption impedes the fair distribution of public resources, creating unacceptable inequalities. It undermines the effectiveness of public administration and prevents the state to satisfy its citizens' needs. Corruption can lead to dysfunctional justice systems and public mistrust in the ability of the state to deal with the punishment of war criminals, for examples. Moreover, in some context, the existence of patronage networks and the use of force to maintain them is considered unacceptable by the general population, further eroding its trust in the state.
Despite the broad consensus around the relationship between corruption and loss of legitimacy, a number of reports defend the idea that, in some given situations, corruption can have stabilizing effects and provide a short term solution to the establishment of a new political order. Nevertheless, this has not proved a successful long term approach to successful accountable governance.
* Fragile states
(Stewart, F., and Brown, G., 2009), CRISE WORKING PAPER No. 51, CRISE University of Oxford, http://economics.ouls.ox.ac.uk/13009/1/workingpa per51.pdf
The paper emphasizes the relationship between fragility and legitimacy and serves as an introductory source to this part of the bibliography.
It proposes a three-pronged definition of fragility – states may be fragile because they lack authority (authority failure), fail to provide services (service entitlement failure) or lack legitimacy (legitimacy failure). We argue that each captures different aspects of state vulnerability, and that they are related to each other causally.
* Risks of corruption to state legitimacy and stability in fragile situations
(Dix, S., Hussmann, K., and Walton, G., 2012) U4 http://www.u4.no/publications/risks-of-corruptionto-state-legitimacy-and-stability-in-fragilesituations/
Examining the cases of Liberia, Nepal and Colombia, this study asks how corruption poses risks to political legitimacy and stability in fragile situations. The report focuses on the key role of elites and their views of the state's legitimacy in determining the extent to which there will be instability or stability. Qualitative interviews of elites show that two particular patronage scenarios are seen as particularly threatening to stability. One is when the state or illegal actors sustain a corrupt network by violently eliminating opponents. The other is when corruption benefits few people, the benefits are not distributed "fairly," and the population's basic needs are not met. The impact of corruption on legitimacy and stability is mitigated by other factors. Anti-corruption initiatives potentially strengthen state legitimacy, but can also undermine it if they fail to deliver or are too ambitious.
* Integrity in Statebuilding: AntiCorruption with a Statebuilding Lens
(Hussmann, K., Tisné, M., and Mathisen, H., 2009) OECD, http://www.oecd.org/development/governanceand development/45019804.pdf
This study argues that corruption lies at the core of fragility. Certain forms of corruption can fundamentally delegitimize the state. It is therefore important to try and understand both how and why certain forms of corruption have a more significant impact on state legitimacy and what forms these take.
There is no clear consensus that corruption has a negative impact on fragility at all times. Some researchers conclude that corruption clearly undermines the state and its capacity to manage and prevent conflict while others, observe that corruption can have both destabilising and stabilising effects. Destabilising effects include the undermining of the legitimacy of the government in cases where its members are seen to be self-serving. When the limits of public tolerance of corruption are overstepped, even a hitherto repressive regime may collapse, giving rise to www.U4.no
conflict. Corruption multiplies the inequalities among the population and political factions, thereby increasing the risks of instability and a return to conflict. This is particularly so where large amounts of licit or illicit resources are made available, such as natural resources or a massive influx of international aid. Corruption, or permeation of national security forces by criminal gangs, can result in the state failing to provide proper security. As a consequence, people seek protection from warlords or other armed rivals of the state, thereby increasing fragility and the risk of conflict.
* The State legitimacy in fragile situations, unpacking complexity (OECD, 2010)
http://www.oecd.org/development/conflictandfragili ty/44794487.pdf
This report takes a different stand point than many other studies and defends the idea that sources of legitimacy play out differently in different social and political contexts. It argues that even though patronage, for example, is viewed as corruption that undermines legitimacy in the Western state model, it can provide sources of legitimacy in hybrid political orders and can help manage violence, create political alliances and maintain social stability in fragile situations.
The authors also argue that anti-corruption interventions by donors, can have unintended negative effects on legitimacy and stability, including political manipulation of anti-corruption commissions and cynicism born from over-ambitious anti-corruption initiatives that fail to deliver.
* Fragile States: Securing Development
(Zoellick, R., 2009) The International Institute for Strategic Studies
Offprint from Survival | purchase article
In this article the then-president of the World Bank defends the idea that a fundamental prerequisite for sustainable development is an effective rule of law, including respect for property rights. A legal order is a safeguard against the serious risk of criminalisation of the state. Corruption adds to fragility and undermines legitimacy. Abuse of state power destroys confidence, and ultimately the state's core purpose. Building the rule of law is also vital to public safety – poorly trained and paid police usually add to fragility by arming and empowering predators.
* Afghan perceptions and experiences of corruption
(Integrity Watch Afghanistan, 2010) Link to pdf
This paper looks at the impact of corruption in the context of Afghanistan. It signals the triangular relationship of corruption, lost legitimacy and conflict. Corruption threatens the legitimacy of state-building, badly affects state-society relations, feeds frustration and the support for the insurgency, leads to increasing inequality (which spurs social conflict), violates basic human rights on a daily basis and impedes the rule of law according to Afghan standards, hinders access to basic public services, which impacts the poor most severely, and has a major negative effect on economic development.
* Corrupting the State or StateCrafted Corruption?,
(Gardizi, M., Hussmann, K., and Torabi, Y., 2010) http://www.humansecuritygateway.com/document s/AREU_CorruptingState_StateCraftedCorruption. pdf
Chapter 3 of this study examines corruption and subnational governance structures in Afghanistan, linking corruption, governance and state-building. It states that not only do the co-optation agenda and the circle of corruption and power go hand in hand in Afghanistan, but it has also become clear that the manifold abuses of public office by often vertical criminal networks have negatively affected the trust between citizens and the state and undermined the legitimacy of an already weak state administration that has only a partial geographic presence in Afghanistan. State positions are perceived and used as a means to access or maintain power and as resources for enrichment of oneself or one's group.
* Political analysis of Kenya
(NORAD, 2009)
http://www.norad.no/en/tools-andpublications/publications/publication?key=134242
NORAD commissioned a Political Economy Analysis of Kenya to inform the development of its next strategy for governance in Kenya. The problems noted regarding corruption and the political use of violence are compounded by the issue of impunity that undermines the legitimacy of the state and political leadership. There have been a large number of official reports of www.U4.no
enquiry, and also large amounts of independent evidence gathered, that document the involvement of political leaders in corruption and violence. Still, to date, no senior leaders have been brought to court to answer for what they have done.
4. Effectiveness of anticorruption interventions in fragile states
Very few publicly available resources specifically tackle the issue of the effectiveness of anti-corruption interventions in fragile states. There are, however, a number of reports that gather evidence on the on aid effectiveness in fragile states, some of which are listed below.
* Topic guide on fragile states,
(Mcloughlin, C., 2012) Governance and Social Development Resources Centre, http://www.gsdrc.org/docs/open/CON86.pdf
This resource guide introduces some of the best literature on the causes, characteristics and impact of state fragility and the challenge of aid effectiveness and lessons learned from international engagement in these contexts. It highlights the major critical debates that are on-going within the international development and academic community in relation to understanding and responding to fragile situations. It is intended primarily as a reference guide for policymakers.
* Addressing corruption in fragile states: what role for donors?
(Mathisen, H., 2007) U4
http://www.u4.no/publications/addressingcorruption-in-fragile-states-what-role-for-donors/
In this report, the author argues that fragile states pose different challenges for addressing corruption than normal development contexts. Development partners therefore struggle to find effective strategies for addressing corruption. As a consequence corruption is rarely addressed in aid programs. Experience, however, shows that neglecting the corruption problem from the outset is a dangerous strategy, as corrupt elites use the interlude to entrench themselves in politics and set up predatory schemes, which makes reform difficult to achieve at a later stage.
This report presents an attempt to bridge the divide between the fragile states literature with its broad principles for engagement, and recent international experience and research on corruption.
* Principles for good international engagement in fragile states & situations
(OECD, 2007)
http://www.oecd.org/dac/conflictandfragility/38368 714.pdf
The Principles are intended to help international actors foster constructive engagement between national and international stakeholders in countries with problems of weak governance and conflict, and during episodes of temporary fragility in the stronger performing countries. This paper advises donors to carefully take the local context into account; to consider potential impact of continuation or suspension of aid on national reforms, insecurity etc.; to focus on building the relationship between state and society; to promote nondiscrimination; to prioritise prevention; to avoid exclusion; and to align with local priorities.
* Mapping evidence gaps in anticorruption: Assessing the state of the operationally relevant evidence on donors' actions and approaches to reducing corruption
Johnsøn, J., Taxell, N., and Zaum D.,2012) U4, http://www.u4.no/publications/mappingevidence-gaps-in-anti-corruption-assessingthe-state-of-the-operationally-relevantevidence-on-donors-actions-andapproaches-to-reducing-corruption/
This paper charts the current evidence on effectiveness of different anti-corruption reforms, including in fragile states, and identifies significant evidence gaps. Despite a substantial amount of literature on corruption, this review found very few studies focusing on anticorruption reforms, and even fewer that credibly assess issues of effectiveness and impact. The evidence was strong for only two types of interventions: public financial management (PFM) reforms and supreme audit institutions (SAIs). For PFM, the evidence in general showed positive results, whereas the effectiveness was mixed for SAIs. No strong evidence indicates that any of the interventions pursued have www.U4.no
been ineffective, but there is fair evidence that anticorruption authorities, civil service reforms and the use of corruption conditionality in aid allocation decisions in general have not been effective. The paper advocates more operationally-relevant research and rigorous evaluations to build up the missing evidence base, particularly in conflict-afflicted states, in regards to the private sector, and on the interactions and interdependencies between different anti-corruption interventions.
* Corruption and anti-corruption in Nepal
(NORAD, 2011)
http://www.norad.no/en/tools-andpublications/publications/publication?key=382812
This study uses a political economy methodology to understand the context in which corruption occurs, to examine what can be done to promote integrity, transparency and accountability, and to suggest possible entry points for prioritized anti-corruption interventions.
Part 2 of the report discusses Nepal's past experiences in promoting integrity, transparency and accountability, which are described and found have largely been unsuccessful. From a political economy viewpoint, the crux of the problem is one of collective action: there is a lack of countervailing forces (within and outside government), able to change the existing incentive structure that is at odds with state building, and break the status quo. In Nepal's context of selective distribution of limited public resources (particularism), high poverty and inequality, ethnic tensions, and informal institutions that conflict with and prevail over the rule of law, donors will not be able to effect much change in the area of corruption without a change in governance regimes (from closed/particular to open/universal).
|
PHYSICS LABS FOR INTEGRATED E-LEARNING: CLASSICAL REAL, REAL REMOTE AND VIRTUAL
František Lustig, František Schauer, Miroslava Ožvoldová
Abstract: The paper introduces the integration of three ICT and computer oriented laboratories, namely traditional computer based laboratory, remote real laboratory across the Internet and virtual laboratory. We present the system composed of the system ISES (Intelligent School Experimental System), remote real experiments across the Internet with software ISES WEB Control kit and examples from virtual laboratory from the Colorado University – PhET. This system of laboratories served for our experimental studies in the direction of Integrated e-Learning.
Key words: Real laboratory, real remote laboratory, virtual laboratory, Integrated e-Learning, Internet, ISES
1 Introduction
The physics teaching strategy of education based on the classical stereotype , i.e lecture – seminary – laboratory exercise and on the accumulation of basic models, laws, cumulatively speaking „the rules" of the branch undergoes a crisis. [1] [2]. The other, more compatible one, is the strategy, similar to that used in the scientific method of cognition of real world [3] or the alternative method of e-LTR [1]. The main features of these methods are observations, search for proper information, its processing and storing, organization and planning of work, data and results presentation etc. In this method of education the experiment and experimentation plays a decisive role [4] In turn, in experimental laboratories a silent revolution has taken place due to the massive invasion of personal computers (PC) and information and communication technologies (ICT) [5]. Experimental working places for the teaching purposes provide real experiments using nowadays omnipotent computer for the data collection, processing and evaluation. The second, fast developing area of the physics experimentation in teaching are remote e-laboratories. Many real remote e-laboratories across the Internet have been published that provide experiments on real world objects, supplying the client with the view of the experiment, interactive environment for the experiment control and resulting data for evaluation [6]. The third and new area to be named are the virtual elaboratories [7], where simulations create the virtual reflection of the real word objects and their characterisation, going to the least details as are mistakes and errors and noise influence. In the physics community the vivid discussion is taking place about the place and applicability of all these new forms of experimental work in teaching [4] [5] [7].
The present paper wants to contribute to the discussion about new forms of experimental work in physics education in a constructive way, giving the experience based on the recently introduced new form and technique of education, Integrated e- Learning [8] (INTe-L), and show on the example of the teaching unit Oscillations, how real experiment, real remote experiment and virtual experiment may be with advantage combined with the impressive pedagogical gain. We choose the topic of the oscillator in its forced version, as we consider understanding of its properties central in the understanding of many phenomena in micro and macro world, from atomic to planetary motion.
2 Real physics laboratory with the computer
The first computers in laboratories, some two decades ago, served exclusively for the collecting of the data and their simple processing. Later, many measuring software and hardware were built with bringing new qualities in the physics experiment. As the example may serve the system ISES (Intelligent School Experimental System), whose first version came into existence in 1991 [9] and since then constantly upgraded till contemporary form [10]. The system is now composed of an interface (12 bit Analog Digital–Digital Analog (ADDA) PCI card with sample and hold, maximum sampling frequency of 100 kHz, 4 analogue inputs, 2 analogue outputs, 4 binary outputs ) a set of variable modules and sensing elements, and a service graphic and evaluation program [11].
The schematical representation of the classical experiment Forced oscillation with the mass and spring using the system ISES is in Fig. 1. The experiment provides the possibility of controlling the frequency of the electromagnetic generator producing the external periodic force on the weight, collecting the data of the instantaneous deflection. From these data, the time dependence of the force and deflection for fixed frequency of the external force (example is in Fig. 2) a lot of information on the oscillator can be derived like amplitude and phase characteristics and its properties and behaviour like its own frequency, damping and quality factor, resonance frequency, energy transfer from the generator of the external force.
Fig. 1 The schematic representation of the classical experiment Forced oscillations with mass and spring using the system ISES. The oscillator consists of the spring and the weight, the external force is exerted by the electromagnetic generator with the variable frequency, all controlled by ISES, the instantaneous deflection is detected by the deflection sensor, the data are depicted and processed by ISES software.
ISES program
A
B
C
D
F
V
E
V
Electromgnetic
generator
m
Deflection
sensor
ISES interface
ISES program
A
B
C
D
F
V
E
V
Electromgnetic
generator
Deflection
sensor
m
m
Deflection
sensor
ISES interface
F =F sin (
o
ω t)
The arrival of computer oriented experiments marked the breakdown in physics experiments. The enormous advantage of a computer oriented experiment is obvious and rests mainly in the availability of the experimental data and the possibility to process and evaluate it for meaningful study and discussion. Their disadvantage rests in the limited possibility to use such experiment in other forms of the teaching, especially in lectures, examinations, and discussions with students - in all cases outside of laboratories. It is also not available outside the campus of the University. The overall experience and present state of the ISES system will be reported elsewhere [12].
3 Remote real e-laboratory
Further breakthrough of the ICT in the development of real laboratories was conditioned by the introduction and sophistication of the Internet and its corresponding services, that enabled the building of the laboratories under the scheme server – client. First remote experiment, using the ISES and the common web browser and active Java, was built in 2001. In this system, the experiment is first built using standard ISES hardware. Then, using the software package ISES WEB Control kit (software compiled in 2001 and refined since, available on demand [13]) the server of the remote experiment is devised, enabling the transfer of the view of the layout and function of the experiment and providing the corresponding data transfer to the client. It should be stressed that this procedure of creating the server for the remote experiment is relatively simple, as it is based on copying and paste principle, adding only parameters of the experiment. The function of the server – client scheme of the remote experiment is straightforward. On the server side the web pages are generated using Java applets and sent to the client. These web pages create in the client computer control keys and bars for the control of outputs, applets for measuring and digital displaying of input values, applets for graphic displaying of input values, applets for the transmission of measured values into the client computer, applets for the image transmission from a WEB camera, etc.
Fig. 3 Examples of modular Java applets from ISES WEB Control kit [13] as building tools and blocks for remote experiments construction depicting: (a) display, (b) control slide, (c) graph for data presentation.
In Fig. 4, there is the web page of the remote experiment Forced oscillator (http://kdt17.karlov.mff.cuni.cz), enabling the study of both damped and forced oscillations and such phenomena as the resonance. The transferred data give information about frequency and instantaneous value of the driving force and the instantaneous deflection giving both amplitude of the forced oscillations and their corresponding phase. The usage of the experiment is manifold, determining the own frequency of the oscillator, its damping, the resonance, the amplitude and phase transfer functions and e.g. the energy transfer from the source of the driving force to the oscillator.
Generally speaking the advantage of remote real e-laboratory is enormous, as in general exhibits all the features of the real physics experiments with the computer, with some added quality, given by the possibility to use it independently on the laboratory. Thus the way is opened for the introduction of such experiments in lectures, seminaries, examinations, self study of students independently round the clock, distant students and disabled. The reservation system compiling and the tracing of the student's activities during the measurements systems are being compiled at present. The overall experience with and the present state of the ISES system based remote laboratories will be reported elsewhere [14].
4. Virtual e-laboratory
For the purpose of the INTe-L we used during this study predominantly the simulation of Forced oscillations in Fig. 5, providing the same sets of the data as depicted in Fig. 2 or Fig. 4, compiled by Walter Fendt [15] from the University of Magdeburg. The Java applet (Fig. 5) provides the simple schematic dynamic view of the oscillator, its driving force (red) and weight deflection (blue) and their corresponding time representations in the graph. The adjustable parameters are spring stiffness, mass of the weight and attenuation with driving force frequency.
As the example of the very suitable virtual laboratory we use also the interactive simulations and applets from very instructive www page of the Colorado University - PhET with plenty of applets, covering the usual scope of physics [16]. In Fig. 6 there is a instructive Java applet Mass and springs with kinematic, dynamic and energetic display of the data. For this purpose there are three springs with several masses to attach (also with the unknown values of the mass) with adjustable stiffness and dissipation forces and different gravitational environments.
The pedagogical impact of virtual laboratories on the teaching process is potentially large in the motivation and demonstration phases of lectures and seminaries, when the applets are used for the introduction to the topic. For our purpose we concentrate on the extension of the applets in the direction of the calculated data outputs in order to create the computational and modelling environment for the comparison of real world and modelling data. The disadvantage of the virtual laboratories is the fact of the potential remoteness of the virtual laboratories from the real world phenomena and laws, as we can see it from computer toys and plays. This trend is absolutely prohibitive for the schooling of natural sciences and engineering [7].
5. Conclusions - Real, Remote real and Virtual Laboratories for Integrated e-Learning
The INTe-L, as a new strategy for the physics education, where the experiment and experimentation plays a decisive role, calls for new types of experimental e- laboratories [4]. The INTe-L is based on the methods of the cognition of real world and thus on the methods, sciences have built as their working method. Their characteristic features are observation of phenomena of the real world, search for relevant information and their sorting and storing, organization and planning of work, data and results presentation and conclusions generalization and drawing. For the teaching process based on the cognition process the active approach, motivation and involved active discovering are decisive, the strict elucidation of all encountered problems and strict fulfilment of the study plan are of less importance.
The crucial question in INTe-L is the experiment. The question arises, which form of experiment or their combination, we choose as a starting point of the study a unit of Oscillations and Waves, to arose the interest and curiosity and general interest in the topic or phenomenon in question. As many studies show [17] the choice of modern, more interesting and simple representations are obligatory, as the susceptibility of the students to grasp the phenomena from their mathematical formulation and graphical representation is rather decreasing. The contemporary possibilities in e-laboratories are manifold, providing real physics laboratory with the computer, real remote e- laboratories and virtual e- laboratories.
In our three years experience of the formulating the goals and plan of the INTe-L, we concentrated on the teaching unit Oscillations and Waves [18]. As the previous experience shows, the real physics experiment or demonstration, even with the computer, is, with some stipulations, the most effective, especially in less populated groups. The main disadvantage is very time consuming in the phase of preparation, technical background of the working place and professor skill. The real remote experiment seems to be the best means in all phases of teaching process, both lectures, seminaries, projects, self study and discussions and examinations. It is surprising, how the experiment with suitable chosen parameters and data transfer may be used on "spiral" principle and on different levels of teaching process.
So, in the units Oscillations we started the lecture usually with the motivation experiments of the mathematical pendulum, mass and spring oscillator and electromagnetic oscillator, stressing their unity and discussing the significance of Oscillations in real world phenomena. Then we used the applets of Walter Fendt [19], PhEt [20] or with advantage the CD with Java applets by [21] or the e-textbooks applets [22] and presented the graphical time presentations of the oscillatory movement both not damped, damped and forced and its parameters. To our surprisal we have discovered the virtual e-experiments, both Java and Flash, are the best means for motivation and concept formulation. We have also successfully used the applets for the projects, testing if the physics background of the applet is working, complying with the physics (and thus with real world) laws and finding the potential deviations. The virtual eexperiments served for arousing discussion and questions both from students and teachers, e.g. about the role of gravity, what are the main parameters of each type of oscillations, energy issues and the relation to damping. The last and the most decisive step in the experimental part of the lecture was the remote real e-experiment Forced oscillator [23], where both qualitative and the quantitative measurements with the data transfer are possible. At this stage the students were ready and motivated for the explanation of the observed phenomena and formulation of the dynamic equations of motion and their solutions, with the possibility of their discussion on the basis of the experiment. At the seminaries the detailed examination of all these phenomena continued to greater detail with the solving of the computational examples. The experimental work of the students then continued in several ways measuring the more complex oscillators, examining and studying the remote real experiments and also studying in more details the e-experiments on oscillations in virtual laboratories. The students were then led to produce the written reports of their projects as the outputs of their activities. Some of the students were invited to speak and presented their results during the lessons in the more organized way, some students took part in the faulty competition for the best students scientific activity of the year under supervision of the teachers of the department. The students could deepen their interest in the INTe-L in accompanying subjects PC oriented laboratory work using ISES, simulations and applets from physics and physics phenomena of the real world.
The main conclusions from the tree years trial with the INTe-L are positive. All the three forms of the e-laboratory merged with advantage as a main and decisive block of INTe-L. The students are much more motivated to examine topics in question, with the stimuli for the exploration of real world phenomena. Besides, students acquire new skills both in experimental techniques, but also in ICT and data processing and their presentations.
All these advantages that bring the new forms of e-laboratories are also supplemented by the possibility for the students of the department to study both concurrently and also for self study for examinations independently on any planning and technical means of the department in their hostels, flats and at home. A special benefit brings all the presented to the distant students of the department. It also brings enormous possibility for insemination of knowledge and e-teaching globally and to those, hitherto discredited from the University schooling for different reasons. This topic deserves special attention in future.
It is fair to mention that all these new forms of education, acquiring the form of blended education, call for reformulating the goals and objectives of syllabi, need the deep support of the University authorities in the direction of new syllabi and education organization, including the infrastructure, the teachers preparation and last not by least the Accreditation commissions understanding and approval for these new and pioneering approaches.
6. Acknowledgment
The authors acknowledge the support of the following projects: Grant of the Ministry of Education of the Czech Republic project "E-laboratory of remote interactive physics experiments", 2007 and Grant of the Ministry of Education of the Slovak Republic KEGA, project N 3/4128/06 „E-laboratórium interaktívnych experimentov ako pokračovanie projektu multimediálnej formy výuky fyziky na univerzitách SR" 2006-2008.
Literature
[1] Thomsen C., Jeschke S., Pfeiffer O. and Seiler R. (2005): e-Volution: eLTR - Technologies and Their Impact on Traditional Universities" in Proceedings of the Conference: EDUCA online, ISWE GmBH, Berlin.
[2] McDermot L. and Redish E. (1999): Am. J. Phys. 67, 755
[3] Wieman C. and Perkins K. (2005): Transforming Physics Education, Physics Today 58(2005) Nov. 2005, pp. 26-41.
[4] Feisel L.D. and Rosa A.J.(2005): (2005): The Role of the Laboratory in Undergraduate Engineering Education , J. Eng. Educ. 93 (2005), 121
[5] Schumacher D. (2007): Student undergraduate laboratory and project work, Eur. J. Phys. 28(2007),May 2007 editorial to the special issue: Student undergraduate laboratory and projet work
[6] F. Schauer, I. Kuřitka, F. Lustig, Creative Laboratory Experiments for Basic Physics Using Computer Data Collection and Evaluation Exemplified on the Intelligent School Experimental System (ISES) , in Innovations 2006(USA), World Innovations in Engineering Education and Research, iNEER Special Volume 2006 pp. 305312, ISBN 0-9741252-5-3, 2006.
[7] Cooper M. (2005): Remote laboratories in teaching and learning – issues impinging on widespread adoption in science and engineering education, iJOE Intern., J. Onl. Egin. 1(2005)1,
[8] Schauer F., Ožvoldová M. and Lustig F. Integrated e-Learning, new method of the cognition of real world in teaching physics , to be published in Eur.J.Phys
[9] Lustig, F.: Computer based system ISES : http://www.ises.info, 1990-2007
[10] Lustig, F.: „Interaktivní internetové studio iSES", in sborník ICTE 2001, Rožnov pod Radhoštěm, 27-31
[11] Pácal, L., Lustig, F.: Software ISESWIN32i, Mentar + Učební pomůcky PC-IN/OUT, Praha, 2003-2007
[12] Schauer F., .Ožvoldová M. and Lustig F.: The role of interactive real computer oriented experiments in teaching physics based on ISES , to be published in Eur.J.Phys
[13] Lustig, F., Dvořák, J.: "ISES WEB Control", software kit for simple creation of remote experiments for ISES. Výroba učebních pomůcek PC-IN/OUT, U Druhé Baterie 29, 162 00 Praha 6, 2003.
[14] Lustig F., Schauer F. and Ožvoldová M.: The role of interactive real remote experiments in teaching of Physics to be published in Eur.J.Phys
[15] Fendt, W.: http://www.walter-fendt.de/
[16] PhET, Physics Education Technology: http://phet.colorado.edu/web-pages/index.html
[17] Perkins K., Adams W., Dubson M., Finkelstein N., Reid S., and Wiemand C.: PhET:Interactive Simulations for Teaching and Learning Physics, The Phys. Teacher 44(2006)18
[18] Ožvoldová M: Virtuálna kolaborácia a e-Learning, kap. 3 :.: Vývoj e-learningu vo fyzike smerom k novej generácii - Integrovanému e-learningu, 2006), ed. Kozík, T., a kol., pp. 30- 45, PdF UKF, Nitra 2006, ISBN 808094-053
[19] Fendt, W.: http://www.walter-fendt.de/ph14e/resonance.htm
[20]PhET, Physics Education Technology:
http://phet.colorado.edu/simulations/massspringlab/MassSpringLab2.swf
[21] Christian W. and Belloni M.: Physlet Physics: Interactive Illustrations, Explorations, and Problems for Introductory Physics, Pearson Education , Inc. New Jersey 2004,
[22] Ožvoldová M, a kol.: Multimediálna vysokoškolská učebnica fyziky – 1. časť , CD, PdF TU, Trnava 2007, ISBN 978-80-8082-127-2
[23] Lustig, F., Schauer, F.: http://kdt-17.karlov.mff.cuni.cz, 2006.
Authors
Doc. RNDr. František Lustig, CSc.
Charles University, Faculty of Mathematics and Physics, Department of Didactics of Physics, Prague, Ke Karlovu 3, CZ-121 16 Praha 2, Czech Republic
E-mail: email@example.com
Prof. Ing. František Schauer, DrSc.
Tomáš Bata University in Zlin, Faculty of Technology, Polymer Centre,
Zlin, T.G. Masaryk sq. 275, CZ-762 72, Czech Republic
E-mail: firstname.lastname@example.org
Doc. RNDr. Miroslava Ožvoldová, PhD.
University of Trnava, Faculty of Pedagogy, Department of Physics,
Trnava, Priemyselná 4, SK-918 43, Slovak Republic
E-mail: email@example.com
|
The sideways shuffle
Lamb Kill by Region
Sheep and beef farmers haven't experienced the same degree of discomfort as their dairying counterparts over the last year. Rabobank's December rural confidence survey showed dairy farmers firmly in pessimistic territory while confidence amongst sheep and beef farmers for their own business actually improved a touch in the quarter. That's at least partly because beef and lamb prices have held up better than dairy prices. While dairy prices are over 20% below a 5 year average, lamb prices 8% below and beef prices 20% higher.
However, while the sheep and beef sector might not be as far into the doldrums as the dairy sector, the mood has softened of late as key prices have eased. In this Fortnightly Agri Update we delve into lamb markets, discuss recent trends and think about what the future might hold.
Supply side
New Zealand sheep farmers are already responding to the wellpublicised El Nino weather event which is predicted to lead to particularly dry conditions in the North and East of the country. Farmers have been fattening lambs as quickly as possible and selling stock early. There has also reportedly been weak demand for store lambs – particularly in the South Island where conditions have already dried out noticeably.
But while the timing of lamb slaughter might be earlier this season than usual (an early Easter this year also likely to be a factor) the total lamb crop is expected to be the smallest in almost 60 years according to NZ Beef and Lamb estimates. There are a number of factors driving the decline: fewer breeding ewes (partly due to very dry conditions in some regions last summer) and lower lambing percentages. This in turn is likely to translate to an 8% fall in export lamb slaughter according to Beef and Lamb NZ. While drought conditions aren't expected to persist indefinitely, if they do last well into autumn it could leave stock in poorer condition at mating, and put downward pressure on lambing percentages next season. Conversely, a quick improvement in pasture conditions could see ewes in better breeding condition but some farmers choosing to rebuild flocks, again putting downward pressure on supply.
Of course NZ isn't the only country exporting lamb. Australia also satisfies a big chunk of the world's appetite for lamb meat. There, predictions are for more favourable pasture conditions in the back half of 2015/16 season as El Nino conditions abate, encouraging flock rebuilding. Already there has already been some flock rebuilding going on in New South Wales where conditions have shown a noticeable improvement earlier in the year (and where lamb slaughter is down 9% with an even bigger decline in sheep slaughter numbers). The Australian Department of Agriculture and Water Resources is forecasting the sheep flock to increase by just over 1% to 71.2 million head in the year to June 2016 (this compares to NZ sheep numbers of 28.6m in June 2016). Flowing on from this, lamb exports are expected to fall by 3% in 2015/16.
So in a nutshell, supply conditions in both New Zealand and Australia expected to tighten in 2016, and we expect this to keep a floor under lamb prices. However, supply is only part of the equation. Equally important is the outlook for demand.
Demand
Unfortunately for farmers, this half of the story is not quite so supportive for prices. The primary destinations for NZ lamb exports remain the UK and China. Together, these two markets account for around 38% of lamb exports (20% and 17.5% respectively). However, the characteristics of the two markets are quite different. The UK tends to import higher value cuts (including chilled product), while China's demand is concentrated in cheaper cuts of lamb.
In China, consumer demand is likely to remain subdued. The Chinese economy has slowed sharply this year, and is expected to slow further in 2016 (from an estimated 7% this year to 6.6% next year). And while the household sector hasn't been the primary catalyst for the deteriorating outlook, Chinese households are not immune from the effects of slower growth in other sectors of the economy.
In contrast the outlook for the UK economy is more positive with domestic demand expected to remain firm over the year ahead. However in this market NZ exporters are facing stiff (and vocal) competition from local product. The strength of the Pound against the Euro has dented UK lamb exports to their traditional European markets, leading to local lobby groups to call on British supermarkets to stock British lamb suppliers ahead of imported NZ product. Most recently Tesco has been the target, accused of taking up too much valuable chiller space with NZ lamb. Such lobbying is not a new phenomenon (and of course British consumers would ultimately bear the brunt of any changes), but it does underscore the challenges NZ exporters are likely to face in this market over the coming year.
On balance
So on balance, tight global supplies combined with muted growth in demand are expected to see lamb prices broadly track sideways in 2016 (abstracting from usual seasonal patterns). While that may not be great news for farmers, it means that the grass is likely to continue to look greener than on the dairying side of the fence.
Anne Boniface Senior Economist
GlobalDairyTrade Auction Results, 16 December
| | Change since last auction | Price index USD/Tonne |
|---|---|---|
| Anhydrous Milk Fat (AMF) | 6.1% | $3,721 |
| Butter Milk Power (BMP) | -6.1% | $1,564 |
| Butter | 9.0% | $3,136 |
| Skim Milk Powder (SMP) | 0.2% | $1,891 |
| Whole Milk Powder (WMP) | 1.8% | $2,304 |
| Cheddar | 1.1% | $2,856 |
| GDT Price Index | 1.9% | |
Payout Forecast Table
| 2015/16 | | 2016/17 |
|---|---|---|
| Fonterra | Westpac | Westpac |
Beyond the farm gate
Beef
Forestry
Australia is a key competitor for New Zealand beef exporters. This year, Australian beef export volumes have set new records as Australian producers responded to poor pasture conditions and high prices (cattle slaughter reached a 36 year high in 2014/15). However, going forward Australian cattle slaughter and beef production are expected to decline as pasture conditions improve and herds are rebuilt which should help underpin international beef prices.
Seafood
| | Current price level compared to 10 year average |
|---|---|
| Trend | High |
The Ministry for Primary Industries released their half year update of their Situation and Outlook for Primary Industries forecasts this week. While seafood export volumes are expected to decline on the back of reduced catch limits for some species, they continue to expect solid growth in aquaculture production (and in particular mussels) over the next year. However, muted growth in demand in key export regions could weigh on prices for a time yet.
NB: Trend arrows indicate direction of change in world prices.
Log prices have improved noticeably in recent months, apparently as supplies in China have tightened. But with suppliers likely to respond to improved prices by lifting supply, and the soft Chinese economy (and weaker renminbi) likely to be a headwind to a sustained lift in demand for NZ logs for a while yet, we are sceptical that the recent spike in prices will be maintained.
1997 1999 2001 2003 2005 2007 2009 2011 2013 2015
Dairy
| | Current price level compared to 10 year average | Next 6 months |
|---|---|---|
| Trend | Low | |
Last week Fonterra affirmed its $4.60 farm gate milk price payout forecast for the current season. However, to achieve this, they will need to see a substantial lift in prices in the first half of 2016. On that regard, it's likely that they, like farmers, would have been disappointed by the modest lift in prices at last night's auction. Overall prices were up 1.9% including a 1.8% increase in whole milk powder (WMP) prices. However, the tone of the result was probably weaker than most had anticipated. The futures markets had been touting a 9% plus increase in WMP prices and leading up to the event Fonterra had once again revised down its forecast of product offered.
However, for now buyers don't seem to be too concerned about the expected contraction in NZ milk supply (which Fonterra now estimates will be 6% this season) and global milk supply appears to be more than enough to meet demand. Fonterra reports its milk collections were 3.5% lower in November than the same month last year, and 4.4% behind for the season to date. These comparisons could get even worse as the El Nino weather pattern leads to further deterioration in pasture conditions over summer.
Westpac economics team contact details
Dominick Stephens, Chief Economist +64 9 336 5671
Michael Gordon, Senior Economist +64 9 336 5670
Satish Ranchhod, Senior Economist +64 9 336 5668
Anne Boniface, Senior Economist +64 9 336 5669
David Norman, Industry Economist +64 9 336 5656
Any questions email: firstname.lastname@example.org
Disclaimer
Things you should know: Each time someone visits our site, data is captured so that we can accurately evaluate the quality of our content and make improvements for you. We may at times use technology to capture data about you to help us to better understand you and your needs, including potentially for the purposes of assessing your individual reading habits and interests to allow us to provide suggestions regarding other reading material which may be suitable for you.
If you are located in Australia, this material and access to this website is provided to you solely for your own use and in your own capacity as a wholesale client of Westpac Institutional Bank being a division of Westpac Banking Corporation ABN 33 007 457 141 AFSL 233714 ('Westpac'). If you are located outside of Australia, this material and access to this website is provided to you as outlined below.
This material and this website contain general commentary only and does not constitute investment advice. Certain types of transactions, including those involving futures, options and high yield securities give rise to substantial risk and are not suitable for all investors. We recommend that you seek your own independent legal or financial advice before proceeding with any investment decision. This information has been prepared without taking account of your objectives, financial situation or needs. This material and this website may contain material provided by third parties. While such material is published with the necessary permission none of Westpac or its related entities accepts any responsibility for the accuracy or completeness of any such material. Although we have made every effort to ensure the information is free from error, none of Westpac or its related entities warrants the accuracy, adequacy or completeness of the information, or otherwise endorses it in any way. Except where contrary to law, Westpac and its related entities intend by this notice to exclude liability for the information. The information is subject to change without notice and none of Westpac or its related entities is under any obligation to update the information or correct any inaccuracy which may become apparent at a later date. The information contained in this material and this website does not constitute an offer, a solicitation of an offer, or an inducement to subscribe for, purchase or sell any financial instrument or to enter a legally binding contract. Past performance is not a reliable indicator of future performance. The forecasts given in this material and this website are predictive in character. Whilst every effort has been taken to ensure that the assumptions on which the forecasts are based are reasonable, the forecasts may be affected by incorrect assumptions or by known or unknown risks and uncertainties. The ultimate outcomes may differ substantially from these forecasts.
Transactions involving carbon give rise to substantial risk (including regulatory risk) and are not suitable for all investors. We recommend that you seek your own independent legal or financial advice before proceeding with any investment decision. This information has been prepared without taking account of your objectives, financial situation or needs. Statements setting out a concise description of the characteristics of carbon units, Australian carbon credit units and eligible international emissions units (respectively) are available at www.cleanenergyregulator.gov.au as mentioned in section 202 of the Clean Energy Act 2011, section 162 of the Carbon Credits (Carbon Farming Initiative) Act 2011 and section 61 of the Australian National Registry of Emissions Units Act 2011. You should consider each such statement in deciding whether to acquire, or to continue to hold, any carbon unit, Australian carbon credit unit or eligible international emissions unit.
Additional information if you are located outside of Australia
New Zealand: The current disclosure statement for the New Zealand division of Westpac Banking Corporation ABN 33 007 457 141 or Westpac New Zealand Limited can be obtained at the internet address www.westpac.co.nz. Westpac Institutional Bank products and services are provided by either Westpac Banking Corporation ABN 33 007 457 141 incorporated in Australia (New Zealand division) or Westpac New Zealand Limited. For further information please refer to the Product Disclosure Statement (available from your Relationship Manager) for any product for which a Product Disclosure Statement is required, or applicable customer agreement. Download the Westpac NZ QFE Group Financial Advisers Act 2008 Disclosure Statement at www.westpac.co.nz.
China, Hong Kong, Singapore and India: Westpac Singapore Branch holds a wholesale banking licence and is subject to supervision by the Monetary Authority of Singapore. Westpac Hong Kong Branch holds a banking license and is subject to supervision by the Hong Kong Monetary Authority. Westpac Hong Kong branch also holds a license issued by the Hong Kong Securities and Futures Commission (SFC) for Type 1 and Type 4 regulated activity.
Disclaimer continued
Westpac Shanghai and Beijing Branches hold banking licenses and are subject to supervision by the China Banking Regulatory Commission (CBRC). Westpac Mumbai Branch holds a banking license from Reserve Bank of India (RBI) and subject to regulation and supervision by the RBI.
U.K.: Westpac Banking Corporation is registered in England as a branch (branch number BR000106), and is authorised and regulated by the Australian Prudential Regulatory Authority in Australia. WBC is authorised in the United Kingdom by the Prudential Regulation Authority. WBC is subject to regulation by the Financial Conduct Authority and limited regulation by the Prudential Regulation Authority in the United Kingdom. Details about the extent of our regulation by the Prudential Regulation Authority are available from us on request. Westpac Europe Limited is a company registered in England (number 05660023) and is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. This material and this website and any information contained therein is directed at a) persons who have professional experience in matters relating to investments falling within Article 19(1) of the Financial Services Act 2000 (Financial Promotion) Order 2005 or (b) high net worth entities, and other persons to whom it may otherwise be lawfully communicated, falling within Article 49(1) of the Order (all such persons together being referred to as "relevant persons"). The investments to which this material and this website relates are only available to and any invitation, offer or agreement to subscribe, purchase or otherwise acquire such investments will be engaged in only with, relevant persons. Any person who is not a relevant person should not act or rely upon this material and this website or any of its contents. In the same way, the information contained in this material and this website is intended for "eligible counterparties" and "professional clients" as defined by the rules of the Financial Services Authority and is not intended for "retail clients". With this in mind, Westpac expressly prohibits you from passing on the information in this material and this website to any third party. In particular this material and this website, website content and, in each case, any copies thereof may not be taken, transmitted or distributed, directly or indirectly into any restricted jurisdiction.
U.S.: Westpac operates in the United States of America as a federally licensed branch, regulated by the Office of the Comptroller of the Currency. Westpac is also registered with the US Commodity Futures Trading Commission ("CFTC") as a Swap Dealer, but is neither registered as, or affiliated with, a Futures Commission Merchant registered with the US CFTC. Westpac Capital Markets, LLC ('WCM'), a wholly-owned subsidiary of Westpac, is a broker-dealer registered under the U.S. Securities Exchange Act of 1934 ('the Exchange Act') and member of the Financial Industry Regulatory Authority ('FINRA'). This communication is provided for distribution to U.S. institutional investors in reliance on the exemption from registration provided by Rule 15a-6 under the Exchange Act and is not subject to all of the independence and disclosure standards applicable to debt research reports prepared for retail investors in the United States. WCM is the U.S. distributor of this communication and accepts responsibility for the contents of this communication. If you would like to speak to someone regarding any security mentioned herein, please contact WCM on +1 212 389 1269. All disclaimers set out with respect to Westpac apply equally to WCM.
Investing in any non-U.S. securities or related financial instruments mentioned in this communication may present certain risks. The securities of non-U.S. issuers may not be registered with, or be subject to the regulations of, the SEC in the United States. Information on such non-U.S. securities or related financial instruments may be limited. Non-U.S. companies may not be subject to audit and reporting standards and regulatory requirements comparable to those in effect in the United States. The value of any investment or income from any securities or related derivative instruments denominated in a currency other than U.S. dollars is subject to exchange rate fluctuations that may have a positive or adverse effect on the value of or income from such securities or related derivative instruments.
The author of this communication is employed by Westpac and is not registered or qualified as a research analyst, representative, or associated person under the rules of FINRA, any other U.S. self-regulatory organisation, or the laws, rules or regulations of any State. Unless otherwise specifically stated, the views expressed herein are solely those of the author and may differ from the information, views or analysis expressed by Westpac and/or its affiliates.
For the purposes of Regulation AC only: Each analyst whose name appears in this report certifies that (1) the views expressed in this report accurately reflect the personal views of the analyst about any and all of the subject companies and their securities and (2) no part of the compensation of the analyst was, is, or will be, directly or indirectly related to the specific views or recommendations in this report.
|
New Jersey Law Journal
VOL. 207 - NO 5 MONDAY, JANUARY 30, 2012 ESTABLISHED 1878
Recovering Damages Against Construction Principals and Employees Under the CFA
By Jamie P. Clare prohibited by the CFA.
Enacted in 1960, and amended in 1971, the New Jersey Consumer Fraud Act (CFA), N.J.S.A. 56:8-1 to -20, is an expansive, remedial statute intended to protect consumers from fraud from those engaged in the sale of goods and services. In general, the CFA protects consumers, including those purchasing construction goods and services, who have fallen victim to three separate kinds of unlawful practic es: affirmative misrepresentations, know ing omissions and regulatory violations.
"unlawful practice" (as defined by the CFA); (2) resulting in an ascertainable loss of money or property; and (3) a causal con nection between the unlawful conduct and the loss. N.J.S.A. 56:8-19; Lee v. CarterReed Co., Inc., 203 N.J. 496, 521 (2010).
Under the 1971 amendments, the CFA became one of the strongest consumer pro tection laws in the United States, expanded to provide consumers with a private cause of action, and an award of treble damages, attorney's fees and costs as a result of vio lations of the CFA. N.J.S.A. 56:8-2.11 to -2.12; and 19. To recover under the CFA, a consumer plaintiff must prove: (1) an
Clare is a member in the litiga tion and construction services practice groups at Cole, Schotz, Meisel, Forman & Leonard P.A. in Hackensack.
Historically, New Jersey courts have held that corporate officers and employees are individually liable pursuant to the CFA for their affirmative acts of misrepresenta tion to a consumer. Gennari v. Weichert Co. Realtors, 148 N.J. 582, 608-10 (1997). Further, independent liability for violations of the CFA may be imposed notwithstand ing the fact that individuals acted through a corporation at the time of the viola tions. New Mea Constr. Corp. v. Harper, 203 N.J. Super. 486 (App. Div. 1985); Hyland v. Acquarian Age 2,000, Inc., 148 N.J. Super. 186, 193 (Ch. Div. 1977); and Kugler v. Koscot Interplanetary, Inc., 120 N.J. Super. 216, 251-57 (Ch. Div. 1972). In each of these instances, the individuals were not liable merely because of the act of the corporate entity; rather, courts focused on the acts of the individual employee or corporate officer to determine whether the specific individual had engaged in conduct
In July 2011, in Allen v. V&A Bros., Inc., 208 N.J. 114 (2011), the New Jersey Supreme Court once again examined the interplay between claims brought against corporate and other business entities and individual employees or owners who are also named as defendants. In Allen, the plaintiffs' CFA claims were based on the defendants' regulatory violations in the context of a residential home improvement contract for construction of a retaining wall in combination with installation of a swim ming pool.
Analyzing the language used in the CFA and regulations, and traditional theo ries used by New Jersey courts to impose personal liability in circumstances in which acts are undertaken through, or in conjunc tion with, a corporation, including "veilpiercing" theories and the "tort participa tion" theory, the Allen Court held that an individual who commits an affirmative act or a knowing omission that the CFA has made actionable can be liable individu ally. Further, although the CFA would also impose liability on the individual's corpo rate employer for such an affirmative act,
there was no basis on which to conclude the CFA meant to limit recourse to the corpora tion, and thereby to shield the individual from any liability in doing so.
The Allen Court began its analysis by examining the language used in the CFA and regulations promulgated by the attorney general pursuant to its statutory authority to enforce the CFA. See N.J.S.A. 56:8-4. The CFA uses the term "person," which the statute itself defines as follows: "The term 'person' as used in this act shall include any natural person or his legal represen tative, partnership, corporation, company, trust, business entity or association, and any agent, employee, salesman, partner, officer, director, member, stockholder, associate, trustee or [beneficiary] thereof[.]" N.J.S.A. 56:8-1(d).
The cause of action the statute creates is broadly defined as:
The act, use or employment by any person of any uncon scionable commercial practice, deception, fraud, false pretense, false promise, misrepresentation, or the knowing, concealment, suppression, or omission of any material fact with intent that oth ers rely upon such concealment, suppression or omission, in con nection with the sale or advertise ment of any merchandise or real estate, or with the subsequent performance of such person as aforesaid, whether or not any per son has in fact been misled, de ceived or damaged thereby, is de clared to be an unlawful practice. N.J.S.A. 56:8-2.
Additionally, three separate regulations formed the basis for the plaintiffs' regula tory CFA claims against the corporate and individual defendants: (1) the defendants failed to provide a written contract; (2) the defendants substituted a 50 percent taller retaining wall and inferior fill materials without the homeowners' permission; and (3) the defendants submitted a final invoice to the plaintiffs before the issuance of a final inspection certificate by local authorities. N.J.A.C 13:45A-16.2(a)(12), -16.2(a)(10) (ii) and -16.2(a)(3)(iv). The Court found that the defendants' failure to follow these "Home Improvement Practices" regulations were, by definition, unlawful and therefore constituted violations of the CFA.
The more complicated issue presented to the Court in Allen was whether indi vidual corporate officers and employees were liable for the regulatory violations, in particular, because a corporation is held strictly liable under the CFA for such vio lations. Each of the regulations imposed liability on a "seller." The Court noted that, like the definition of "person" in the CFA, the term "seller" is broadly defined in the home improvement regulations to "a per son engaged in the business of making or selling home improvements, and includes corporations, partnerships, associations and any other form of business organization or entity, and their officers, representatives, agents and employees."
In the end, the Allen Court rejected a definitive legal conclusion on the issue, holding that "individual liability for regula tory violations ultimately must rest on the language of the particular regulation in issue and the nature of the actions undertaken by the individual defendant." The Court differ entiated between employees of a corporation who have no control over the practices that violate regulations and the principals of a corporation who "may be broadly liable, for they are the ones who set the policies that the employees may be merely carrying out."
Of particular importance to individual defendants in these types of matters, the Allen Court opined that "these necessar ily fact-sensitive determinations often will not lend themselves to adjudication on a record presented in the form of a summary judgment motion," and that, "a trial court may need to await presentation of all of plaintiff's proofs [i.e., following the conclu sion of the plaintiff's case at trial] about the potential individual liability of corporate officers or employees before there is an adequate record to support a decision."
The Allen Court also considered the liability of corporate principals and officers as discussed in Saltiel v. GSI Consultants, Inc., 170 N.J. 297 (2002), a case pertaining to common-law causes of action for breach of contract and negligence. It concluded that individual liability under the CFA is consistent with individual liability under tort law, which has recognized a "participa tion theory" in holding individuals liable for tort when acting on behalf of a corpo ration. Thus, under the Allen decision, an individual may be held personally liable if he or she participated and had sufficient involvement in the commission of a tort or a CFA violation.
The Allen opinion also cited in support of its holding Reliance Ins. Co. v. The Lott Group, Inc., 370 N.J. Super. 563, 580-82 (App. Div.), certif. denied, 182 N.J. 149 (2004), which applied the tort participation theory to impose individual liability under the Construction Trust Fund Act, N.J.S.A. 2A:44-148, for the defendant's knowing diversion of trust funds to his own account. The Reliance opinion is instructive not only for its application of the Saltiel holding, but for its survey of New Jersey precedent, holding individual defendants personally liable even in the absence of allegations of personal benefit.
Following Allen, the Appellate Division in an unreported decision in Kort v. Van Answegen, 2011 WL 5137833 (App. Div. Nov. 1, 2011), declined to impose personal liability for regulatory violations of the CFA on the owners of a limited liability company that breached a home improvement contract. The Appellate Division held that while one of the owners of the defendant company participated directly in regulatory violations of the CFA, the evidence presented did not establish the required causal nexus between the violations and the plaintiffs' losses. Accordingly, the court declined to award judgment against the individual owners and to treble it, as permitted by the CFA.
The Appellate Division did rule, how ever, that the plaintiffs' failure to prove an ascertainable loss caused by violations of the CFA was not a bar to their recovery of attorney's fees and costs against both the individual owner and the company.
In addition, because the defendants had defaulted, the plaintiff had been unable to obtain evidence against the individual defendants to establish an alternative theo ry of personal liability, such as piercing the corporate veil. Under the circumstances, the Appellate Division held that the trial court should have dismissed the plaintiffs' claims against the individual defendants without prejudice so as to permit the plain tiffs to move under N.J.R. 4:50-1(b) to modify their judgment to expand its reach to the individual defendants if the plaintiffs discovered new evidence in supplementary proceedings that could not have been dis covered earlier. ■
|
Report of Independent Auditors and Financial Statements
Idaho First Bank
December 31, 2013 and 2012
CONTENTS
REPORT OF INDEPENDENT AUDITORS
Board of Directors and Stockholders Idaho First Bank
We have audited the accompanying financial statements of Idaho First Bank, which comprise the statements of financial condition as of December 31, 2013 and 2012, and the related statements of income, comprehensive income, changes in stockholders' equity, and cash flows for the years then ended, and the related notes to the financial statements.
Management's Responsibility for the Financial Statements
Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error.
Auditor's Responsibility
Our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audits 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 auditor's 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. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements.
REPORT OF INDEPENDENT AUDITORS (continued)
We believe that the audit evidence obtained is sufficient and appropriate to provide a basis for our audit opinion.
Opinion
In our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Idaho First Bank as of December 31, 2013 and 2012, and the results of its operations and its cash flows for the years then ended in accordance with accounting principles generally accepted in the United States of America.
Spokane, Washington March 6, 2014
ASSETS
IDAHO FIRST BANK STATEMENTS OF INCOME
IDAHO FIRST BANK STATEMENTS OF COMPREHENSIVE INCOME
IDAHO FIRST BANK STATEMENTS OF CHANGES IN STOCKHOLDERS' EQUITY
Accumulated
IDAHO FIRST BANK STATEMENTS OF CASH FLOWS
NOTES TO FINANCIAL STATEMENTS
Note 1 – Summary of Significant Accounting Policies
Bank organization – Idaho First Bank (Bank) provides a full range of banking services to its commercial and consumer customers through its office serving McCall, Idaho, and contiguous areas and a branch and mortgage office in Boise, Idaho.
The Bank was organized March 2, 2005. Banking operations commenced on October 3, 2005, with the opening of the branch located in McCall, Idaho. A branch was opened in Boise, Idaho, on January 13, 2014.
Basis of financial statement presentation – The financial statements have been prepared in accordance with accounting principles generally accepted in the United States of America. In preparing the financial statements, management is required to make estimates and assumptions that affect the reported amounts of certain assets and liabilities as of the date of the statement of financial condition and certain revenues and expenses for the period. Actual results could differ, either positively or negatively, from those estimates.
Material estimates that are particularly susceptible to significant change in the near‐term relate to the determination of the allowance for loan losses, valuation of other real estate owned, and deferred income taxes. In connection with the determination of the allowance for loan losses, management obtains independent appraisals for significant loans and other real estate owned.
Management believes the allowance for loan losses is adequate. While management uses currently available information to recognize losses on loans, future additions to the allowance may be necessary based on changes in economic conditions. In addition, various regulatory agencies, as an integral part of their examination process, periodically review the Bank's allowance for loan losses. Such agencies may require the Bank to recognize additions to the allowance based on their judgments of information available to them at the time of their examination.
Cash and due from banks – For the purposes of reporting cash flows, cash and cash equivalents include cash on hand and demand accounts due from banks, both interest‐bearing and noninterest‐bearing.
Securities available for sale – Securities available for sale are recorded at fair value. Unrealized holding gains and losses on securities available for sale are reported as a net amount in other comprehensive income (loss). Premiums and discounts are recognized in interest income using the interest method over the period to maturity. The Bank uses the specific identification method to determine the cost of securities sold.
Note 1 – Summary of Significant Accounting Policies (continued)
Securities available for sale (continued) – The Bank periodically evaluates each of its investments in debt and equity securities with a decline in fair value below the amortized cost of the investment to determine whether or not the decline is deemed to be other‐than‐temporary. If it is determined the impairment is other‐than‐temporary for equity securities, the impairment loss is recognized in earnings equal to the difference between the investment's cost and its fair value. If it is determined the impairment is other‐than‐temporary for debt securities, the Bank will recognize the credit component of an other‐than‐temporary impairment in earnings and the noncredit component in other comprehensive income when the Bank does not intend to sell the security and it is more likely than not the Bank will not be required to sell the security prior to recovery. In evaluating investments with declines in value, the Bank considers the length of the time and the extent to which the fair value has been less than cost, the financial condition and near‐term prospects of the issuer, and the Bank's intent or plans to sell with regard to the investment.
Equity securities – The Bank is a member of the Federal Home Loan Bank (FHLB) system. Members are required to own a certain amount of stock based on the level of borrowings and other factors. The Bank owns equity securities of the Federal Home Loan Bank of Seattle. These securities are carried at cost. There is no determinable fair value for these equity securities as all purchases and redemptions occur at the $100 par value of the stock. The equity securities were not considered to be impaired at December 31, 2013 or 2012.
Loans receivable and allowances for loan losses – The Bank grants mortgage, commercial, and consumer loans to customers. A substantial portion of the loan portfolio is represented by loans in McCall, Boise and surrounding areas. The ability of the Bank's debtors to honor their contracts is dependent upon the real estate and general economic conditions in these areas.
Loans that management has the intent and ability to hold for the foreseeable future or until maturity or pay off are reported at their outstanding principal adjusted for any charge offs, the allowance for loan losses, and any deferred fees or costs on originated loans. Interest on loans is calculated by using the simple interest method on daily balances of the principal amount outstanding. Loan origination fees, net of certain direct origination costs, are deferred and recognized as an adjustment of the related loan yield using the interest method.
NOTES TO FINANCIAL STATEMENTS
Note 1 – Summary of Significant Accounting Policies (continued)
Loans receivable and allowances for loan losses (continued) – A loan is considered impaired when, based on current information and events, it is probable the Bank will be unable to collect the scheduled payments, principal, or interest when due according to the contractual terms of the loan agreement. Factors considered by management in determining impairment include payment status, collateral value, and the probability of collecting scheduled principal and interest payments when due. Loans that experience insignificant payment delays and payment shortfalls generally are not classified as impaired. Management determines the significance of payment delays and payment shortfalls on a case‐by‐case basis, taking into consideration all of the circumstances surrounding the loan and the borrower, including the length of the delay, the reasons for the delay, the borrower's prior payment record, and the amount of the shortfall in relation to the principal and interest owed. Impairment is measured on a loan‐by‐loan basis for commercial and construction loans by either the present value of expected future cash flows discounted at the loan's effective interest rate, the loan's obtainable market price, or the fair value of the collateral if the loan is collateral dependent.
Large groups of smaller‐balance homogeneous loans are collectively evaluated for impairment. Accordingly, the Bank does not separately identify individual consumer and residential loans for impairment disclosures.
The accrual of interest on impaired loans is discontinued when, in management's opinion, the borrower may be unable to meet payments as they become due or the loan has been in default for a period of 90 days or more. Loans that are in default over 90 days may continue to accrue interest if the loan is well collateralized and in the process of collection. Interest may be recognized, as received in cash, if the ultimate collection of principal is not in doubt. If there is doubt as to the collectability of both interest and principal, all payments are applied against the principal balance. A loan may be returned to full accrual status when the borrower is current on all payments and they have the ability to pay principal and interest as agreed.
An allowance for probable losses on loans is maintained at a level deemed by management to be adequate to provide for probable loan losses through charges to earnings. The allowance is based upon a continuing review of loans, which includes consideration of actual net loan loss experience, changes in the size and character of the loan portfolio, identification of individual problem situations that may affect the borrower's ability to repay, and evaluation of current economic conditions. Loan losses are recognized through charges to the allowance.
Mortgage loans held for sale – The Bank originates mortgage loans for sale to investors in the secondary market. Loans held for sale are carried at the lower of cost or fair value as determined by outstanding commitments from investors. Gains and losses resulting from the sale of loans are determined on the specific‐identification method and reflect the extent that sale proceeds, based on the contractual commitment entered into by the Bank and the investor, exceed or are less than the Bank's investment in the loans.
Note 1 – Summary of Significant Accounting Policies (continued)
Premises and equipment – Premises and equipment are stated at cost less accumulated depreciation over estimated useful lives, which range from 3 to 35 years. Leasehold improvements are amortized over the terms of the related lease or the estimated useful lives of the improvements, whichever is shorter. Depreciation and amortization expense is computed using the straight‐line method for financial statement purposes. Accelerated depreciation methods are used for income tax purposes. Normal costs of maintenance and repairs are charged to expense as incurred.
Bank‐owned life insurance – The Bank purchased a life insurance policy on its chief executive officer. The Bank‐owned life insurance is recorded, at the balance sheet date, at the amount that can be realized under the insurance contract, which is the cash surrender value.
Other real estate owned – Other real estate owned includes real estate acquired through foreclosure or deed taken in lieu of foreclosure. Property is recorded at the lower of recorded investment or fair value less estimated costs to sell. Any required write‐down from the recorded investment to fair value, at the time of foreclosure, is charged to the allowance for loan losses. Subsequent write‐downs and gains or losses recognized upon sale of the property are included in noninterest income or expense. The Bank has a valuation allowance for possible losses on disposition of other real estate owned, which is allocated on a specific property by property basis. The valuation allowance for possible losses on other real estate owned was $105,000 at December 31, 2013, and $30,000 at December 31, 2012.
Long‐lived assets – The Bank evaluates the carrying value of long‐lived assets based on current and anticipated discounted cash flows and recognizes impairment when such cash flows will be less than the carrying value of the asset. There was no impairment during the years ended December 31, 2013 or 2012.
Advertising – Advertising and promotion costs are charged to noninterest expense when incurred. Advertising and promotion expense for the years ended December 31, 2013 and 2012, was $85,055 and $77,200, respectively.
Income taxes – Deferred income taxes are reported for temporary differences between items of income or expense reported in the financial statements and those reported for income tax purposes. Deferred taxes are computed using the asset and liability method. Under this method, a deferred tax asset or liability is determined based on management's estimate of the enacted tax rates that will be in effect when the differences between the financial statement carrying amounts and tax basis of existing assets and liabilities are expected to be reported in the Bank's income tax returns. The deferred tax provision for the year is equal to the net change in the net deferred tax asset from the beginning to the end of the year, less amounts applicable to the change in value related to investments available for sale. The effect on deferred taxes of a change in tax rates is recognized in income in the period that includes the enactment date.
NOTES TO FINANCIAL STATEMENTS
Note 1 – Summary of Significant Accounting Policies (continued)
Income taxes (continued) – In assessing the realizability of deferred tax assets, management considers whether it is more likely than not that some portion of the deferred tax assets will not be realized. Management considers among other things, the scheduled reversal of deferred tax liabilities, projected future taxable income, tax planning strategies, and positions taken by taxing authorities on the various issues related to the deductibility of certain costs in making this assessment. A valuation allowance has been recorded against a portion of the Company's net operating loss carry forwards to reflect management's estimate of the realizable amount of its deferred tax assets at December 31, 2013.
The Bank recognizes and measures uncertain tax positions using a "more‐likely‐than‐not" approach. The Bank's approach consisted of an examination of its financial statements, its income tax provision, and its federal and state income tax returns. The Bank analyzed its tax positions including the permanent and temporary differences as well as the major components of income and expense. As of December 31, 2013, the Bank did not believe that it had any uncertain tax positions that would rise to the level of having a material effect on its financial statements. In addition, the Bank had no accrued interest or penalties as of December 31, 2013. It is the Bank's policy to record interest and penalties as a component of income tax expense.
Off‐balance sheet financial instruments – In the ordinary course of business, the Bank originates off‐ balance sheet financial instruments consisting of commitments to extend credit, performance standby letters of credit, and home equity lines of credit. Such financial instruments are recorded in the financial statements when they are funded. These instruments involve, to varying degrees, elements of credit risk in excess of the amounts recognized in the statements of financial condition. An allowance for potential credit exposure on off‐balance sheet financial instruments is reflected in other liabilities. Provisions to increase that allowance are reflected in noninterest expense.
Equity compensation – The cost resulting from all share‐based payment transactions are recognized in the financial statements of the Bank. Compensation expense is recorded on a straight‐line attribution basis over the vesting period of the options. The compensation expense of options is calculated using the Black‐Scholes option pricing model at the date of the grant.
Net income per share – Net income per share is calculated by taking the net income for the year divided by the average number of shares of common stock outstanding during the year. Diluted earnings per share were not calculated for 2013 or 2012 as the exercise prices of outstanding stock warrants and options were greater than, or equal to, the market value of the Bank's common stock.
Reclassifications – Certain reclassifications have been made in the December 31, 2012, financial statements in order to conform with the December 31, 2013, presentation with no effect on previously reported net income or stockholders' equity.
Note 1 – Summary of Significant Accounting Policies (continued)
Subsequent events review – Subsequent events are events or transactions that occur after the date of the balance sheet but before the financial statements are issued. The Bank recognizes in the financial statements the effects of all subsequent events that provide additional evidence about conditions that existed at the date of the statement of financial condition, including the estimates inherent in the process of preparing of the financial statements. The Bank's financial statements do not recognize subsequent events that provide evidence about conditions that did not exist at the date of the statement of financial condition but arose after the date of the statement of financial condition and before the financial statements are available to be issued.
The Bank has evaluated subsequent events through March 6, 2014, which is the date the financial statements are available to be issued. See Note 16 for further discussion of subsequent events.
Note 2 – Securities Available for Sale
Securities have been classified in the statements of financial condition according to management's intent and ability. All investment securities were classified as available for sale at December 31, 2013. As of December 31, 2013, securities available for sale, with an estimated market value of $1,928,851 were pledged as collateral for $754,510 of uninsured public deposits. The carrying amounts of securities available for sale and their approximate fair values were as follows:
December 31, 2013
IDAHO FIRST BANK NOTES TO FINANCIAL STATEMENTS
Note 2 – Securities Available for Sale (continued)
As of December 31, 2013, there were two securities with unrealized losses. The securities had an amortized cost of $2,198,279 and estimated market value of $2,066,957. One of these securities, with a coupon of 2.25% and a maturity date of December 21, 2022, has been in an unrealized loss position for 12 consecutive months. The other security has not been in an unrealized loss position for 12 consecutive months. There were no securities with unrealized losses at December 31, 2012. Management evaluates securities for other‐than‐temporary impairment on an annual basis, and more frequently when economic or market concerns warrant such evaluation. Consideration is given to (1) the length of time and the extent to which the fair value has been less than cost, (2) the financial condition and near‐term prospects of the issuer, and (3) the intent and ability of the Bank to retain its investment in the issuer for a period of time sufficient to allow for any anticipated recovery in fair value.
These unrealized losses primarily relate to fluctuations in the current interest rate environment. In analyzing an issuer's financial condition, management considers whether the securities are issued by the federal government or its agencies, whether downgrades by bond rating agencies have occurred, and industry analysts' reports. As management has the ability and intent to hold debt securities for the foreseeable future, no declines are deemed other‐than‐temporary.
There were no sales of securities in 2013 or 2012.
Maturities of securities available for sale at December 31, 2013, are summarized below. Actual maturities may differ from contractual maturities due to call provisions.
Note 3 – Loans Receivable and Allowance for Loan Losses
Major classifications of loans at December 31 were as follows:
Deferred fees and costs were a net credit of $226,509 at December 31, 2013, and a net credit of $139,225 at December 31, 2012.
The interest rates on loans at December 31 fall into the following fixed and variable components:
The Bank completes a quarterly analysis of the adequacy of allowance for loan losses. This quarterly analysis is reviewed and approved by the Board of Directors each quarter. The allowance for loans losses is calculated using two separate and distinct methodologies as follows:
Impaired loans ‐ Impaired loans are comprised of troubled debt restructurings and nonaccrual loans. The Bank reviews each impaired loan, on a loan‐by‐loan basis. A loan may have a specific reserve within the allowance for loan losses if there is a deficiency in expected cash flows or collateral values.
Note 3 – Loans Receivable and Allowance for Loan Losses (continued)
Unimpaired loans ‐ Each segment of the loan portfolio (excluding impaired loans) is evaluated separately as a pool and an appropriate loss factor for each segment is calculated. The historical loss factors experienced by the Bank over a 30‐month period are used as a foundation for estimating potential losses. Historical loss factors are adjusted using management's judgment for the impact of internal measures, such as delinquent loans, classified loans, and impaired loans. The experience of lending staff and changes in internal underwriting policies are also considered. The impact of both national and local economic conditions is evaluated. Also, the impact of loan volumes, trends, and concentrations is considered. The allowance for each portfolio segment of unimpaired loans is determined separately using the historical loss rates for that segment and adjusting for each of the above mentioned factors.
Loans are charged off when they are considered uncollectible and of such little value that their continued classification as bankable assets is not warranted. For impaired loans, where no source of repayment other than the liquidation of collateral is expected, a charge‐off is made when the loan balance exceeds the appraised collateral value, less selling costs.
An analysis of the changes in the allowance for loan losses for the years ended December 31, 2013 and 2012, measured segment by segment, is included in the following tables. The following tables also show the amount of the allowance for loan losses and the amount of loans receivable segregated by impaired loans and unimpaired loans as of December 31, 2013 and 2012.
Note 3 – Loans Receivable and Allowance for Loan Losses (continued)
Construction
The Bank had two residential real estate loans totaling $1,082,573 that were 30‐59 days past due as of December 31, 2013. There were no loans that were past due 60 or more days as of December 31, 2013. The Bank had no loans that were past‐due more than 30 days and still accruing interest at December 31, 2012.
The Bank has an internal system of grading loans according to the risk inherent in each loan.
Pass – Loans of average or above average quality with no unusual risk.
Special Mention – Loans that require more than the usual amount of management attention. Adverse industry conditions, deteriorating financial conditions, declining trends, management problems, or other similar weaknesses may be evident. Ability to meet current payment schedules may be questionable, even though interest and principal are still being paid as agreed.
Substandard – Loans possessing weaknesses that jeopardize the ultimate collection of principal and interest. The weaknesses require close supervision by Bank management. Loss may not be evident; however, the loan is inadequately protected by current financials or pledged collateral.
Doubtful – Loans with one or more weaknesses, which, on the basis of currently existing facts, conditions, and values, make ultimate collection of all principal highly questionable.
IDAHO FIRST BANK NOTES TO FINANCIAL STATEMENTS
Note 3 – Loans Receivable and Allowance for Loan Losses (continued)
The following table shows loans as of December 31, 2013 and 2012, by type of loan and by internal loan grades:
The following tables show information on impaired loans by loan segment. The "recorded impaired loan balance" is net of any charge‐off amount. The "unpaid principal balance" is total principal balance including amounts the Bank determined to be a loss and charged‐off. The "specific reserve in allowance" is the amount of impairment that has been specifically reserved for the in the allowance for loan losses.
Note 3 – Loans Receivable and Allowance for Loan Losses (continued)
The tables show amounts as of December 31, 2013 and 2012.
Note 3 – Loans Receivable and Allowance for Loan Losses (continued)
The Bank allocated specific reserves of $41,662 and $319,164 as of December 31, 2013 and 2012, respectively, to customers whose loan terms were modified in previous troubled debt restructurings. The Bank has not committed to lend additional amounts as of December 31, 2013 and 2012, to customers with outstanding loans that are classified as troubled debt restructurings.
There were no newly restructured loans in 2013. In 2012, the Bank restructured loans as a response to the weakened financial condition of certain borrowers. These borrowers were given concessions, by the Bank agreeing to below‐market rates or changes in the timing of payments. There were no restructurings that made concessions of principal owed to the Bank. The following table shows the number and amount of loans restructured with the average rate concession, if any, granted for the year ended December 31, 2012:
2012
In 2013, there were no loans that defaulted on the timely payment of principal and interest within 12 months of being restructured. In 2012, there was one commercial real estate loan of $374,546 that defaulted on the timely payment of principal and interest within 12 months of being restructured. Payment default is defined as 90 days or more past due.
A summary of the annual average balance of impaired loans along with the interest income recognized on impaired loans for the years ended December 31 follows:
Note 3 – Loans Receivable and Allowance for Loan Losses (continued)
Loans on nonaccrual status, by loan class, at December 31 are as follows:
Note 4 – Premises and Equipment
Major classifications of premises and equipment at December 31 are summarized as follows:
Depreciation and amortization expense for the years ended December 31, 2013 and 2012, was $145,696 and $82,180, respectively.
NOTES TO FINANCIAL STATEMENTS
Note 5 – Deposits
The following table shows weighted average rates and scheduled maturities for time deposits at December 31, 2013:
The Bank had $3,696,949 of time deposits of $250,000 and more as of December 31, 2013. Of this amount, there was one time deposit of $250,000, and $3,446,949 was in time deposits exceeding $250,000.
Note 6 – Borrowings
The Bank had a $1,500,000 line of credit with Pacific Coast Bankers' Bank and a $1,500,000 line of credit with Zions Bank at December 31, 2013. Both lines are unsecured. There was no balance outstanding on the lines as of December 31, 2013 or 2012.
The Bank has a credit arrangement with the Federal Home Loan Bank of Seattle, under which the Bank can borrow up to 15% of its assets. Borrowings must be collateralized with loans or securities. At December 31, 2013, loans with a principal balance of $24.2 million were pledged as collateral. At December 31, 2013, the Bank had $1,000,000 of borrowings from the Federal Home Loan Bank. Borrowings from the Federal Home Loan Bank have penalties for early payment. The advance of $1,000,000, from the Federal Home Loan Bank has a fixed rate of 3.42% and matures on July 2, 2014.
Note 7 – Commitments and Contingencies
Lease commitments and contracts – The Bank has entered into various leases for property and equipment. Total rental expense for premises and equipment operating leases amounted to $175,392 and $332,400 in 2013 and 2012, respectively. The future minimum annual rental payments under operating leases at December 31, 2013, are summarized as follows:
Years ending December 31,
2014
2015
92,004
$
38,335
$ 130,339
Commitments to extend credit – In the normal course of business, the Bank makes various commitments and incurs certain contingent liabilities that are not presented in the accompanying financial statements. The commitments and contingent liabilities include various guarantees and commitments to extend credit. Commitments to extend credit are agreements to lend to a customer as long as there is no violation of any condition established in the commitment letter. Commitments generally have fixed expiration dates or other termination clauses and may require payment of a fee. Since many of the commitments are expected to expire without being drawn upon, the total commitment amounts do not necessarily represent future cash requirements. The Bank evaluates each customer's creditworthiness on a case‐by‐case basis. The amount of collateral obtained, if it is deemed necessary by the Bank upon extension of credit, is based on management's credit evaluation of the customer. Collateral held varies but may include securities, accounts receivable, inventory, fixed assets, or real estate properties. The distribution of commitments to extend credit approximates the distribution of loans outstanding.
At December 31, 2013 and 2012, the Bank had $10,200,658 and $10,080,954, respectively, in commitments to extend credit. The Bank also had $30,000 and $95,691, respectively, of standby letters of credit.
The Bank does not anticipate material losses as a result of these commitments. The Bank maintained an allowance for off‐balance sheet credit exposure of $30,000 at December 31, 2013, and $20,000 at December 31, 2012.
Note 8 – Dividend Restriction
Banking regulations limit the amount of dividends that may be paid. No dividends can be paid until all initial losses have been recaptured, an appropriate allowance for loan losses has been established, overall capital is adequate, and an adequate amount of additional paid‐in capital of the Bank exists. The Bank has no intention of paying cash dividends in the foreseeable future.
IDAHO FIRST BANK NOTES TO FINANCIAL STATEMENTS
Note 9 – Income Taxes
The components of income tax expense (benefit) consist of the following:
The component of the net deferred income tax assets and liabilities in the statements of financial condition are as follows:
Note 9 – Income Taxes (continued)
The tax benefit related to operating loss carryforwards expected to be realized during 2014 and 2015 has been estimated to be $752,000. Accordingly, the valuation reduction of $921,137 in 2013 includes $752,000 for this estimated benefit. The realization of the remaining net deferred tax assets is uncertain and as such a valuation allowance of $2,920,145 has been recognized as of December 31, 2013. The net deferred income tax asset above of $796,362 at December 31, 2013, was recorded as an asset. The net deferred tax liability above of $10,721 at December 31, 2012, was recorded in other liabilities.
The income tax benefit recorded differs from the expected income tax benefit and the reconciliation of these differences is as follows:
Operating loss carryforwards as of December 31, 2013, for tax purposes were as follows:
At a federal tax rate of 34% and an Idaho State tax rate of 7.6%, the above operating loss carryforwards represent a deferred tax asset of $3,486,181 as of December 31, 2013. It is estimated that $752,000 of this tax benefit might be realized in 2014 and 2015. The amount and timing of the realization of these tax benefits beyond 2016 is uncertain. Therefore, a valuation allowance has been established against that portion of the deferred tax asset.
NOTES TO FINANCIAL STATEMENTS
Note 9 – Income Taxes (continued)
State tax credit carryforwards as of December 31, 2013, for tax purposes were as follows:
The Bank had no unrecognized tax benefits at December 31, 2013 or 2012.
The Bank recognizes interest accrued and penalties related to unrecognized tax benefits in tax expense. During the years ended December 31, 2013 and 2012, the Bank recognized no interest and penalties.
The Bank files a United States federal income tax return and an Idaho state income tax return. With few exceptions, the Bank is no longer subject to U. S. federal or state/local income tax examinations by tax authorities for years before December 31, 2010.
Note 10 – Employee Retirement Benefits
The Bank has a deferred compensation plan known as the Idaho First Bank 401(k) Employee Stock Ownership Plan (ESOP). Employees are eligible to participate in the ESOP after attaining age 21. Participants may make elective contributions to the ESOP.
Annual contributions to the ESOP by the Bank are flexible and subject to annual approval by the Board of Directors. Contributions were equal to 3.5% of the eligible compensation of eligible employees in 2013 and 3% in 2012. For Bank contribution purposes, compensation after one year of service is eligible. The compensation expense relating to employer contributions for the years ended December 31, 2013 and 2012, was $74,376 and $44,558, respectively.
Note 10 – Employee Retirement Benefits (continued)
For 2014, the Bank has approved a matching contribution of 50% of the first 4% of employee contribution. In effect, this will limit the matching contribution to no more than 2% of eligible compensation. At the discretion of the Board of Directors an additional profit sharing contribution may be made depending upon the Bank's financial performance.
The Bank is required by regulation to provide a repurchase option to participants holding the Bank's stock, as the stock is not widely traded. The Bank is required to repurchase stock at market value. At December 31, 2013, there were no shares subject to this repurchase requirement.
Note 11 – Related Party Transactions
In the normal course of business, the Bank accepts deposits and makes loans to its executive officers, directors, principal shareholders, and companies affiliated with these individuals. There were approximately $1,162,000 and $1,202,000 of deposits from related parties at December 31, 2013 and 2012, respectively.
It is management's opinion that loans to the Bank's officers, directors, and principal shareholders are on substantially the same terms, including interest rates and collateral, as those prevailing at the time for comparable transactions with unrelated persons and do not involve more than normal risk of collectability. The activity for these loans is as follows:
Note 12 – Stock Options
The Bank has granted both incentive stock options and nonqualified stock options under various plans and agreements. There was no equity compensation expense, associated with stock options in 2013, and there was $1,454 during the year ended December 31, 2012. The accounting offset to equity compensation expense was an increase to common stock for the same amount.
NOTES TO FINANCIAL STATEMENTS
Note 12 – Stock Options (continued)
The vesting of stock options ranges from immediate vesting to five year vesting. As of December 31, 2013, there were 14,483 incentive stock options available for grant under the Incentive Stock Option Plan of 2005 and 14,499 nonqualified options available for grant under the Director Non‐Qualified Stock Option Plan of 2005. All outstanding options have an original term of 10 years.
A summary of activity for stock options for the years ended December 31 is presented below:
*Exercise price exceeds market value; therefore, aggregate intrinsic value is zero.
As of December 31, 2013, there was no unrecognized compensation cost for nonvested stock options.
Note 13 – Concentrations of Credit Risk
Most of the Bank's loans, commitments, and standby letters of credit have been granted to customers in the Bank's market area, which is the state of Idaho. As such, significant changes in economic conditions in Idaho or with its primary industries could adversely affect the Bank's ability to collect loans. Substantially all such customers are depositors of the Bank. The concentrations of credit by type of loan are set forth in Note 3. The distribution of commitments to extend credit approximates the distribution of loans outstanding. Under banking regulations, the Bank is not allowed to extend credit to any single borrower or group of related borrowers in excess of $2,144,000 at December 31, 2013.
The Bank places its cash with high credit quality institutions. The Bank is at risk for uninsured deposits, the amount in excess of $250,000. The Bank regularly reviews the financial condition of other financial institutions at which it has uninsured deposits.
Note 14 – Stockholders' Equity and Regulatory Matters
The Bank has issued stock warrants in connection with two stock offerings. There are 13,418,475 shares of warrants outstanding that entitle warrant holders to purchase common stock at 42 cents per share at any time prior to the expiration of those warrants on December 27, 2017.
The Bank is subject to various regulatory capital requirements administered by state and federal banking agencies. If the Bank does not meet minimum capital standards, regulators can take actions that they deem necessary to return the Bank to a safe and sound condition. Under capital adequacy guidelines and the regulatory framework for prompt corrective action, the Bank must meet specific capital guidelines that involve quantitative measures of the Bank's assets, liabilities, and certain off‐ balance‐sheet items as calculated under regulatory accounting practices. The Bank's capital amounts and classifications are also subject to qualitative judgments by the regulators about components, risk weightings, and other factors.
Quantitative measures established by regulation to ensure capital adequacy require the Bank to maintain minimum amounts and ratios of total and Tier I capital (as defined in the regulations) to risk‐ weighted assets (as defined), and of Tier I capital (as defined) to total assets (as defined). As of December 31, 2013, the Bank was considered "well‐capitalized".
Note 14 – Stockholders' Equity and Regulatory Matters (continued)
The Bank's actual regulatory capital amounts and ratios are presented in the table below:
Note 15 – Fair Value Measurement
Under accounting principles generally accepted in the United States of America, most assets and liabilities of the Bank are measured at historical cost. However, the Bank is required to use alternative value measurements for some assets and liabilities, such as securities available for sale, real estate loans held for sale, impaired loans and other real estate owned.
Accounting standards contain a framework of determining fair values as follows:
Level 1 Quoted prices in active markets for identical instruments.
Level 2 Quoted prices in active markets for similar instruments; quoted prices for identical or similar instruments in markets that are not active; and model‐derived valuations based on observable market data such as interest rates or yield curves.
Level 3 Valuations determined by unobservable data based upon subjective judgments or appraisals.
Note 15 – Fair Value Measurement (continued)
At December 31, 2013, the Bank had $2,947,669 of U.S. government agency securities and $2,005,810 of mortgage‐backed securities measured on a recurring basis, using Level 2 measurements. At December 31, 2012, the Bank had $3,053,938 of U.S. government agency securities and $1,392,309 of mortgage‐backed securities measured on a recurring basis, using Level 2 measurements. These securities are included under Level 2 because there may or may not be daily trades in each of the individual securities or because the valuation of these securities may be based on instruments that are not exactly identical to those owned by the Bank.
The following table shows assets measured at fair value on a nonrecurring basis, using Level 3 measurements for the past two years:
December 31, 2013
If collateral dependent, impaired loans are valued at the fair value of underlying collateral, as determined by a qualified independent appraiser, less the estimated cost to foreclose, sell, and carry the collateral. For impaired loans that are not collateral dependent, the Bank can measure fair value as described above or use a measurement based upon the present value of expected future cash flows discounted at the loan's effective interest rate.
Note 15 – Fair Value Measurement (continued)
Other real estate owned is valued at fair value as determined by a qualified independent appraiser, less estimated selling costs.
The following table shows losses recognized for the year ended December 31:
2013
2012
Note 16 – Subsequent Events
Subsequent to December 31, 2013, the Bank was notified by a borrower of an inability to continue making payments on a residential real estate loan with a balance of $933,862. The loan was 30‐59 days past due at December 31, 2013, but was not considered to be an impaired loan. The loan is now considered impaired and was placed on nonaccrual status on February 26 resulting in an interest reversal of $16,594. The Bank has agreed to accept a deed in lieu of foreclosure which is expected to be received by March 31, 2014. Any loss, if realized, is not expected to be material to the financial statements of the Bank.
|
INSIGHTS
2019 Capital Market Outlook
December 2018
203.621.1700 | rocaton.com
© 2018, Rocaton Investment Advisors, LLC
Figure 1:
Rocaton's 2019 Themes, Key Takeaways and
Portfolio Strategies
Executive Summary
Our annual Capital Market Outlook provides a look ahead to 2019 and provides a review of our themes from this past year (link to 2018 Outlook).
Rocaton's 2019 Themes
Trade negotiations will materially influence global economic growth
Recent developments in the global political environment, and, in particular the escalation of trade wars between the U.S. and its trading partners, may continue to create volatility across public markets. We continue to believe that market conditions will be strongly influenced by the outcome of trade negotiations, most notably between China and the U.S. For example, public equity market volatility increased following the G20 Meeting in early December, where President Trump and Xi Jinping agreed to hold further discussions over a 90-day period, thereby postponing the next round of tariffs. This is certainly a positive signal and may provide some relief in the markets from the day-to-day turmoil of trade talks. However, there continues to be a divide between the U.S. and Chinese positions on trade that needs to be reconciled on topics such as forced technology transfer, intellectual property protection, and non-tariff barriers. The hope is that the agreed-upon 90-day period can be used to resolve these differences, find a lasting resolution to trade negotiation, and avoid a full-blown trade war. Further trade tensions have the potential to weigh on investor sentiment and depress GDP globally. Importantly, trade represents a larger portion of GDP for China, the EU and emerging markets than it does for the U.S. and so the negative effect of the trade war are felt disproportionately by the rest of the world.
Key Takeaways: Recent developments in the global political environment, in particular the escalation of trade wars between the U.S. and its trading partners, could constrain global growth and result in continued volatility for public markets.
rocaton.com © 2018Rocaton Investment Advisors,LLC
Trade negotiations will materially influence global economic growth - continued
Portfolio Impact: A continuation or escalation of trade tensions between the U.S. and its trading partners is likely to weigh on investor sentiment, serve as a headwind to economic growth, and may negatively impact risk-assets. A resolution could buoy markets, especially in higher risk assets such as China A-shares and emerging market equities more broadly.
Portfolio Strategy: Should a concrete trade agreement be reached, we believe equities, particularly emerging market equities, could rally in anticipation. However, until there is certainty, we believe investors should expect further public equity market volatility. As such, investors should position their public equity portfolios in line with their risk tolerance and return objectives.
Monetary and fiscal policy may create headwinds
While U.S. economic growth was strong in 2018, we believe monetary and fiscal conditions may present challenges in 2019. From a monetary policy perspective, a less accommodative Federal Reserve may put pressure on the economy broadly as the Fed seems inclined to move forward with additional rate hikes. Balance sheet normalization may also reduce liquidity and is another form of monetary tightening. The impact of fiscal stimulus is also likely to wane in 2019. While tax reform seems to have been a tailwind to corporate earnings in 2018, we see limited new fiscal stimulus emerging next year. As a result, the growth rate in corporate earnings seems likely to slow as year-over-year comparisons become more challenging. Although infrastructure spending is still being considered, very few details have emerged in recent months and it seems, from our perspective, unlikely that legislation will get passed. Beyond monetary and fiscal policy, continued escalation in trade tensions, rising labor and input costs, continued strength in the dollar, and rising interest rates could lead to higher volatility.
Key Takeaways: Changes in monetary and fiscal policy may present challenges for economic growth in the coming year, potentially resulting in increased volatility and headwinds for the equity markets.
Portfolio Impact: We do not see a high risk of recession in the U.S in 2019. However, lack of fiscal stimulus combined with further interest rate hikes may slow the economy and put pressure on risk assets such as public equities.
Portfolio Strategy: Short-term interest rates are at their highest levels since the global financial crisis making short duration fixed income a viable investment consideration for some investors, and in particular, total return investors without liability-hedging considerations. A high quality, floating rate/short duration ABS portfolio yields over 4% currently. However, investors must consider income, diversification benefits, investment objectives and total return potential when determining their duration posture. All else equal, we would recommend that investors maintain their current duration posture and stay diversified. Investors should consider their investment objectives holistically before shortening duration given long duration fixed income can potentially act as a diversifier to risk assets especially as the U.S. economy is expected to slow in 2019.
rocaton.com © 2018Rocaton Investment Advisors,LLC
Are equity market valuations still useful indicators for predictions about performance?
Since the global financial crisis, U.S. equities have significantly outperformed non-U.S. developed and emerging equities. While valuations across all public equities were depressed in early 2009, over the last several years a meaningful valuation disparity has persisted between U.S. and non-U.S. equity markets. Despite this valuation gap, U.S. equity markets have continued to outperform most equity markets across the globe. At the end of 2013, U.S. equities traded at 24.9x (based on the Shiller CAPE ratio) while non-U.S. developed markets traded at 17.1x and emerging markets traded at 13.7x. Over the subsequent ~5-year period (though October 31, 2018), the S&P 500 generated a return of 10.5% annualized while the MSCI EAFE and MSCI Emerging Markets Indexes returned 2.1% and 1.8% annualized (in USD terms), respectively over the same time period. Naturally, investors who positioned their equity portfolios based on valuations likely generated disappointing results.
Key Takeaways: While value investing is generally more appropriate for investors with a long-term time horizon, the last five to ten years have been particularly disappointing for value-oriented investors as U.S. equity markets have continued to outperform non-U.S. equity markets despite lofty starting valuations. It is also noteworthy that within many countries, growth stocks have significantly outperformed value stocks in recent periods.
Portfolio Impact: There are several reasons why U.S. equities might continue to outperform non-U.S. equities including 1) Sustained high earnings growth and/or profit margins for U.S. companies, 2) Meaningfully different sector composition (U.S. has a much larger tech sector than Europe), 3) Different legal systems and rates of innovation that may make the U.S. a more attractive destination for capital, 4) An introduction of additional tariffs which typically harm non-U.S. economies more than they hurt the U.S. economy, and 5) Further strengthening of the U.S. dollar driven by tightening monetary policy. However, as we have pointed out, valuations in U.S. equity markets are far more elevated than valuations in non-U.S. equity markets.
Portfolio Strategy: We continue to believe that investors should tilt towards markets with attractive valuations and away from markets where valuations are elevated. This would suggest that investors should lean into non-U.S. equity markets and away from U.S. equity markets. For investors with the ability to withstand periods underperformance, we believe non-U.S. equities will ultimately outperform U.S. equities in the coming years. However, compared to other relative value decisions our conviction on U.S. versus non-U.S. equities is lower, particularly over a short time horizon. In line with our historical views, we expect there to be a modest structural gap between U.S. P/E ratios and non-U.S. P/E ratios 1 .
1 Rocaton's long-term CAPE ratio assumption for U.S. equities is 20.0x compared to 18.0x and 16.0x for non-U.S. developed and emerging equities, respectively.
rocaton.com © 2018Rocaton Investment Advisors,LLC
Corporate credit quality is deteriorating
BBB-rated corporate credit has steadily increased in absolute and relative terms since the financial crisis, and now comprises approximately 50% of the Bloomberg Barclays Corporate Index, up from less than 35% in June 2008. A meaningful portion of the increase in BBB rated bonds has come from the financial sector. However, over the past ten years, banks have improved their credit profiles meaningfully, partly as a result of regulation intended to reduce systemic risk. More recently, debt-financed M&A has been a cause of the uptick in leverage levels within the industrial sector and partly explains why average credit quality has fallen. While we are not calling for a wave of imminent downgrades, those companies that rely on continued M&A synergies and intend to reduce debt to preserve their ratings may face challenges if the economy were to slow.
Key Takeaways: BBB-rated corporate bonds have become a larger portion of the investment grade corporate market over the past 10 years. Understanding the drivers and the impact this may have on various markets is important.
Portfolio Impact: Credit migration is a risk that investors are exposed to which can create drag on performance and funded status, in the case of defined benefit plans holding large allocations to corporate bonds. This risk may be mitigated by skilled credit managers. Further, if several large BBB-rated issuers were to be downgraded to below investment grade, it could cause the high yield market some indigestion. If downgrades were to occur, several of the largest BBB-rated issuers would be meaningful weights within the $1.2 trillion high yield market. As a result, we would expect market mechanisms for trading fixed income corporate credit to be challenged, leading to higher than expected price volatility.
Portfolio Strategy: We believe that investors should not blindly follow published indices in fixed income portfolios. Specific to corporate defined benefit plans, we believe if controlling average credit quality and/or reducing issuer concentration at the portfolio level is an objective, plans should utilize Treasuries and consider introducing other long duration fixed income sectors. Excluding the BBB-segment from the opportunity set would likely be suboptimal given that it would likely lead to more issuer concentration. If investors are concerned with investment grade corporate credit, they could consider allocating to other forms of credit (e.g. structured product) that have a greater linkage to the consumer and commercial and residential real estate.
Europe's problems have shifted to the "core"
Europe has been beset by numerous problems in 2018. While the "periphery" had been viewed as being the issue for the last several years, it appears that Europe's problems now lie with the "core". Countries such as Spain, Portugal and Greece, which were once cited as being a drag to the European economy, have improved in recent months. For example, according to the IMF, in the three years from 2015, Spain's GDP rose an average of 3.3% versus 2.4% for the EU as a whole. Elsewhere, Portugal's unemployment rate fell to 6.7%, the lowest in nearly 20 years and well below Italy's unemployment rate of 10.6%. In contrast, countries in the "core"
rocaton.com © 2018Rocaton Investment Advisors,LLC
Europe's problems have shifted to the "core" - continued
which were supposed to propel Europe's growth are now presenting problems. In 2018, Italy was at the center of the European Union's problems leading to higher volatility and lower sentiment. Further, the U.K. faces political headwinds of its own as Brexit is a fluid situation that has the potential to exacerbate volatility. Potentially more impactful for the long-term future of European harmony is the fall from grace of Angela Merkel in Germany. She has been the dominant politician in Europe over the last decade and a strong stabilizing force for the EU. More recently, Emmanuel Macron, another strong pro-EU voice, has seen his popularity decline.
Key Takeaways: Europe's issues now seem to be centered in the "core" and it is difficult to see how conditions improve in the near term given political problems in Italy and the U.K. The modest fall in the euro should help conditions.
Portfolio Impact: There will likely be continued negative sentiment and potential volatility until issues in the U.K. and Italy can be resolved. A "hard Brexit" could result in significant volatility but that is an outcome that all sides seem determined to avoid despite rhetoric to the contrary. The current proposed deal may be the best in a series of bad options, resulting in modest gains across European assets.
Portfolio Strategy: European stocks, currencies and other financial assets cheapened in 2018. Some of this cheapening was justified as a result of weakening fundamentals. It seems to us, however, that sentiment is too negative on Europe and that European equities and other financial assets as well as European currencies may be attractively valued versus U.S. assets. Investors should be aware that there is the potential for further poor performance from European equities in the short-term. Investors wishing to taking advantage of depressed valuations in Europe are likely better served by increasing allocations to non-U.S. developed equities broadly. Investors could also consider an allocation to preferred securities which have exposure to both U.S. and European companies.
U.S. housing market stability
The housing market has shown signs of weakness in 2018 in part due to rising mortgage rates but also due to changes in the deductibility of taxes, enacted as part of the Tax Cuts and Jobs Act of 2017. Despite the recent slowing of the housing market, long-term trends are supportive of stable to rising home prices. The supply of new homes in the US built since 2008 is far lower than long-term averages and the U.S. population is larger by 30 million people since 2008. For example, in the 10-year period from 1996-2006, the U.S. built 1.7 million new homes annually (on average). In the most recent 10-year period, the U.S. has built just 900,000 homes, on average, each year. This lack of supply, combined with millennials engaging in household formation, improved consumer balance sheets, and the increase in population, should be supportive of limited downside in the U.S. housing market in the coming years. We should point out that there are potential headwinds for the U.S. housing market such as rising rocaton.com
© 2018Rocaton Investment Advisors,LLC
U.S. housing market stability - continued
mortgage rates, a potential recession in 2020 (or thereabouts), and issues regarding property tax deductibility.
Key Takeaways: Despite rising mortgage rates and changes to the tax code, fundamentals appear to be supportive for the U.S. housing market. We believe there will be pockets of regional weakness in areas impacted by economic change and/or the change in state income tax deductions.
Portfolio Impact: As the housing crisis of a decade ago is still fresh for many in the economy, there is a perception that rising house prices indicate another housing bubble that may be succeeded by a housing bust. We believe housing and demographic fundamentals suggest this is unlikely. While there can be numerous causes of a recession, we don't believe the housing market will be the primary culprit the next time around.
Portfolio Strategy: The U.S. housing market is unlikely to suffer a bust like the 2008-2011 period for many years. Investment strategies focused on residential home lending in public and private markets that rely on house price stability to be successful should be entertained. Examples of strategies include non-agency mortgage origination strategies and strategies related to the growth in the single-family home rental market.
rocaton.com © 2018Rocaton Investment Advisors,LLC
Figure 2:
Review of Rocaton's 2018
Themes
APPENDIX: Review of Rocaton's 2018 Themes
rocaton.com © 2018Rocaton Investment Advisors,LLC
2019 Capital Market Outlook
Rocaton is registered as an investment adviser with the U.S. Securities and Exchange Commission. Rocaton's Form ADV, Part 2 is available upon request. The information included in this publication has been taken from sources considered reliable. No representa tions or warranties are made as to the accuracy or completeness of this information and no responsibility or liability (including liability for consequential or incidental damages) is assumed for any error, omission or inaccuracy in this information. This information is subject to change over time. This publication is not intended as investment advice. Before acting on any information contained in this material you should consider whether it is suitable for your particular circumstance. Any opinions expressed in this publication reflect our judgment at this date and are subject to change. No part of this publication may be reproduced or redistributed in any manner without the prior written permission of Rocaton Investment Advisors, LLC.
Performance Information and Return Expectations
The analysis contained in this document may include projections of long-term return and risk expectations. There is no guar antee that the projected returns or risk will be realized. The projections are based in part on historical performance of various asset classes, and past performance is no guarantee of future performance. The projections include assumptions, including those regarding risk and return. These assumptions are used for modeling purposes only and may not be realized. Because the analysis is based on assumptions and projections, there can be no warranties or guarantees.
203.621.1700 | rocaton.com
© 2018, Rocaton Investment Advisors, LLC
|
Raine, R; Walt, G; Basnett, I (2004) The white paper on public health. BMJ (Clinical research ed), 329 (7477). pp. 1247-1248. ISSN 0959-8138 DOI: https://doi.org/10.1136/bmj.329.7477.1247
Downloaded from: http://researchonline.lshtm.ac.uk/14117/
DOI: 10.1136/bmj.329.7477.1247
Usage Guidelines
Please refer to usage guidelines at http://researchonline.lshtm.ac.uk/policies.html or alternatively contact email@example.com.
Available under license: Creative Commons Attribution Non-commercial http://creativecommons.org/licenses/by-nc/3.0/
BMJ 2004;329:1247–8
The white paper on public health
Is promising, but has some blind spots, which must be tackled
T he white paper Choosing Health: making healthy choices easier lays out the government's approach to tackling a broad range of public health challenges from smoking, obesity, and drinking to mental and sexual health.1 Positive aspects, such as signposting foods to indicate their fat, salt, and sugar contents have quite rightly been welcomed. Limitations, including the ironic coupling of the emphasis on individual choice with a failure to tackle secondhand smoke, are being highlighted by the relevant expert groups. The public are developing an awareness of the relevance of these public health issues in their lives, thanks in part to the substantial media coverage of the report's contents and of stakeholders' responses. At least these problems are beginning to get a thorough public airing, which must be a step in the right direction for further policy change. However, to maximise the benefits of such a substantial switch towards prevention, as urged by Wanless,2 three fundamental blind spots need to be considered.
is one thing, but allowing smoking in pubs that do not serve prepared food undermines this effort. It is precisely people who visit pubs where food is not served who are in most need of protection from the effects of secondhand smoke. In this way the white paper fails to address the inequalities that purport to be the driving force behind it.
The first exemplifies a historical failure to match rhetoric with action. The report promises to help local health services deal with inequalities: "We are giving primary care trusts the means to tackle health inequalities and improve health through funding to give greater priority to areas of high health need . . ." This implies recognition of the need to provide greater resources to those primary care trusts in most need in order to move disadvantaged people up to the level of advantaged people.3 However, the promise rings hollow for many primary care trusts serving deprived communities. The government has set inequalities targets for these primary care trusts requiring them to improve the health of their populations faster than the average for the United Kingdom.4 Many of these are already struggling because they have not even received the funding they are due according to the government's own calculations of their requirements.5 In northeast London, for example, all four of the primary care trusts defined as being in the government's "spearhead group" (which means they have the worst health and deprivation indices), are currently underfunded to a total of over £80m ($149m; €114m) against their weighted capitation target.
The second blind spot is an inability to work through the consequences of worrying about being labelled as a nanny state. As a result, the recommendations on banning smoking are inconsistent and may actually increase health inequalities due to differential uptake by people across the socioeconomic divide.6 Encouraging smoking cessation on an individual level
The third blind spot is the government's reluctance to take its own medicine. That decisions should be informed by robust research evidence is becoming embedded across the health service, and the white paper does pay some attention to the need to use evidence based interventions. A pity then that such emphasis is placed on individualistic interventions such as the provision of educational materials, when it is well established that information alone does not entice people to change behaviour. Nor will the provision of fruit for your lunch box alter eating habits so long as healthy eating is perceived to be posh.7 That the government persists in believing that it is as simple as that is disappointing. Improving public health is about changing behaviour. We need an in-depth understanding of the personal values, beliefs, preferences, and aspirations that drive behaviours in different social groups. Only then can we begin to design interventions to modify deep seated cultural norms and to challenge ingrained ambivalence. Changing behaviour will require the implementation of comprehensive structural, environmental, and economic interventions. For example, the report has nothing about using the taxation system to increase the minimum weekly income for healthy living,8 or for increasing taxes on tobacco, which are known to have the greatest effects on smoking levels of young people.9
The white paper does signal a seminal moment in terms of attention to public health and could have a profound impact. But the government must consider its blind spots and show a commitment to tackle complex environmental and personal barriers to behaviour change if it is to fulfil its pledge to make healthy choices easier.
Rosalind Raine MRC clinician scientist Gill Walt head
Department of Public Health, London School of Hygiene and Tropical Medicine, London WC1E 7HT (firstname.lastname@example.org)
Ian Basnett assistant director of public health
North East London Strategic Health Authority, 81 Commercial Road, London E1 1RD
Competing interests: None declared.
1 Department of Health. Choosing Health: making healthier choices easier. London: Department of Health, 2004. www.dh.gov.uk/PublicationsAnd Statistics/Publications/PublicationsPolicyAndGuidance/PublicationsPolicy AndGuidanceArticle/fs/en?CONTENT_ID = 4094550&chk = aN5Cor (accessed 22 Nov 2004).
.
2 Wanless D. Securing our future health: taking a long-term view. Final report London: HM Treasury, 2002.
3 Mooney G. Vertical equity in health care resource allocation. Health Care Anal 2000;8:203-15.
4 Department of Health. National Standards, Local Action: Health and Social Care Standards and Planning Framework 2005/06-2007/08. http:// www.dh.gov.uk/PublicationsAndStatistics/Publications/PublicationsPolicy AndGuidance/PublicationsPolicyAndGuidanceArticle/fs/en?CONTENT_ ID = 4086057&chk = ypFWoL (accessed 22 Nov 2004).
5 Healthcare Commission. State of health care report. London: Healthcare Commisson, 2004.
6 Arblaster L, Lambert M, Entwistle V, Forster M, Fullerton D, Sheldon T, Watt I. A systematic review of the effectiveness of health service interventions aimed at reducing inequalities in health. J Health Serv Res Policy 1996;1:93-103.
7 Ward L. Children teased and bullied at school over healthy food choices. Guardian 2004 November 9. http://www.guardian.co.uk/uk_news/story/ 0,,1346429,00.html (accessed 18 Nov 2004).
8 Morris JN. Commentary: Minimum incomes for health living: then, now
and tomorrow? Int J Epidemiol 2003;32:498-9.
9 Townsend J. Policies to halve smoking deaths. Addiction 1993;88: 43-52.
Angiotensin receptor blockers and myocardial infarction
These drugs may increase myocardial infarction—and patients may need to be told
T he interpretation of large scale clinical trials is being increasingly scrutinised by leading journals,1 with great emphasis being placed on the importance of sharing all potential side effects, no matter how trivial, with patients. The Lancet recently published the results of the valsartan antihypertensive long term use evaluation (VALUE) trial, a study of the effects of reducing blood pressure in patients at high risk.2 The angiotensin receptor blocker valsartan produced a statistically significant 19% relative increase in the prespecified secondary end point of myocardial infarction (fatal and non-fatal) compared with amlodipine. A doctor who is a patient of one of the authors (SV) commented that if the incidence of myocardial infarction increased with valsartan it would be an essential component of informed consent to share this information when prescribing valsartan for high risk patients with high blood pressure. These peculiar results led us to examine carefully the evidence surrounding angiotensin receptor blocker and myocardial infarction.
Could the unexpected increase in the incidence of myocardial infarction in the VALUE trial represent a statistical aberration? Although the modest, yet significant differential in blood pressure in favour of amlodipine (1.8 mm Hg systolic and 1.5 mm Hg diastolic v amlodipine) may explain the 13% increase in the incidence of stroke in patients taking valsartan (P = 0.08), it is unlikely, according to some experts, to account for the 19% increase in the incidence of myocardial infarction.3
on cognition and prognosis in the elderly (SCOPE), candesartan was associated with a non-significant 10% increase in fatal plus non-fatal myocardial infarction despite lower blood pressure (3.2 mm Hg systolic and 1.6 mm Hg diastolic for candesartan v placebo).6 Furthermore, the angiotensin receptor blocker losartan in the LIFE study did not reduce rates of myocardial infarction despite a 1.7 mm Hg lower pulse pressure compared with atenolol.7 In the RENAAL trial, a study performed in diabetic patients with nephropathy, the angiotensin receptor blocker losartan offered nephroprotection, but no reduction in cardiovascular mortality, although about 30% of patients died of a cardiovascular event.8 In a similar population the angiotensin receptor blocker irbesartan showed nephroprotection9 but seemed to have no impact on the 24% incidence of cardiovascular events (a secondary composite end point). Although irbesartan lowered blood pressure (4 mm Hg systolic and 3 mm Hg diastolic v placebo), no reduction occurred in myocardial infarction, stroke, or cardiovascular death. Compared with amlodipine, irbesartan was associated with a 36% increase in non-fatal myocardial infarction (P = 0.06), a 48% non-significant increase in stroke, and a 29% non-significant increase in death despite similar blood pressure reduction (see advisory briefing of the Food and Drug Administration, NDA 20-757 (S-021), www.fda.gov).
Unfortunately careful evaluation of the current evidence shows that angiotensin receptor blockers, unlike angiotensin converting enzyme inhibitors, are either neutral or increase the rates of myocardial infarction despite their beneficial effects on reducing blood pressure.
For example, the CHARM-alternative trial showed a significant 36% increase in myocardial infarction with candesartan (versus placebo) despite a reduction in blood pressure (4.4 mm Hg systolic and 3.9 mm Hg diastolic v placebo treatment).4 Likewise, in the CHARM-preserved study, candesartan reduced admissions for chronic heart failure by 13% but did not prevent death despite a mortality of 11.3% and a reduction in blood pressure of 7 mm Hg systolic and 3 mm Hg diastolic compared with placebo.5 In the study
These peculiar effects of angiotensin receptor blockers on myocardial infarction stand in contrast to those of angiotensin converting enzyme inhibitors, which consistently produce a 20% or greater reduction in myocardial infarction in patients with diabetes, hypertension, renal insufficiency, and atherosclerosis.
How could two pharmacological agents, considered by many to be interchangeable and equivalent, have such divergent effects on coronary vascular outcomes despite similar effects on blood pressure? Medicine contains several examples of similar pharmacological conundrums. For example, metformin and phenformin, agents of the same class that have similar effects on insulin sensitivity and glycaemic control, have different side effects, and phenformin is associated with a higher rate of lactic acidosis. Troglitazone, rosiglitazone, and pioglitazone are all thiazolidinedione insulin sensitisers, yet troglitazone was removed from the market because of increased rates of hepatocellular necrosis. Different
BMJ 2004;329:1248–9
|
Enabler Release Definition for Mobile Location Protocol (MLP) Candidate Version 3.1 – 16 Mar 2004
Open Mobile Alliance OMA-ERELD-MLP-V3_1-20040316-C
Use of this document is subject to all of the terms and conditions of the Use Agreement located at http://www.openmobilealliance.org/UseAgreement.html.
Unless this document is clearly designated as an approved specification, this document is a work in process, is not an approved Open Mobile Alliance™ specification, and is subject to revision or removal without notice.
You may use this document or any part of the document for internal or educational purposes only, provided you do not modify, edit or take out of context the information in this document in any manner. Information contained in this document may be used, at your sole risk, for any purposes. You may not use this document in any other manner without the prior written permission of the Open Mobile Alliance. The Open Mobile Alliance authorizes you to copy this document, provided that you retain all copyright and other proprietary notices contained in the original materials on any copies of the materials and that you comply strictly with these terms. This copyright permission does not constitute an endorsement of the products or services. The Open Mobile Alliance assumes no responsibility for errors or omissions in this document.
Each Open Mobile Alliance member has agreed to use reasonable endeavors to inform the Open Mobile Alliance in a timely manner of Essential IPR as it becomes aware that the Essential IPR is related to the prepared or published specification. However, the members do not have an obligation to conduct IPR searches. The declared Essential IPR is publicly available to members and non-members of the Open Mobile Alliance and may be found on the "OMA IPR Declarations" list at http://www.openmobilealliance.org/ipr.html. The Open Mobile Alliance has not conducted an independent IPR review of this document and the information contained herein, and makes no representations or warranties regarding third party IPR, including without limitation patents, copyrights or trade secret rights. This document may contain inventions for which you must obtain licenses from third parties before making, using or selling the inventions. Defined terms above are set forth in the schedule to the Open Mobile Alliance Application Form.
NO REPRESENTATIONS OR WARRANTIES (WHETHER EXPRESS OR IMPLIED) ARE MADE BY THE OPEN MOBILE ALLIANCE OR ANY OPEN MOBILE ALLIANCE MEMBER OR ITS AFFILIATES REGARDING ANY OF THE IPR'S REPRESENTED ON THE "OMA IPR DECLARATIONS" LIST, INCLUDING, BUT NOT LIMITED TO THE ACCURACY, COMPLETENESS, VALIDITY OR RELEVANCE OF THE INFORMATION OR WHETHER OR NOT SUCH RIGHTS ARE ESSENTIAL OR NON-ESSENTIAL.
THE OPEN MOBILE ALLIANCE IS NOT LIABLE FOR AND HEREBY DISCLAIMS ANY DIRECT, INDIRECT, PUNITIVE, SPECIAL, INCIDENTAL, CONSEQUENTIAL, OR EXEMPLARY DAMAGES ARISING OUT OF OR IN CONNECTION WITH THE USE OF DOCUMENTS AND THE INFORMATION CONTAINED IN THE DOCUMENTS.
© 2004 Open Mobile Alliance Ltd. All Rights Reserved. Used with the permission of the Open Mobile Alliance Ltd. under the terms set forth above.
Contents
A.2 D
RAFT /C
ANDIDATE
V
ERSION
3.1 H
ISTORY
.............................................................................................................16
1. Scope
The scope of this document is limited to the Enabler Release Definition of Mobile Location Protocol (MLP) V3.1 according to OMA Release process and the Enabler Release specification baseline listed in section 0.
2. References
2.1 Normative References
2.2 Informative References
"Open Service Access (OSA) Application Programming Interface (API); Part 6: Mobility"
[OMA-Template-ERELD-20030912]
3. Terminology and Conventions
3.1 Conventions
The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this document are to be interpreted as described in [RFC2119].
All sections and appendixes, except "Scope" and "Introduction", are normative, unless they are explicitly indicated to be informative.
The formal notation convention used in sections 8 and 9 to formally express the structure and internal dependencies between specifications in the Enabler Release specification baseline is detailed in [CREQ].
3.1.1 Notational Conventions and Generic Grammar
The following rules are used throughout this specification to describe basic parsing constructs.
- ANSI X3.4-1986 defines the US-ASCII coded character set, see [ASCII]
- A set of characters enclosed in brackets ([...]) is a one-character expression that matches any of the characters in that set. E.g., "[lcs]" matches either an "l", "c", or "s". A range of characters is indicated with a dash. E.g., "[a-z]" matches any lower-case letter.
- The one-character expression can be followed by an interval operator, for example [a-zA-Z]{min,max} in which case the one-character expression is repeated at least min and at most max times. E.g., "[a-zA-Z]{2,4}" matches for example the strings "at", "Good", and "biG".
3.1.2 DTD Syntax Notation
The table below describes the special characters and separators used in the DTDs defining the different services.
| Character | Meaning | |
|---|---|---|
| + | One or more occurrence | |
| * | Zero or more occurrences | |
| ? | Optional | |
| (...) | A group of expressions to be matched together | |
| | | OR...as in, "this or that" |
3.2 Definitions
Enabler Release –a collection of specifications that combined together form an enabler for a service area, e.g. a download enabler, a browsing enabler, a messaging enabler, a location enabler, etc. The specifications that are forming an enabler should combined fulfil a number of related market requirements.
[OMA-Template-ERELD-20030912]
Minimum Functionality Description – Description of the guaranteed features and functionality that will be enabled by implementing the minimum mandatory part of the Enabler Release.
3.3 Abbreviations
4. Introduction
This document outlines the Enabler Release Definition for Mobile Location Protocol V3.1.
The Mobile Location Protocol (MLP) is an application-level protocol for getting the position of mobile stations (mobile phones, wireless personal digital assistants, etc.) independent of underlying network technology. The MLP serves as the interface between a Location Server and a Location Services (LCS) Client. This specification defines the core set of operations that a Location Server should be able to perform.
5. Enabler Release Specification Baseline
This section is normative.
Specification baseline:
Doc Ref.
1. OMA-LIF-MLP-V3_1
[MLP-SPEC]
2. MLP DTD’s in machine processable form
[MLP-DTD]
This release includes a specification from the predecessor organization Location Interoperability Forum (LIF) that the OMA Location Working Group now maintains.
Some updates and bug-fixes have been done to the legacy specification in order to secure the quality. Hence, this Enabler Release carries version number 3.1 whilst 3.0 was the last version of MLP released by LIF.
The DTD's described in [MLP-SPEC] are attached in machine processable form for the convenience of implementers of the specification.
Location Enabler handles information very personal and private in nature. Even if there are exceptions, for example in certain regions and/or use cases (emergency calls), there are a list of obligations applicable for all the parties involved. Hence, all the implementations of Location Enabler SHALL fulfil the requirements for protecting the privacy of the user of the located device as follows:
1. Location MUST NOT be released unintentionally to another party.
2. Any party (the mobile network operator's server, any other server, the terminal device) aiming at releasing the location MUST ensure that there is the target user's consent to release it to this exact destination before the delivery. This rule applies to all the parties separately in a possible deployment where the location is fetched and delivered through a chain of parties. In case of emergency call in a certain region, this consent MAY be considered implicit, hence overriding all the other privacy rules.
3. Ultimately, OMA Location Enabler enables two main sources for location, network-based Location Servers and Mobile Terminal Platforms. The same privacy requirements, principles and policies are valid in both of these cases.
4. There are two alternatives for the implementation of how a network-based Location Server SHALL protect the target user's privacy before delivery;
* To request verification from the target user herself. Target user SHALL have a reasonably easy and practical means to deny the location delivery.
* To request verification from a database where the target user's pre-defined settings are stored. The host/manufacturer of this database SHALL provide the target user with a reasonably easy and practical means to manage, maintain, update and request the status of her privacy settings at any time. The host of the database MUST ensure that no unauthorized party can have access or manipulate those settings. There are no restrictions, however, in which form and in which physical residence the database is implemented. In case consent to location delivery was not gotten based on the database, the verification MAY be requested from the target user, as described above.
5. There are two alternatives for the implementation of how the Mobile Terminal Platform SHALL protect the target user's privacy before delivery:
* To request verification from the target user herself. Target user SHALL have a reasonably easy and practical means to deny the location delivery.
* To request verification from a database where the target user's pre-defined settings are stored. The host/manufacturer of this database SHALL provide the target user with a reasonably easy and practical means to manage, maintain, update and request the status of her privacy settings at any time. The host of the database MUST ensure that no unauthorized party can have access or manipulate those settings. There are no restrictions, however, in which form and in which physical residence the database is implemented. In case consent to location delivery was not gotten based on the database, the verification MAY be requested from the target user, as described above.
In deployments where the subscriber purchases the Location Service (position) from the Mobile Network Operator and uses the result for an independent 3 rd party Application Service, both requirements 4 and 5 apply in sequence. It should be noted that the consumer SHALL have a right and means not to disclose the ultimate target where the location is delivered after purchase.
6. Minimum Functionality Description for MLP
This section is informative.
6.1 Mobile Location Protocol (MLP)
The Mobile Location Protocol (MLP) is an application-level protocol for querying the position of mobile stations independent of underlying network technology. The MLP serves as the interface between a Location Server and a locationbased application.
Wireless
Network
Location
Server
Location-
based
application
request (MLP)
response (MLP)
Possible realizations of a Location Server are the GMLC, which is the Location Server defined in GSM and UMTS, and the MPC, which is defined in ANSI standards. Since the Location Server should be seen as a logical entity, other implementations are possible.
In the most scenarios an LCS client initiates the dialogue by sending a query to the Location Server and the server responds to the query.
7. Conformance Requirements Notation Details
This section is informative
The tables in following chapters use the following notation:
Item:
Entry in this column MUST be a valid ScrItem according to [IOPPROC].
Feature/Application:
Entry in this column SHOULD be a short descriptive label to the Item in question.
Status:
Entry in this column MUST accurately reflect the architectural status of the Item in question.
* M means the Item is mandatory for the class
* NA means the Item is not applicable for the class
* O means the Item is optional for the class
Requirement:
Expression in the column MUST be a valid TerminalExpression according to [IOPPROC] and it MUST accurately reflect the architectural requirement of the Item in question.
8. ERDEF for MLP 3.1 - Client Requirements.
This section is normative
For the time being, this section is mostly blank. Ensuing versions of MLP will provide appropriate detail.
Table 1 ERDEF for MLP 3.1 Client-side Requirements
| Item | Feature / Application | Status |
|---|---|---|
| N/A | Terminal | |
9. ERDEF for MLP 3.1 - Server Requirements
This section is normative.
For the time being, this section is mostly blank. Ensuing versions of MLP will provide appropriate detail.
Table 2 ERDEF for MLP 3.1 Server-side Requirements
Appendix A. Change History
(Informative)
A.1 Approved Version History
| | Reference | | Date | Description |
|---|---|---|---|---|
| n/a | | n/a | | |
A.2 Draft/Candidate Version 3.1 History
| | Document Identifier | | Date | | Sections | Description |
|---|---|---|---|---|---|---|
| Draft Versions OMA-ERELD-MLP-V3_1 | | 25 Feb 2003 | | | | |
| | | 20 Mar 2003 | | Section 5 | | |
| | | 26 May 2003 | | Name and section 5 | | |
| | | 27 May 2003 | | Section 3.3, & 6.1 | | |
| | | 28 May 2003 | | Section 9 | | |
| | | 5 Jun 2003 | | n/a | | |
| | | 6 Jun 2003 | | Section 9 | | |
| | | 10 Jun 2003 | | Section 1,4,5,6,8,9 | | |
| | | 10 Jun 2003 | | Section 5 | | |
| | | 18 Nov 2003 | | | | |
| | | 12 Feb 2004 | | | | |
|
FACT FINDER'S REPORT AND RECOMMENDATION
IN THE MATTER OF:
LORAIN COUNTY DEPARTMENT OF JOB AND FAMILY SERVICES
AND
UNITED AUTO WORKERS, LOCAL 2192
Case Number:
2013-MED-04-0541
Before Fact Finder: Thomas J. Nowel
PRESENTED TO:
Michael D. Esposito Clemans, Nelson & Associates, Inc. 2351 South Arlington Road, Suite A Akron, Ohio 44319 firstname.lastname@example.org
Jim Waingrow International Representative, Region 2-B United Auto Workers 1691 Woodlands Drive Maumee, Ohio 43537 email@example.com
Donald M. Collins, Esq., General Counsel State Employment Relations Board 65 East State Street, 12 th Floor Columbus, Ohio 43215 firstname.lastname@example.org
INTRODUCTION
Thomas J. Nowel was appointed to serve as Fact Finder in the above referenced case by the State Employment Relations Board on May 8, 2013 in compliance with Ohio Revised Code Section 4117.14 ( C ) ( 3 ).
The subject matter of this Fact Finding is a wage re-opener. The term of the collective bargaining agreement is March 28, 2011 through September 15, 2013. Section 33.2 of the Agreement provides that the "Union may reopen negotiations for the sole purpose of negotiating wages by providing written notice to the other party between June 1 and June 15, 2012." The parties met on three occasions prior to fact finding, July 31, 2012, December 6, 2012 and March 7, 2013 and were unable to resolve the wage re-opener. The parties submitted pre-hearing statements in a timely manner. Hearing at Fact Finding was held on July 18, 2013. The Fact Finder inquired if the parties were interested in engaging in mediation, but, as the only issue was the wage re-opener, it was decided to move directly into the evidentiary hearing. The parties agreed that the Report and Recommendation would be issued, via electronic mail, on September 5, 2013.
The Union represents approximately 165 employees in a wall-to-wall unit at the agency including Account Clerks, Accountants, Custodial staff, Data Entry Operators, Family Service Aides, Investigators and numerous additional classifications at the Lorain County Department of Job and Family Services. The current Agreement included wage freezes during the first two years of its term. Including unionized employees at Job and Family Services, which are the subject of this Report, there are nineteen bargaining units within the jurisdiction of the Lorain
County Board of Commissioners. Wages have been frozen for all employees in these bargaining units during the labor contract cycle of 2010 through 2013.
Those participating at hearing for the Employer included the following: Michael D. Esposito, Employer Advocate, Clemans, Nelson & Associates Sandy Conley, Clemans, Nelson & Associates Alisa Thacker, Administrative Assistant
Those participating at hearing for the Union included the following:
Jim Waingrow, UAW International Union Representative
Kelly Fields, Vice President
Andrea Thomas, Bargaining Committee
Nadine Plavsich, Bargaining Committee
BACKGROUND
In analyzing the positions of the parties regarding the wage re-opener and then making a recommendation, the Fact Finder is guided by the principles that are outlined in Ohio Revised Code section 4117.14 (G) (7) (a-f) as follows.
1. The past collectively bargained agreement between the parties.
2. Comparison of the issues submitted to fact finding relative to the employees in the bargaining unit involved with those issues related to other public and private employees doing comparable work, giving consideration to factors peculiar to the area and classification.
3. The interests and welfare of the public, the ability of the public employer to finance and administer the issues proposed, and the effect of the adjustments on the normal standard of public service.
4. The lawful authority of the public employer.
5. The stipulations of the parties.
6. Other factors, not confined to those listed above, which are normally or traditionally taken into consideration in the determination of the issues submitted to final offer settlement through voluntary collective bargaining, mediation, fact finding, or other impasse resolution procedures in the public service or in private employment.
During the course of the hearing, the parties had full opportunity to advocate for their positions, submit exhibits, present testimony and discussion and engage in rebuttal of the submissions and arguments of the other party.
The Union's proposal at Fact Finding is a three percent (3%) across the board wage increase for all employees in the bargaining unit. The Union's original wage proposal included an effective date in 2012, but it was modified at Fact Finding to be effective on January 1, 2013 (Union Exb. 1). The Union states that wages have been frozen for two years, and, although the Employer argues that other unionized county employees have not been granted an increase in 2013, the parties agreed to a wage re-opener for the last year of the Agreement. At the same time, the employee share of the cost for health insurance was not frozen during the life of the Agreement. Bargaining unit employees pay an additional $8.00 per month for health insurance while wages have remained static. Low wage earners are particularly impacted. The Union states that it recommended changes to the health care plan at the County that may have reduced costs, but the Employer refused to give consideration to its suggestions. The Union states further that the Executive Director of the Agency received a 3% wage increase effective January 1, 2013. The
Director was also impacted by the $8.00 health insurance increase, but her wages increased $3425.00 in 2013 (Union Exb. 2). The Union states that all salaried employees of the Agency were granted a 3% wage increase on January 1, 2013. The Union asserts that the Employer has suggested that funds have not been available to meet the demands for its proposed increase, but the Agency was able to increase the wages of non-bargaining unit employees. The Union argues that its proposal is based on fairness and equity and urges the Fact Finder to recommend its proposal for a 3% across the board wage increase.
The Employer rejects the proposal for a wage increase and advocates for a wage freeze in the final year of the Agreement. In response to the Union's argument regarding non-bargaining unit employees, the Employer states that the wage increase was granted based on the United Steelworkers Union collective bargaining agreement with the Board of County Commissioners. This master agreement establishes a pattern which guides the Board of County Commissioners. The Employer states that the wages of management employees were frozen since 2009. The Employer states further that it pays 90% of the cost of health insurance. While the employee share of the premium increased, the Employer's share of the increase was considerably greater. The Employer states that, historically, pattern bargaining among that nineteen bargaining units has been consistent. During the current three year bargaining cycle, 2010 to 2013, every non-conciliation bargaining unit realized a three year wage freeze (Emp. Exb. 1). The Employer argues that this pattern must not be broken as it would result in bargaining chaos and would have a negative impact on the morale of other county employees. A number of wage re-openers in
2013 resulted in continued freezes. When the UAW attempted to gain lump sum pay increases for its members at Lorain County Children Services in 2012 based on a wage re-opener provision in the collective bargaining agreement, the Fact Finder's recommendation was for the continuation of no pay increases due, in part, to the pattern of bargaining among the County's bargaining units (Emp. Exb. 3, 7-8). The Employer points out that Fact Finders generally do not interfere with the stability which pattern bargaining establishes for an Employer with multiple collective bargaining agreements (Emp. Exb 3). The Employer states further that, in a comparison with similarly situated Ohio counties, Lorain County is in the middle in respect to various economic indicators (Emp. Exb. 4). In a sample of bargaining unit classifications, Lorain County Department of Job and Family Services employees are paid at or above the average of similarly situated Ohio counties (Emp. Exb. 5). The Employer argues that bargaining unit employees are paid competitively, and there is no reason therefore to deviate from the pattern of bargaining which has been established at the County. The Employer suggests that the current Agreement expires on September 15, 2013 and that an increase in wages will be on the table when the parties enter contract renewal negotiations in the next few months. The Employer asks the Fact Finder to recommend its position for the continuation of the wage freeze in the last year of the collective bargaining agreement.
DISCUSSION
The Union makes a number of constructive arguments for its position. Wages of employees have been frozen for two years, and the cost of health
insurance has increased during this period of time. The Union's concern regarding wage increases granted to management is also compelling. The Employer likewise makes a strong case for its position that wages should be frozen in the last year of the collective bargaining agreement in that they are generally competitive in a survey of comparable counties, and the pattern of bargaining across the County's nineteen bargaining units would preclude a wage increase in the instant case.
The Employer has not suggested an inability to pay as it granted wage increases to its managers at the Agency and suggests that monies will be available for economic negotiations later this year when the current Agreement expires and the parties engage in contract renewal negotiations which are probably taking place at the current time.
The argument of the Employer, that the Fact Finder must give significant consideration to pattern bargaining that exists within the jurisdiction of the Lorain County Board of Commissioners, is meritorious. As pointed out by the Employer, there are those Fact Finders who are reluctant to deviate from a clearly established pattern of bargaining. Fact Finder Rimmel supported the Employer's position of a continued wage freeze in 2012 at Lorain County Children Services based on the clearly established pattern of bargaining at the County (Emp. Exb. 3). But it may be determined at Fact Finding that there is a compelling reason to make a recommendation that deviates from an established pattern of bargaining. In the instant matter, there is no evidence to suggest that this is the case at the Lorain County Department of Job and Family Services. Pattern bargaining among nineteen bargaining units and six union organizations, within the jurisdiction of the Board of
County Commissioners, represents a significant factor which compels this Fact
Finder to support the Employer's position. The Union's argument regarding the pay increase granted to management is legitimate. It is difficult to understand why the
Employer granted this increase at a time when wages of the vast majority of employees at the Agency were still frozen. Nevertheless, the statute directs the Fact
Finder to consider existing bargaining units and unionized employees as a primary factor in the development of a recommendation. The current Agreement will
terminate this month, and the parties are, no doubt, at the bargaining table. The
Employer has indicated that monies will be available to address the economic concerns of the Union going forward. This Fact Finder finds no compelling reason to
deviate from the established pattern of wage freezes for the contract year 2012 to
2013.
RECOMMENDATION
Section 33.2 of the Agreement is not to be modified. The recommendation is the continuation of a wage freeze in the last year of the Agreement.
Respectfully submitted and issued at Cleveland, Ohio this 5th Day of September
2013.
______________________________
Thomas J. Nowel Fact Finder
8
CERTIFICATE OF SERVICE
I hereby certify that, on this 5th Day of September 2013, a copy of the foregoing Report and Recommendation of the Fact Finder was served by way of electronic mail upon Michael D. Esposito, representing the Lorain County Department of Job and Family Services; Jim Waingrow, representing UAW Local 2192; and Donald M. Collins, General Counsel, State Employment Relations Board.
______________________________
Thomas J. Nowel Fact Finder
9
|
Journal of Educational Research and Practice
2016, Volume 6, Issue 1, Pages 66–89 ©Walden University, LLC, Minneapolis, MN DOI:10.5590/JERAP.2016.06.1.05
Experiences of Middle-Level Students, Teachers, and Parents in the Do the Write Thing Violence Prevention Program
Sarah E. Peterson University of Texas at El Paso
R. Craig Williams University of Texas at El Paso
Rick A. Myer University of Texas at El Paso
Josefina V. Tinajero University of Texas at El Paso
We examined experiences of participants in Do the Write Thing national violence prevention program for middle-level students. Using mixed methods, we conducted surveys and focus groups with students, parents, and teachers who attended the program's National Recognition Week in Washington, DC. Results revealed important affective, behavioral, and cognitive impacts on participants, including improved relationships, increased understanding of violence, and commitment to reduce violence. Participants from cities where insufficient time and resources were devoted to the project did not experience significant change. Teachers reported developing greater empathy for their students and making substantial changes in their teaching, providing support for students and infusing activities addressing violence into their curriculum. Recommendations are made for increased program support and future research.
Keywords: violence, middle school, intervention, writing
Introduction
Thousands of children in the United States suffer at home and school due to experiences with violence. According to the National Survey of Children's Exposure to Violence, more than 60% of children had either directly experienced or were exposed to violence in the previous year including assault, robbery, vandalism, theft, physical/emotional/sexual abuse, neglect, abduction, or witnessing a violent act. More than one third had experienced multiple victimizations, with 10% experiencing as many as five or more victimizations in 1 year (Finkelhor, Turner, Ormrod, Hamby, & Kracke, 2009). In addition, it is estimated that 10–33% of school-age students have reported being victimized by bullying, and 5–13% have bullied others (Hymel & Swearer, 2015).
The affective, behavioral, and cognitive impacts of these types of violence taking place in communities, families, and schools have been researched extensively (e.g., Armsworth & Holaday, 1993; Holt, Buckley, & Whelan, 2008; Margolin & Gordis, 2000; Zona & Milan, 2011). Short-term effects of violence include depression and anxiety, aggressive behavior, disruptions in relationships with caregivers, posttraumatic stress disorder symptoms, difficulties in establishing peer networks, cognitive and academic difficulties, ineffective work habits at school, school failure, and sometimes long-term consequences such as partner abuse and increased risk of criminal behavior (Fowler, Tompsett, Braciszewski, Jacques-Tiura, & Baltes, 2009; Margolin & Gordis, 2000, 2004). In addition, youth who have been victimized, when compared with nonvictimized peers, are 2.5 times more likely to report suicidal ideations, more than 3 times as likely to report suicidal behaviors, twice as likely to end up unemployed, and two thirds more likely to be on welfare (McWhirter, McWhirter, McWhirter, & McWhirter, 2013). Although being personally victimized by community violence was found to impact young people the most, simply witnessing or hearing about violence was also significantly related to symptoms of posttraumatic stress disorder, anxiety, and depression (Fowler et al., 2009).
Numerous studies have also examined bullying in schools. According to the National Education Association (2012), approximately 160,000 children per day miss school due to fear of being bullied. Bullying includes behaviors such as spreading rumors, rejecting or ostracizing others, excluding others from activities, and using nasty names; it may or may not involve aggression or violence (Ttofi & Farrington, 2011). Research on bullying shows that it can lead to similar problems as other types of violence and in more extreme cases, suicide, and homicide (Beck, 2013). McDougall and Vaillancourt (2015) concluded that during childhood and adolescence, peer victimization can impact the academic functioning, physical health, social relationships, self-esteem, and mental health of those bullied. Consequently, research on bullying suggests that impacts of peer victimization are very similar to those from experiences with community and family violence. However, sometimes no differences are observed between victims and nonvictims of bullying, indicating that not all children experience long-term negative impacts. Individuals who have been bullied at younger ages can recover from victimization if the bullying stops (McDougall & Vaillancourt, 2015). Negative impacts are less likely when children have a best friend, family support, and strong emotional support from teachers, especially when families do not provide support. In addition, a systematic review of research on protective factors against long-term effects of bullying concluded that high academic achievement and good social skills are associated with resilience against both bullying perpetration and victimization (Ttofi, Bowes, Farrington, & Losel, 2014).
In an attempt to curb bullying, many school districts have implemented bullying prevention programs. A systematic review and meta-analysis of research on these programs indicates that they are moderately effective, with a 20–23% decrease in bullying and a 17–20% decrease in victimization (Ttofi & Farrington, 2011). Effective program elements for decreasing victimization include duration and intensity of the program for children and teachers, parent training/meetings, firm discipline methods, and videos and cooperative group work. Additionally, Eliot, Cornell, Gregory, and Fan (2010) found that students are more likely to be favorable toward seeking help for bullying and threats of violence when they perceive teachers and staff to be supportive. In contrast to these effective program elements, working with peers to tackle bullying, specifically peer tutoring, peer mediation, and encouraging bystander intervention, were associated with an increase in victimization and, therefore, are not recommended (Ttofi & Farrington, 2011).
Other school-based programs have been implemented to reduce or prevent other types of violence. Some of these programs focus on specific types of violence, such as dating violence (Jaycox et al., 2006; La Rue, Polanin, Espelage, & Pigott, 2016) and media violence (Fingar & Jolls, 2014). In contrast, some programs address all types of violence but take varying approaches to reducing violence, including, for example, conflict resolution (Shuval et al., 2010), social development curriculum (Jagers, Morgan-Lopez, Flay, & Aban Aya Investigators, 2009), theater-based programs (Zucker et al., 2010), and universal school-based programs (e.g., Crooks, Scott, Ellis, & Wolfe, 2011; Farrell, Mehari, Kramer-Kuhn, Mays, & Sullivan, 2015).
One such school-based program is Do the Write Thing (DtWT), a national violence prevention program for middle-level students (http://www.dtwt.org). It was conceived and initiated as an opportunity for community, business and government leaders to make resources available to help students make a lasting commitment to take personal responsibility for ending violence in their lives, homes and communities. The program has been supported extensively by juvenile justice professionals for its 20 years of existence with an estimated 1,800,000 students participating. However, little research has been conducted to examine specifically how it impacts the participants and their schools, families, and communities. Therefore, this study was designed to examine the impact of this large-scale national program for middle-level students.
Do the Write Thing Challenge Program
As the major initiative of the National Campaign to Stop Violence, DtWT targets students' experiences with all types of violence, including but not limited to bullying. Participating middle schools from around the country challenge their students to make a commitment to work toward preventing violence in their schools and communities. The major program component common to all participating schools is having students write about violence. They may use various forms of written expression (e.g., essays or poems) as long as they are the work of each individual student. Specifically, students are asked to address (a) how violence has affected their lives, (b) what they see as the causes for this violence, and (c) ways they might help prevent future violence.
Aside from student writings, the program does not prescribe a common curriculum or set of learning activities. However, the "Challenge" has been aligned with the Common Core English Language Arts Standards in Writing for Grades 7 and 8, and it is strongly recommended that teachers use learning activities that allow them to engage students in rich discussions about the impact of violence. Activities might include having guest speakers, discussing scenarios focused on violence, or watching videos. Teachers are free to use any of these various classroom activities, giving them flexibility to incorporate the program into their school's curriculum and align with state standards.
Each year, schools submit their highest quality student writings to a local Blue Ribbon Panel that typically includes community leaders such as judges, lawyers, university professors, and business/government professionals who are committed to reducing youth violence in their city. Blue Ribbon Panel members score the writing submissions received from the schools to identify a group of semi-finalists, who are then interviewed. The Blue Ribbon Panel selects a top male and female to serve as the city's ambassadors. Each summer, the two ambassadors along with their DtWT teacher and one parent attend National Recognition Week in Washington, DC. Among other events, they meet with government leaders such as the secretary of education, the attorney general of the United States, Supreme Court justices, and/or their congressional representatives to share their views on youth violence. In addition, they visit the Library of Congress where their published writings are housed.
DtWT highlights five program elements. First, writing about violence students have experienced provides a therapeutic opportunity to address their personal experiences. Second, students are asked to accept personal responsibility for saying no to violence. Third, participating in the challenge creates an open line of communication between students and teachers: Students get a chance to write about their experiences and schools are provided with information not otherwise readily available. Fourth, opening up lines of communication between teachers and students helps them build a special bond. Finally, students are given the opportunity to share their ideas and solutions with community members and policy makers (e.g., elected officials, family court judges, business leaders), hopefully serving as a catalyst to get the community involved in antiviolence efforts.
To the best of our knowledge, DtWT is unique in its focus on providing opportunities for middle-level students in a school setting to write in their own words about all types of violence they experience, not just limited to bullying. Research on writing interventions has focused mostly on therapeutic or medical settings but little research reports on potential benefits of school programs that use writing. In one school-based study of seventh grade students in Italy, results indicated that an expressive writing intervention focusing on peer problems improved students' coping strategies but not their internalizing problems (Giannotta, Settanni, Kliewer, & Ciairano, 2009). A follow-up study also found that seventh graders living in violent urban neighborhoods who wrote about experiencing or witnessing violence reduced their aggression levels more than those who wrote about nonemotional topics (Kliewer et al., 2011). DtWT differs from these school-based writing intervention programs in that students submit only one essay; however, results of these studies show promise for the beneficial effects of giving students opportunities to write about the violence they experience or witness.
The current study addresses four research questions: (a) What factors influenced students' motivation for writing about violence that is the signature component of this program? (b) How did participation in the program impact participants? (c) What were participants doing to reduce violence? (d) What were participants' recommendations for supporting continued efforts to reduce violence?
Method
Participants
Participants included 49 students (24 females, 25 males) from 25 cities who attended DtWT's National Recognition Week in Washington, DC, in June 2014. Thirty-one had just completed eighth grade, 13 had completed seventh grade, and three had completed sixth grade, and their mean age was 13.5. They were selected as ambassadors from their home city based on evaluations of their essays and interviews with their Blue Ribbon Panel of judges in each city. Each student ambassador was accompanied by one parent, their DtWT teacher, and the city's DtWT coordinator. They were recruited to participate in the research project during regularly scheduled sessions of activities for National Recognition Week, using standard Institutional Review Board protocol for adult consent, parent permission, and child assent. Participants who consented to participate in the study included all 49 student ambassadors, 41 parents (19 female, 21 male, one unspecified) and 38 teachers (26 female, nine male, one unspecified).
Research Design and Measures
A mixed methods design allowed for systematic and efficient examination of participants' experiences while also adding richness provided by qualitative data to enhance survey data. Questionnaires were developed to address three general areas of interest: (a) factors influencing students' motivation for writing DtWT essays, (b) impact of participation in DtWT, and (c) commitment to reduce violence. Parallel Likert items were constructed for each group of participants (i.e., students, parents, and teachers), who responded on a 6-point scale ranging from1 (strongly disagree) to 6 (strongly agree). Five items addressed the first research question regarding motivational factors for writing essays: (a) being selected as a program ambassador to attend National Recognition Week, (b) self-efficacy for writing, (c) trying one's best, (d) getting good grades and/or extra credit, and (e) having classroom discussions about violence. To address the second research question regarding impact of participation, we created three subscales. Subscale 1 (six items) assessed impact of the program on relationships (e.g., "I try harder to resolve problems with
my friends since participating in DtWT"); Cronbach's alphas for the three participant groups ranged from .69 to .84. Subscale 2 (six items) assessed empathy for victims of violence (e.g., "I have more compassion for victims of violence since participating in DtWT"); Cronbach's alphas ranged from .60 to .62. Subscale 3 (three items) assessed participants' commitment to address violence (e.g., "I am committed to participate in a follow up project to improve my school and/or community"); Cronbach's alphas ranged from .61 to .62.
Focus group questions were designed to add depth to our understanding of how the program impacted participants. Parallel questions were developed for each group of participants and addressed the following: (a) personal impact of participation in DtWT, (b) changes in schools and homes as a result of participation in DtWT, (c) actions taken to reduce violence since participation in DtWT, and (d) recommendations for continuing efforts to reduce violence.
Data Collection Procedures
Organizers of National Recognition Week scheduled two meetings with each of the three groups (students, teachers, parents) at predetermined times. At the first meeting with all groups present, researchers explained the research activities and obtained IRB approved adult consent, parent permission, and student assent to participate. Surveys were then distributed and collected. During the second scheduled meeting with each group of participants, coauthors conducted focus group interviews in breakout sessions, each with groups of six to 10 participants. All focus groups were audio recorded.
Data Analysis
Survey data were entered into SPSS and one-way analyses of variance were used to compare responses of the three respondent groups. Graduate assistants transcribed recordings of the focus groups to prepare for data analysis. Analysis of responses involved a standard inductive approach, permitting themes and patterns to emerge, which were then coded and selected for reporting. Analyses proceeded in two stages, allowing for systematic empirical inquiry into meaning (Shank, 2002). The four authors each analyzed group sessions individually and then collectively utilizing transcripts and notes on the sessions. We first became familiar with participants' responses individually by adopting a "close reading," highlighting relevant thoughts and making margin notes. Second, we worked in pairs to develop themes reflecting the participants' responses to each question. Third, we came together as a team to discuss and refine the themes that emerged from each step of the process. This systematic analysis of transcripts provided clues and insights as to how the program activities were perceived by the participants. Through this multistep process, we came to a common understanding that participants' responses for the first three questions could be interpreted as falling into three broad categories of impact: affective, behavioral, and cognitive. Affective impacts were those that focused on feelings and emotions, with two subthemes including empathy (experiencing feelings with somebody based on an understanding of how they feel) and sympathy (experiencing feelings for somebody). Behavioral impacts focused on observable actions and included subthemes of empowerment (enabling one to act), support (taking care of others), and communication (engaging in dialogue). Cognitive impacts focused on thoughts and understanding, including subthemes of tolerance (acceptance of differences), efficacy (belief in one's ability to act and accomplish), helplessness (sense of not being able to act or make an impact), perspective (one's view of a situation), and complexity (multidimensional meaning or understanding). Sample quotes are provided to illuminate these themes and provide detail to the reporting.
Results
Results of surveys are presented first, followed by results from focus groups regarding ways in which participants experienced affective, behavioral, and cognitive impacts from their participation. The types of actions participants have taken to reduce violence are then presented followed by participants' recommendations for continuing efforts to reduce violence.
What Factors Influenced Students' Motivation for Writing Essays on Violence?
Table 1 shows mean responses to survey items measuring motivation for writing essays. Students were most motivated by trying their best and having classroom discussions on violence, and parents believed that their children were most motivated by the same factors. Teachers did not respond to all of the same motivation items, but they believed that students were most motivated by self-efficacy for writing and participating in classroom discussions about violence. It is encouraging that the 49 student ambassadors attending National Recognition Week were not primarily motivated by the competition component of the program. This finding is particularly important because only two students from each participating city were selected. In fact, many ambassadors expressed total surprise that they were chosen. These results also suggest that meaningful classroom discussions can be beneficial in motivating students to write about their experiences and understandings of violence, and their commitment to reduce violence, which is important given the findings of Kliewer et al. (2011) that aggression levels decreased for students who wrote about experiencing or witnessing violence.
Table 1: Participants' Ratings of Student Motivational Factors for Writing Essays
How Did Participation in DtWT Impact Participants?
Survey Results
Table 2 shows mean responses on the program impact scales of relationships and empathy. Participants responded positively regarding the impact of DtWT, with all mean scores falling above the mid-point of 3.5 on a 6-point scale, and parents responding most positively. Looking at impact on relationships, all three groups differed significantly. Parents responded more positively than teachers, who in turn were more positive than students, who were less likely to report improved
relationships with parents and friends. All participants were very positive about the impact of the program on empathy for those who have experienced violence, with all means above 5. Parents were significantly more positive than students and significantly more positive than teachers, whereas students and teachers did not differ.
Table 2: Impact of Do the Write Thing on Participants' Experiences
a Significant mean difference (p < .05) between students and parents. b Significant mean difference (p < .05) between students and teachers. c Significant mean difference (p < .05) between parents and teachers.
Findings From Focus Groups
A deeper understanding of program impacts is gleaned by presenting themes and patterns that emerged from analysis of focus groups, looking first at personal impact and then impact on school and/or home. Selected quotes in the text illuminate these themes and patterns and provide detail and explanation to the reporting. Tables 3 through 5 present examples of all of the affective, behavioral, and cognitive themes for students, parents, and teachers that emerged from analyses of the transcriptions.
Table 3: Themes Illustrating Affective Impact of the Program on Participants
Table 4: Themes Illustrating Behavioral Impact of the Program on Participants
Table 5: Themes Illustrating Cognitive Impact of the Program on Participants
Personal Impact
In terms of affective response, we found that students expressed greater empathy and sympathy for victims of violence and greater understanding of the impact and nuances of violence. Behaviorally, they tended to be more motivated to intervene, particularly when other students were being bullied. Cognitively, they expressed having more tolerance for differences, were less judgmental of others, and had gained new perspectives about violence and a greater awareness of violence, especially related to their own experiences. One student shared,
The main reason that I wrote [my essay] was because my uncle was shot and killed only a couple of years earlier. So the violence affected me in a really big way. I really wanted to tell others on how that affects the family and mentally scar people that have had their loved ones taken away so terribly at such a young age.
Students also reported communicating more with peers and family members instead of reverting to violence. They were empowered in feeling they could make a difference, and had gained a greater sense of the complexity of what violence is all about.
Parents reported increased understanding of violence in general in their schools and communities. They had greater understanding and awareness of the specific impacts of violence on their children. As a result, they felt closer to their children and reported increased communication and improved relationships with them. Many of their responses used language that evoked "eye-opening" experiences, both affective and cognitive. In the words of one parent,
You know there are certain things going on, and you know it does impact your kids, but just to see how they can articulate about how they actually feel...you don't realize how much pressure a child can be under. Whether it's to fit in, or to get good grades, just a number of things. This has been an eye opener.
Teachers gained knowledge about their students that led to changes in their attitudes toward students and instruction. They used the program as a platform to discuss issues associated with violence. They also saw that their students had become more tolerant, less discriminatory, and less hostile toward others (e.g., gender orientation and racial differences). The discussions and writing activities gave them new insight in helping students take different perspectives. Through discussions and writing, they became aware of their students' naiveté that led to urgency for helping them open their eyes. As a result, they expressed greater understanding and compassion toward their students that allowed them to establish mutually trusting relationships. These themes are represented in one teacher's response to the question of personal impact:
I was really affected by what my students wrote about themselves. We live in a low socioeconomic area and my school has over eighty percent who get free and reduced lunch. I think ok, its poverty. It's tough. I had students write about people close to them being shot and killed, and it made me look and think. So my students are sitting here worried about how I make them learn about nouns and verbs and they are really thinking about who is in jail and who is dead. So it gave me a much wider perspective on my purpose as an English teacher. I adjust my focus and priorities in the classroom when I have so many students with real violence or bullying. How in depth do I get with my nouns and verbs and sentence structure you know? It really helped me to reprioritize. They are people, not just kids getting information in their heads.
In summary, participants' responses supported survey results, but also provided a more in-depth perspective on how the program had impacted them personally. Particularly noteworthy in these results was the experience of the teachers. Not only did they feel that they had improved relationships with their students, but they also had gained new insight into their teaching strategies and important outcomes for their students.
Impact on School/Home
Tables 6 through 8 present examples of all of the affective, behavioral, and cognitive themes for students, parents, and teachers that emerged from analyses of the transcriptions. Many of the students reported more positive behaviors, more positive attitudes towards peers and teachers, and more positive relationships with teachers, peers, and family. They expressed hope that those who cause violence could learn from how people feel and change their behaviors. They were more motivated to talk to their teachers and report violence, encouraging others to do the same. Some were also more willing to step up and intervene to help others, and to talk things out rather than reverting to violence. One student noted, "It's affected me because now instead of fighting I talk things out, and I don't resort to fighting anymore. Me and my mom talk about handling stuff in a different way. That's why I want to be a psychologist." On the other hand, some students reported that not much had changed as a result of participating in the program, and this finding was in line with survey results. Although students overall were positive about improved relationships in the surveys, they were less positive than parents and teachers.
Table 6: Themes Illustrating Affective Impact of the Program on the School or Home
Table 7: Themes Illustrating Behavioral Impact of the Program on the School or Home
Table 8: Themes Illustrating Cognitive Impact of the Program on the School or Home
Parents mostly addressed very positive changes in the home. They had become more aware of their child's concerns and needs. They expressed that communication with their child and their spouse had improved and they were working to become better parents. To illustrate, one parent shared this personal story:
It's definitely had an impact on my husband as well. He doesn't have a temper; he just has a weird man way of dealing with things. He's been more aware of how he actually relates to all of our children because of everything that has been going on in school. And him reading the essay, I think it brought out this extreme sense of pride in him that his son did that. Secondly, it kind of made him look at his son as more mature in his eyes. He's always been a straight A student, but his conduct when he went into the sixth grade went through the floor. But he is rebounding so it's been a good change, and I think this has actually allowed him to be able to take some personal accountability into a lot of things. For every little boy it's "I want my dad's approval." So, I think he feels he has that stamp and giving it to him he says, "Yes!"
Overall, parents felt that participation in DtWT had positively impacted their family and would like to see more schools and children involved in the program.
Some of the teachers saw greater tolerance and compassion in their students as a result of their discussions and essay writing. The following example is illustrative of comments about their students that we heard frequently:
I see more compassion on a personal level. It's kind of picking up on tolerance. They'll see an incident and they will step in or help out. They will just be more aware of when someone is hurting or when somebody is having trouble. They just seem to be more compassionate with each other.
Some also observed more healing and bonding in their students' families. They believed that DtWT provided a platform for recognition of students impacted by violence. Some also reported making changes in their teaching to begin early in discussing fears about violence and using writing as a preventive measure. Other teachers, like some of the students, did not see significant changes in their schools, but felt that it was due to insufficient time available for classroom writing and discussion activities.
To summarize, participants' responses supported survey results, but provided more in-depth perspective on how the program had impacted schools and/or homes. Specifically, level of impact appears to be related to the amount of time devoted to this project in the schools.
What Were Participants Doing to Address Violence?
Survey Results
Although survey questions did not address specific actions being taken to address violence, three questions assessed participants' commitment to reduce violence (see Table 2). All three groups were very positive about making a continued commitment to reduce violence, with all means above 5. The groups were similar, but parents were significantly more positive than students.
Findings From Focus Groups
Tables 9 through 11 present examples of all of the affective, behavioral, and cognitive themes for students, parents, and teachers that emerged from analyses of the transcriptions. Students communicated a new found awareness that they could do things differently rather than resort to violence. They were more often reporting bullying to teachers and other adults and were much more aware of the importance of doing so. Not only were they standing up for themselves as they gained confidence, but they were also reaching out to kids who didn't have friends and were often bullied. They reported defending and protecting these kids and trying to stop fights. One student shared this story:
My friend, she wasn't literally bullied, but she was just being teased by another person in my class and she was kind of annoyed by it, and sometimes when you are annoyed, you can't hide your emotions, so she was tearing up and I said, "Come here." I put her face in my shoulder. So when someone is sad, you should give them your shoulder to cry on and support them. I said, "It's going to be ok. I still love you. Don't worry about it."
Some of the students were also participating in other various antiviolence initiatives such as wearing bracelets (e.g., "Be a Buddy, Not a Bully") or t-shirts (e.g., "Be Kind").
Table 9: Themes Illustrating Affective Impact Related to Actions
Table 10: Themes Illustrating Behavioral Impact Related to Actions
Table 11: Themes Illustrating Cognitive Impact Related to Actions
Parents reported monitoring their children more closely in their neighborhoods to see what they were doing. They were involved in activities such as church programs that teach kids how to intervene for others. Many reported an interest in creating projects to help kids with problems related to violence but had not yet done so. Most of the responses, however, addressed more subtle differences in the way they talk with their children. For example,
I've been trying to voice more to my children to be more of a voice for others. They've raised concern about what if it comes back to me. I said well you still need to speak up. You still need to call it out. Bullies do not like to be called out. They do not like to be called a bully. It's really helped them break out of their shell, and to build a safe harbor of friends and teachers and a network of people, and I can bring that home too. I tell them, "Whatever happens in the world, you can always come home and it's a safe harbor. I will be here."
Teachers reported that they were integrating DtWT activities with other related programs in their schools. They were bringing up issues associated with bullying and violence in their classroom activities and discussions throughout the year and helping their students make connections to the classroom curriculum. An example of this was offered by a social studies teacher:
Do the Write Thing provides a platform upon which teachers can discuss some of these issues in class. Even in a history class, we get into issues involving racism and attitudes involving other people. It's one of the major issues things we try to stress. At least I try to stress in my interpretation of history is tolerance versus intolerance. When we talk about the different kinds of movements in history, religious intolerance, racial intolerance, you can talk about the puritans, and the movements and history involving that. So, there is always room, I think, in almost any subject to bring those issues up.
They found that they were more closely monitoring student behavior regarding bullying and teaching their students not to be bystanders. On a personal level, they had become much more aware of having to model good behavior and teach values concerning interpersonal behaviors.
In summary, participants had made subtle but important changes in their own behaviors and their behaviors toward others as a result of increased awareness about violence. The most significant changes appeared to come from teachers, who changed behaviors such as monitoring students more closely in addition to changing their teaching activities. Because data was collected only a few months after the program was implemented in the schools, participants did not report being engaged in formal follow-up activities but some expressed interest in doing so.
What Were Participants' Recommendations for Continuing Efforts to Reduce Violence?
Several strong and consistent themes for recommendations emerged from all three groups of participants, with a majority of comments focused primarily on ways to expand and support the program. First, was the recommendation to "get the word out" to increase awareness of DtWT through enhanced publicity efforts in schools, homes, and communities. In the schools, participants noted that the program should include a broader range of students and activities to infuse and integrate it throughout the school curriculum, as well as to coordinate with other antiviolence or bullying initiatives. Students suggested expanding the expressive writing activity to include other artistic modalities, such as making videos, writing songs, or creating art projects, to generate more interest among students who are allowed to opt out of writing essays. Teachers specifically requested support for expanding and sharing additional curriculum resources and lesson plans. All of the participant groups believed it was important to expand the program not only in schools but also to extend it to increase parent involvement, as well as broadening community involvement. A frequent suggestion for program expansion was to add follow-up activities requiring ambassadors and semifinalists from each city to become active violence-prevention leaders in their schools and communities. Interestingly, the student ambassadors as well as teachers and parents attending National Recognition Week recommended that all participants in the program be acknowledged and congratulated through increased opportunities for recognition of participation. Of course all of these recommendations require increased resources, and participants almost unanimously recommended that more resources be provided to support these expansion efforts.
Discussion
Given the numbers of students who have experienced and/or witnessed violence and the negative impacts of violence on their lives, it is imperative that schools take action through antiviolence programs and that these programs be examined for effectiveness. Although DtWT has been in existence for 20 years, little formal research has been conducted to systematically examine its impact on participants.
The first research question addressed students' motivation for writing essays. We were very encouraged that the most motivating factor for students was trying their best, followed by participating in classroom discussions about violence, a core element of the program. These results imply that the rewards for addressing issues of violence were more intrinsic than extrinsic (e.g., winning a "prize" in an essay competition) suggesting altruistic motives. Such motives are likely to be more sustainable and useful over time to facilitate ongoing efforts toward violence prevention. The least motivating factor was self-efficacy for writing, suggesting that the writing aspect of the program could be emphasized, so as to increase student's confidence and competence in writing, especially if writing has therapeutic importance. Together, these results suggest there is value in future research exploring how the program can enhance specific elements to influence students' motivation for writing their essays.
The second research question addressed the program's impact on individuals, schools, and families. Among the most salient outcomes were improved relationships between students and their peers, their teachers, and their family members as reflected in the surveys, as well as in the focus group themes of communication, support, tolerance, and perspective. Communication and building relationships between students and teachers are essential elements of DtWT which are crucial in the development of attachment and respect, each of which have been shown to affect aggression (Mayseless & Scharf, 2011; Mikulincer & Shaver, 2011). Thus, in future research, it would be worthwhile to examine in depth how the program facilitates and improves relationships and the impact of those changes in changing the culture of violence in schools and home.
One of the primary goals of DtWT is to help students understand the causes and impact of violence to help them take personal responsibility for reducing violence. This outcome was reflected in the surveys with very high mean responses to the empathy scale, as well as focus group themes of empathy, sympathy, support, tolerance, perspective, and complexity. Another important impact of the program was change and motivation to change, which was observed in the positive responses to the survey scale of commitment to address violence and throughout the focus groups. Many students reported that with increased understanding of their classmates' experiences with violence, they are responding differently or at least have the intention of responding differently when they know someone is being bullied or otherwise experiencing unfortunate incidents with violence. Some also reported changing their own behaviors when they were angry or engaged in bullying themselves. According to the reasoned action approach to behavior change (Fishbein & Ajzen, 2010), an individual's intention to perform any given behavior is influenced by (a) the individual's attitude toward the outcome of a behavior, (b) the expectation to perform that behavior based on the normative expectations of relevant peers, and (c) the person's perceived capability (i.e., efficacy) to perform the behavior. Thus, it would be enlightening to examine the specific effects of DtWT program activities (e.g., discussion and writing) and cognitive outcomes (e.g., improved understanding, empathy, sympathy, and tolerance) on attitudes toward violence/ violence prevention, expectations of relevant peer groups regarding violence/violence prevention, participants' beliefs about their abilities to act to prevent violence, participants' intentions/commitments to act to prevent violence, and actual efforts enacted following participation. Exploring these dynamics can lend depth of insight to the existing research on school-based interventions and offer suggestions to improve the behavioral outcomes of DtWT and other violence prevention programs.
Perhaps the most meaningful and potentially long lasting impact was that teachers have changed their teaching as a result of participating in DtWT. Examples of these changes included individualizing instruction or making accommodations for certain students, as well as infusing learning activities related to violence throughout the school year. This is an important outcome because research has revealed that students are more likely to be favorable toward seeking help for bullying and threats of violence when they perceive teachers and staff to be supportive (Eliot et al., 2010). Research on school-based interventions has not typically addressed teachers' instructional practices as an outcome of the programs, but additional research should do so. For example, it would be informative to determine the elements of teaching (e.g., instructional practices, curriculum content, student-teacher relationships, etc.) that are most effective for reducing violence. Another important avenue to explore is teachers' beliefs about their roles in helping students address and reduce violence. Research has clearly established that teachers' beliefs influence their teaching practice (Fives & Buehl, 2012). In addition, research on conceptual change and teacher efficacy implies that to be effective in this program, teachers must believe they can play an important role in helping students deal with violence (Turner, Warzon, & Christensen, 2011), and they must believe that they are capable of doing so (Gregoire, 2003; Woolfolk Hoy, Davis, & Pape, 2006).
In addition to the positive impacts identified above, there were also some inconsistent and mixed results on program impact, similar to previous research studies on school-based interventions (Fagan & Catalano, 2012; Ttofi & Farrington, 2011). Although we obtained strong evidence of positive outcomes for many participants, some students and teachers reported a lack of change in their classrooms and schools. In most of these cases, they also indicated that insufficient time and resources had been devoted to the program. Given the previous research findings showing that longer term and more intense interventions are more effective (Ttofi & Farrington, 2011), it is not surprising that the program had less impact in schools that devoted less time to the program activities. Participants recognized that more time and resources for DtWT activities would be needed to fully realize the potential for this program and recommended such.
The third research question asked participants what they were doing specifically to reduce violence. All three groups of participants reported some specific actions they had started taking or changes they had made as a result of the program. Students offered numerous examples of changes in the way they understood and related to their peers, as well as reporting incidents. Others stated their intentions for changing the way they acted, but did not offer specific actions they had already taken. Parents noted differences in understanding, talking, and monitoring their children; some of the responses also referred to intentions to take action but participants had not yet done so. Teachers offered numerous ways in which they had made changes in their teaching. On the other hand, most participants did not report taking specific steps to become involved in activities involving the broader community, which is one of the five DtWT program elements. Because the National Recognition Week took place only 2 months after ambassadors were selected, it is possible that not enough time had passed to initiate follow-up activities. Nonetheless, these mixed results suggest the need for careful attention to fidelity of program implementation, specifically addressing activities involving the larger community. A strong theme in participants' recommendations for the program was the need for providing resources to support this type of involvement with the community, leading to the fourth research question.
In response to the fourth research question concerning participants' recommendations for the program, responses reflected how highly participants valued the program and the opportunities it had provided, while also suggesting they were very aware of the need for additional resources and expanded activities to realize its full potential. Based on the research identifying effective elements of bullying interventions, additional resources could be used to lengthen the program and to institute parent involvement through training and meetings. These enhancements are supported by Epstein and Sheldon's (2006) work, which emphasizes the need for collaborative relationships of parents, educators, and community partners to identify common goals for students' academic achievement and to appreciate each other's contribution to student development. In addition, teachers could be
supported with the development of additional instructional resources such as videos and cooperative activities that have been shown to be effective (Ttofi & Farrington, 2011).
In summary, results provide support for the realization of three of the five elements of DtWT, namely writing essays about violence, creating open lines of communication between students and teachers, and providing schools with information from students' essays not otherwise readily available. Results were less clear for the element of students accepting personal responsibility for saying no to violence. Future research should focus on measuring observable impacts on students' behaviors, incidents of bullying/violence, school climate, and longer term outcomes. The fifth program element is giving students the opportunity to share their ideas and solutions with community members and policy makers (e.g., elected officials, family court judges, business leaders, etc.). Although a few participants mentioned these activities, the evidence regarding opportunities to engage the community was not compelling.
This study had several limitations. First, the sample was limited to participants who were selected to attend National Recognition Week in Washington DC which may not be representative of everyone who was involved in DtWT activities during the school year. They may be biased toward having more positive attitudes toward the program. In addition, we did not have specific information about how the program had been implemented in each of the students' participating schools, so we were not able to interpret our results in relation to specific program implementation, beyond selfreports of the participants. Third, we were unable to administer pre- and postmeasures of outcomes, so inferences about change are based on self-reports of the participants. In spite of these limitations, the mixed methods used in this study provide compelling and important evidence for the value of this large-scale program and the potential benefits of expanding it and infusing additional resources.
In addition to specific recommendations for future research already mentioned, there is clearly a need for large-scale research to be conducted in the schools. An important and potentially fruitful direction for future research is to pursue a deeper understanding of the effects of writing, including the types and content of that writing, on students' experiences with violence and their intentions and efforts to prevent violence. Specifically, how does discussion and writing about their experiences with violence affect (a) students' attitudes about violence and aggressive behaviors, (b) perceived group norms around aggressive and violent behaviors, and (c) perceived ability to control aggressive or violent behaviors of self or others? If proven beneficial to influence these factors, it would provide support for expanding the writing component of this program.
The reasoned action approach (Fishbein & Ajzen, 2010) also indicates that there may be factors, not under a person's immediate volitional control, that could prohibit action, even if intentions to do so are strong. Thus, a second significant area of research would be to explore specific external barriers (e.g., school policies, lack of support, parental attitudes, access to resources, limited repertoires of behavioral skills, etc.) to violence prevention action faced by DtWT participants, which could lead to identification and development of additional tools needed to facilitate engagement in violence prevention activities. Although such barriers and possible remedies may be situation specific, identification of general patterns could be useful.
Finally, using a variety of research methods can provide unique but complementary insights. In addition to well-controlled quantitative studies focused on outcome data, methods such as comprehensive program evaluations, qualitative methods such as case studies and ethnographies, and replications across diverse populations would lend deeper insight into the effectiveness of violence prevention efforts.
References
Armsworth, M. W., & Holaday, M. (1993). The effects of psychological trauma on children and adolescents. Journal of Counseling & Development, 72, 49–56.
Beck, A. B. (2013). An econometric analysis of anti-bullying program factors on bullying in public American middle schools and high schools. Undergraduate Economic Review, 9, 1–12.
Crooks, C. V., Scott, K., Ellis, W., & Wolfe, D. A. (2011). Impact of a universal school-based violence prevention program on violent delinquency: Distinctive benefits for youth with maltreatment histories. Child Abuse & Neglect, 35, 393–400. doi:10/1016/j.chiabu.2011.03.002
Eliot, M., Cornell, D., Gregory, A., & Fan, X. (2010). Supportive school climate and student willingness to seek help for bullying and threats of violence. Journal of School Psychology, 48, 533–553. doi:10.1016/j.jsp.2010.07.001
Epstein, J. L., & Sheldon, S. B. (2006). Moving forward: Ideas for research on school, family, and community partnerships. In C. F. Conrad & R. C. Serlin (Eds.), The SAGE handbook for research in education (pp. 117–137). Thousand Oaks, CA: Sage.
Fagan, A. A., & Catalano, R. F. (2012). What works in youth violence prevention: A review of the literature. Research on Social Work Practice, 23, 141–156. doi:10/1177/1049731512465899
Farrell, A. D., Mehari, K. R., Kramer-Kuhn, A. M., Mays, S. A., & Sullivan, T. N. (2015). A qualitative analysis of factors influencing middle school students' use of skills taught by a violence prevention curriculum. Journal of School Psychology, 53, 179–194. doi:10/1016/j.jsp.2015.03.991
Fingar, K. R., & Jolls, T. (2014). Evaluation of a school-based violence prevention media literacy curriculum. Injury Prevention, 20, 183–190. doi:10.1136/injuryprev-2013-040815
Finkelhor, D., Turner, J., Ormrod, R., Hamby, S., & Kracke, K. (2009, October). Children's exposure to violence: A comprehensive national survey. Juvenile Justice Bulletin, Office of Juvenile Justice and Delinquency Prevention. Washington, DC: U.S. Department of Justice. Retrieved from www.ojp.usdoj.gov
Fishbein, M., & Ajzen, I. (2010). Predicting and changing behavior: The reasoned action approach. New York, NY: Psychology Press.
Fives, H., & Buehl, M. M. (2012). Spring cleaning for the "messy" construct of teachers' beliefs: What are they? Which have been examined? What can they tell us? In K. R. Harris, S. Graham, & T. Urdan (Eds.), APA educational psychology handbook: Vol. 2. Individual differences and cultural and contextual factors. Washington, DC: American Psychological Association.
Fowler, P. J., Tompsett, C. J., Braciszewski, J. M., Jacques-Tiura, A. J., & Baltes, B. B. (2009). Community violence: A meta-analysis on the effect of exposure and mental health outcomes of children and adolescents. Development and Psychopathology, 21, 227–259. doi:10.1017/S0954579409000145,
Giannotta, F., Settanni, M., Kliewer, W., & Ciairano, S. (2009). Results of an Italian school-based expressive writing intervention trial focused on peer problems. Journal of Adolescence, 32 1377–1389. doi:10.1016/j.adolescence.2009.07.001
Gregoire, M. (2003). Is it a challenge or a threat? A dual-process model of teachers' cognition and appraisal processes during conceptual change. Educational Psychology Review, 15, 147–179.
Holt, S., Buckley, H., & Whelan, S. (2008). The impact of exposure to violence on children and young people: A review of the literature. Child Abuse & Neglect, 32, 797–810. doi:10.1016/j.chiabu.2008.02.004
Hymel, S., & Swearer, S. M. (2015). Four decades of research on school bullying. American Psychologist, 70, 293–299. http://dx.doi.org/10.1037/a0038928
Jagers, R. J., Morgan-Lopez, A. A., Flay, B. R., & Aban Aya Investigators. (2009). The impact of age and type of intervention on youth behaviors. Journal of Primary Prevention, 30, 642–658. doi:10/1007/s10935-009-0200-1
Jaycox, L. H., McCaffrey, D., Eiseman, B., Aronoff, J., Shelley, G. A., Collins, R. L., & Marshall, G. N. (2006). Impact of a school-based dating violence prevention program among Latino teens: Randomized controlled effectiveness trial. Journal of Adolescent Health, 39, 694–704. doi:10.1016/j.jadohealth.2006.05.002
Kliewer, W., Lepore, S. J., Farrell, A. D., Allison, K. W., Meyer, A. L., Sullivan, T. N., & Greene, A. Y. (2011). A school-based expressive writing intervention for at-risk urban adolescents' aggressive behavior and emotional lability. Journal of Clinical Child & Adolescent Psychology, 40, 683–705. doi:10.1080/15374416.2011.597092
La Rue, L., Polanin, J. R., Espelage, D. L., & Pigott, T. D. (2016). A meta-analysis of school-based interventions aimed to prevent or reduce violence in teen dating relationships. Review of Educational Research. Advance online publication. doi:10.3102/0034654316632061
Margolin, G., & Gordis, E. (2000). The effects of family and community violence on children. Annual Review of Psychology, 51, 445–479.
Margolin, G., & Gordis, E. (2004). Children's exposure to violence in the family and community. Current Directions in Psychological Science, 13, 152–155.
Mayseless, O., & Scharf, M. (2011). Respecting others and being respected can reduce aggression in parent-child relations and in schools. In P.R. Shaver & M. Mikulincer (Eds.) Human aggression and violence: Causes, manifestations, and consequences (pp. 277–294). Washington, DC: American Psychological Association.
McDougall, P., & Vaillancourt, T. (2015). Long-term adult outcomes of peer victimization in childhood and adolescence. American Psychologist, 70, 300–310. doi:10.1037/a0039174
McWhirter, J. J., McWhirter, B. T., McWhirter, E. H., & McWhirter, R. J. (2013). At risk youth: A comprehensive response for counselors, teachers, psychologists, and human service professionals (5th ed.). Belmont, CA: Brooks Cole.
Mikulincer, M., & Shaver, P. R. (2011). Attachment, anger, and aggression. In P. R. Shaver & M. Mikulincer (Eds.), Human aggression and violence: Causes, manifestations, and consequences (pp. 241–257). Washington, DC: American Psychological Association.
National Education Association. (2012, October 8). Nation's educators continue push for safe, bullyfree environments. Retrieved from http://www.nea.org/home/53298.htm
Shank, G. (2002). Qualitative research: A personal skills approach. Upper Saddle River, NJ: Merrill Prentice Hall.
Shuval, K., Pillsbury, C. A., Cavanaugh, B., McGruder, L., McKinney, C. M., Massey, Z., & Groce, N. E. (2010). Evaluating the impact of conflict resolution on urban children's violence-related attitudes and behaviors in New Haven, Connecticut, through a community-academic partnership. Health Education Research, 25, 757–768. doi:10.1093/her/cyq030
Ttofi, M. M., Bowes, L., Farrington, D. P., & Losel, F. (2014). Protective factors interrupting the continuity from school bullying to later internalizing and externalizing problems: A systematic review of prospective longitudinal studies. Journal of School Violence, 13, 5–38. doi:10.1080/15388220.2013.857345
Ttofi, M. M., & Farrington, D. P. (2011). Effectiveness of school-based programs to reduce bullying: A systematic and meta-analytic review. Journal of Experimental Criminology, 7, 27–56. doi:10.1007/s10935-009-0200-1
Turner, J. C., Warzon, K. G., & Christensen, A. (2011). Motivating mathematics learning: Changes in teachers' practices and beliefs during a nine-month collaboration. American Educational Research Journal, 48, 718–761.
Woolfolk Hoy, A., Davis, H., & Pape, S. J. (2006). Teacher knowledge and beliefs. In P. Alexander & P. Winne (Eds.), Handbook of educational psychology (2nd ed.). Mahway, NJ: Lawrence Erlbaum.
Zona, K., & Milan, S. (2011). Gender differences in the longitudinal impact of exposure to violence on mental health in urban youth. Journal of Youth and Adolescence, 40, 1674–1690. doi:10.1007/s10964-011-9649-3
Zucker, M., Spinazzola, J., Pollack, A. A., Pepe, L., Barry, S., Zhang, L., & Van der Kolk, B. (2010). Getting teachers in on the act: Evaluation of a teacher- and classroom-based youth violence prevention program. Journal of School Violence, 9, 117–135. doi:10.1080/15388220903479628
The Journal of Educational Research and Practice provides a forum for studies and dialogue that allows readers to better develop social change in the field of education and learning. Journal content may focus on educational issues of all ages and in all settings. It also presents peer-reviewed commentaries, book reviews, interviews of prominent individuals, and additional content. The objectives: We publish research and related content that examines current relevant educational issues and processes aimed at presenting readers with knowledge and showing how that knowledge can be used to impact social change in educational or learning environments. Additional content provides an opportunity for scholarly and professional dialogue regarding that content's usefulness in expanding the body of scholarly knowledge and increasing readers' effectiveness as educators. The journal also focuses on facilitating the activities of both researcher-practitioners and practitioner-researchers, providing optimal opportunities for interdisciplinary and collaborative thought through blogging and other communications.
Walden University Publishing: http://www.publishing.waldenu.edu
|
State of California Department of Food and Agriculture CalCannabis Cultivation Licensing Division
CDFA-LIC-001 (04/12/2018)
Cannabis Cultivation Annual License Application
CalCannabis Cultivation Licensing (CalCannabis), a Division of the California Department of Food and Agriculture (CDFA), is responsible for issuing licenses for commercial cultivation of cannabis in the State of California. Any person or entity who wishes to engage in commercial cannabis cultivation must submit an application package, which includes a completed application form, all required documentation and a non-refundable application fee. Once your application is approved, you will need to submit payment for your annual license fee in order for your license to be issued.
This document is intended to provide instructions for applying for commercial cannabis cultivation licenses in the State of California and does not provide information on industrial hemp production or non-commercial cultivation.
Completion of this application does not grant rights or impose obligations. Please reference California statutes and regulations for all licensing requirements.
Cannabis is a Schedule I drug according to the federal Controlled Substances Act. Cannabis related activity is subject to federal prosecution, regardless of the protections provided by state law.
Information provided on this application will be entered into the CalCannabis Licensing System and may be subject to disclosure as required by any federal, state, or local laws, rules, or regulations, including, but not limited to, the California Public Records Act (Government Code section 6250 et seq.).
For more information on CDFA's CalCannabis Cultivation Licensing program, please visit: calcannabis.cdfa.ca.gov.
For California Legislative Information, please visit: leginfo.legislature.ca.gov.
CDFA-LIC-001 (04/12/2018)
Page 1
SECTION A – APPLICATION TYPE (Check Only One Per Application)
□ Medicinal Cannabis Cultivation
TEMPORARY LICENSE ID NUMBER (IF APPLICABLE):
□ Adult-Use Cannabis Cultivation
TEMPORARY LICENSE ID NUMBER (IF APPLICABLE):
□ Renewal (Not available until January 2019)
CURRENT CULTIVATION LICENSE NUMBER:
CURRENT LICENSE EXPIRATION DATE:
□ Update to License Information
CURRENT CULTIVATION LICENSE NUMBER:
CURRENT LICENSE EXPIRATION DATE:
SECTION B – LICENSE TYPES AND APPLICATION FEES (Check Only One Per Application)
License Types
Current Application Fees
Specialty Cottage Outdoor
$135
Specialty Cottage Indoor
$205
Specialty Cottage Mixed-Light Tier 1
$340
Specialty Cottage Mixed-Light Tier 2
$580
Specialty Outdoor
$270
Specialty Indoor
$2,170
Specialty Mixed-Light Tier 1
$655
Specialty Mixed-Light Tier 2
$1,125
Small Outdoor
$535
Small Indoor
$3,935
Small Mixed-Light Tier 1
$1,310
Small Mixed-Light Tier 2
$2,250
Medium Outdoor
$1,555
Medium Indoor
$8,655
Medium Mixed-Light Tier 1
$2,885
Medium Mixed-Light Tier 2
$4,945
Nursery
$520
Processor
$1,040
CDFA-LIC-001 (04/12/2018)
Page 2
Page 2
SECTION C
C.1 – BUSINESS ENTITY STRUCTURE (Check Only One Per Application)
Corporation
Limited Liability Company (LLC)
Sovereign Entity
General Partnership
Limited Liability Partnership (LLP)
Sole Proprietorship (Individual)
Joint Venture
Limited Partnership
Trust
Other (Specify Entity Structure):
Is this applicant business entity a foreign corporation?
□ No
□ Yes
REQUIRED ATTACHMENT:
Foreign Corporation’s certificate of qualification issued by the California Secretary of State pursuant to section 2105 of the Co r p o ra t io n s Code.
Is this applicant business entity a cannabis cooperative association as defined in Chapter 22 of the Business and Professions Code?
□ No
□ Yes (If yes, please provide the information below)
NAME OF CANNABIS COOPERATIVE ASSOCIATION:
REQUIRED ATTACHMENT:
List of members of the cannabis cooperative association
C.2 – BUSINESS INFORMATION
LEGAL BUSINESS NAME:
LAST NAME (SOLE PROPRIETORSHIP ONLY):
FIRST NAME (SOLE PROPRIETORSHIP ONLY):
BUSINESS TITLE (SOLE PROPRIETORSHIP ONLY):
TAXPAYER IDENTIFICATION NUMBER:
□ SSN/ITIN
□ EIN
□ NIN
MAILING ADDRESS:
CITY:
STATE:
ZIP CODE:
COUNTY:
COUNTRY:
PHONE NUMBER:
EMAIL ADDRESS:
CDTFA SELLER'S PERMIT NUMBER:
SECRETARY OF STATE REGISTRATION ENTITY ID:
CDFA-LIC-001 (04/12/2018)
Page 3
Page 3
C.3 – STATE ISSUED CANNABIS LICENSES
NOTE: The applicant entity must identify all other state-issued commercial cannabis licenses already held by the applicant entity. If more space is needed, please attach additional pages.
LEGAL BUSINESS NAME
TYPE OF LICENSE
LICENSE NUMBER
ISSUED BY
DATE INTEREST OBTAINED
C.4 – DESIGNATED RESPONSIBLE PARTY INFORMATION
NOTE: The Designated Responsible Party must be an owner with legal authority to bind the entity.
LEGAL LAST NAME:
LEGAL FIRST NAME:
BUSINESS TITLE:
MAILING ADDRESS:
CITY:
STATE:
ZIP CODE:
COUNTY:
PHONE NUMBER:
E-MAIL ADDRESS:
PREFERRED METHOD OF CONTACT:
Standard Mail
E-mail
C.5 – AGENT FOR SERVICE OF PROCESS
NOTE: An individual who resides in California or a corporation designated to accept service of process (court papers) on behalf of the licensee.
LEGAL LAST NAME:
LEGAL FIRST NAME:
MAILING ADDRESS:
CITY:
STATE:
ZIP CODE:
PHONE NUMBER:
EMAIL ADDRESS:
CDFA-LIC-001 (04/12/2018)
Page 4
Page 4
SECTION D
D.1 – OWNER(S) INFORMATION
NOTE: List the names of all owners/associated businesses below. If there are multiple owners, please attach additional pages of Section D.
OWNER’S LEGAL L A ST NA ME:
OWNER'S LEGAL FIRST NAME:
LEGAL BUSINESS NAME (IF APPLICABLE):
EIN (FOR BUSINESS AGGREGATE OWNERSHIP INTEREST):
BUSINESS TITLE:
DATE OF BIRTH:
LIVE SCAN ATI NUMBER:
GOVERNMENT ISSUED ID NUMBER:
CA STATE
OTHER
TAXPAYER IDENTIFICATION NUMBER:
□ SSN
□ ITIN
□ NIN
DATE OWNER ACQUIRED INTEREST:
HOME ADDRESS:
CITY:
ZIP CODE:
STATE:
PHONE NUMBER:
COUNTY:
PERCENTAGE OF OWNERSHIP (%):
E-MAIL ADDRESS:
D.2 – OWNER CANNABIS FINANCIAL INTERESTS
NOTE: All state issued cannabis license(s) the owner holds an ownership or financial interest in must be disclosed to the Department. If more space is needed, please attach additional pages.
TYPE OF LICENSE
LICENSE NUMBER
ISSUED BY
| TYPE OF LICENSE | LICENSE NUMBER | ISSUED BY |
|---|---|---|
CDFA-LIC-001 (04/12/2018)
Page 5
Page 5
D.3 – OWNER DISCLOSURES
Yes No
1. Have you ever been convicted of or entered a plea of guilty or nolo contendere to any misdemeanor
or felony in the United States or a foreign country? If yes, please complete the Criminal Conviction
Disclosure Form (CDFA Form CDFA-LIC-004).
2. Have you had a license sanctioned, suspended, or revoked in the past three years by a licensing
authority, a city, county, or city and county for unauthorized commercial cannabis activities?
3. Have you been subject to fines, penalties, or otherwise been sanctioned for cultivation or production
of a controlled substance on public or private lands pursuant to section 26057 of the Business and
Professions Code?
4. Have you ever had a commercial cannabis license or other professional license suspended,
revoked, or denied, or otherwise subject to discipline or fine by this state or elsewhere (i.e., other
U.S. state, U.S. territory, agency of the federal government, or other country)?
D.4 – OWNER REQUIRED ATTACHMENTS
□ Copy of each owner’s government-issued identification.
□ Copy of each owner’s completed application for electronic fingerprint images submitted to the Department of Justice.
If applicable:
□ History of convictions if indicated in Section D.3.
□ Evidence of dismissal under section 1203.4, 1203.4a, and 1203.41 of the Penal Code or another state’s similar law.
□ Certificate of rehabilitation under section 4852.01 of the Penal Code and dated letters of reference.
□ A statement of rehabilitation for each conviction, including any documentation to support rehabilitation.
D.5 – OWNER DECLARATIONS
1. I am responsible for knowing and complying with all California state laws and regulations applicable to commercial cannabis cultivation, including but not limited to Medicinal and Adult Use Cannabis Regulation and Safety Act and Title 3, Division 8, Chapter 1 of the California Code of Regulations. I understand I am responsible for compliance with subsequent updates to cannabis cultivation laws and regulations.
2. I hereby declare the information contained within and attached to this application is complete, true, and accurate. I understand a misrepresentation of fact is cause for rejection of this application, denial of the license, or revocation of an issued license.
Print Name:
Owner Signature:
Date:
CDFA-LIC-001 (04/12/2018)
Page 6
Page 6
SECTION E E.1 – PREMISES INFORMATION
NOTE: If multiple Premises Addresses, APNs, and/or property ownership types are used, please attach additional pages.
PREMISES PHYSICAL ADDRESS:
CITY:
STATE:
ZIP CODE:
COUNTY:
ASSESSOR PARCEL NUMBER (APN):
DATE OF INITIAL OPERATION:
By checking this box, the business acknowledges all required records identified by the licensing authorities shall be kept on the premises of the location seeking licensure.
PROPERTY OWNERSHIP TYPE:
Own
REQUIRED ATTACHMENT:
A copy of the title or deed to the property.
Rent/Lease
REQUIRED ATTACHMENT:
(1) A document from the property owner or property owner’s agent where the commercial cannabis activity will occur that states the applicant has the right to occupy the property and acknowledges that the applicant may use the property for commercial cannabis cultivation.
(2) A copy of the lease or rental agreement, or other contractual documentation.
PROPERTY OWNER'S MAILING ADDRESS:
PROPERTY OWNER'S PHONE NUMBER:
Other
REQUIRED ATTACHMENT:
(1) A document from the property owner or property owner’s agent where the commercial cannabis activity will occur that states the applicant has the right to occupy the property and acknowledges that the applicant may use the property for commercial cannabis cultivation.
(2) A copy of the lease or rental agreement, or other contractual documentation.
PLEASE DESCRIBE IN DETAIL:
PROPERTY OWNER'S MAILING ADDRESS:
PROPERTY OWNER'S PHONE NUMBER:
CDFA-LIC-001 (04/12/2018)
Page 7
Page 7
E.2 – SOURCE OF WATER SUPPLY
NOTE: Required for all license types. Check all applicable water supply sources for cultivation. If more space is needed, please attach additional pages.
□ Retail Water Supplier
NAME OF RETAIL WATER SUPPLIER:
□ Small Retail Water Supplier – Delivery or Pickup from a Surface Waterbody or Underground Stream
NAME OF RETAIL WATER SUPPLIER UNDER CONTRACT:
POINT OF DIVERSION GEOGRAPHIC LOCATION COORDINATES (LATITUDE AND LONGITUDE):
AUTHORIZED PLACE OF USE FOR WATER RIGHT USED BY THE SUPPLIER:
MAXIMUM AMOUNT OF WATER DELIVERED (GALLONS) IN ANY ONE YEAR:
□ Small Retail Water Supplier – Delivery or Pickup of Water from a Groundwater Well
NAME OF RETAIL WATER SUPPLIER UNDER CONTRACT:
GROUNDWATER WELL'S GEOGRAPHIC LOCATION COORDINATES (LATITUDE AND LONGITUDE):
MAXIMUM AMOUNT OF WATER DELIVERED (GALLONS) IN ANY ONE YEAR:
REQUIRED ATTACHMENT:
□ A copy of the well log filed with the Department of Water Resources for each percolating groundwater well used to divert water delivered to the business. If no well log is available, provide evidence from the Department of Water Resources indicating that the Department does not have a record of the well log.
□ Groundwater Well
GROUNDWATER WELL'S GEOGRAPHIC LOCATION COORDINATES (LATITUDE AND LONGITUDE):
REQUIRED ATTACHMENT:
□ A copy of the well log filed with the Department of Water Resources. If no well log is available, provide evidence from the Department of Water Resources indicating that the Department does not have a record of the well log.
□ Rainwater Catchment System
TOTAL SQUARE FOOTAGE OF CATCHMENT FOOTPRINT AREA(S):
TOTAL STORAGE CAPACITY (IN GALLONS):
DETAILED DESCRIPTION OF TYPE, NATURE, AND LOCATION OF EACH CATCHMENT SURFACE:
□ Diversion from Waterbody
STATEMENT/APPLICATION/PERMIT/LICENSE/ SMALL IRRIGATION USE REGISTRATION IDENTIFICATION NUMBER(S):
REQUIRED ATTACHMENT:
Choose one of the following required attachments:
□ A copy of any applicable registrations, permits, or licenses or proof of a pending application, issued under sections commencing with section 1200 of the Water Code as evidence of approval of a water diversion by the State Water Resources Control Board;
□ A copy of any statements of diversion and use filed with the State Water Resources Control Board before October 31, 2017 detailing the water diversion and use;
□ A copy of documentation submitted to the State Water Resources Control Board before October 31, 2017 demonstrating that the diversion is authorized under a riparian right and that no diversion occurred in any calendar year between January 1, 2010 and January 1, 2017; or
□ A copy of the documentation submitted to the State Water Resources Control Board before January 1, 2019, demonstrating that the diversion is subject to section 5101 of the Water Code.
CDFA-LIC-001 (04/12/2018)
Page 8
Page 8
E.3 – POWER SOURCE
NOTE: For Indoor and Mixed-Light only. Check all that apply.
□ Grid
□ Solar
□ Generator – Rated 50 HP and Greater
□ Generator – Rated Under 50 HP
□ Other:
SECTION F – LOCAL AUTHORIZATION
Local Authority Type:
□ City
□ County
□ City and County
LOCAL AUTHORITY NAME (OPTIONAL):
LOCAL AUTHORIZATION NUMBER (OPTIONAL):
EXPIRATION DATE (OPTIONAL):
LOCAL AUTHORITY ADDRESS (OPTIONAL):
CITY (OPTIONAL):
STATE (OPTIONAL):
ZIP CODE (OPTIONAL):
COUNTY (OPTIONAL):
PHONE NUMBER (OPTIONAL):
SECTION G – APPLICATION ATTACHMENTS
NOTE: See instructions for required detailed information based on license type.
□ Surety Bond evidence in the amount of no less than $5,000, payable to the Department
□ Property ownership documentation or proof of the legal right to occupy and use the property for cultivation activities
□ Cultivation Plan – Premises Diagram
□ Cultivation Plan – Property Diagram
□ Cultivation Plan – Waste Management Plan
□ Evidence of enrollment with the applicable Regional Water Quality Control Board or State Water Resources Control Board for water quality protection or written verification from the appropriate Board that enrollment is not necessary
□ Copy of any final lake or streambed alteration agreement issued by the California Department of Fish and Wildlife, pursuant to sections 1602 or 1617 of the Fish and Game Code or written verification from the Department of Fish and Wildlife that a lake and streambed alteration agreement is not required
□ Hazardous materials record search of the EnviroStor database for the proposed premises
□ Compliance with the California Environmental Quality Act (CEQA)
□ Complete list of financial interest holders
If applicable:
□ Cultivation Plan – Lighting Diagram
□ Cultivation Plan – Pest Management Plan
□ List of members of the cannabis cooperative association
□ Documents filed with the California Secretary of State
□ Foreign Corporation’s certificate of qualification issued by the California Secretary of State pursuant to section 2105 of the Business and Professions Code
□ Source of Water Supply Document(s) as indicated in Section E.2
□ Well Log or evidence from the Department of Water Resources indicating that the Department does not have a record of the well log
□ Priority Review - Evidence of compliance with the Compassionate Use Act of 1996 before September 1, 2016
CDFA-LIC-001 (03/08/2018)
CDFA-LIC-001 (04/12/2018)
Page 9
Page 9
□ Limited Waiver of Sovereign Immunity
□ Local Jurisdiction Authorization, such as a copy of the permit, license, or other authorization
□ CDTFA Permit Waiver
SECTION H – DISCLOSURES AND DECLARATIONS
H.1 – DISCLOSURES
Yes No
Does the business hold an ownership interest in real property, personal property, or other assets associated with, or used in, any commercial cannabis testing laboratory license types as defined in
section 26053 of the Business and Professions Code?
Has the business had a license sanctioned, suspended, or revoked in the past three years by a
licensing authority, a city, county, orcityand county for unauthorized commercial cannabis activities?
Do you have any documented conduct that constitutes grounds for denial of licensure pursuant to
Chapter 2 commencing with section 480 of the Business and Professions Code or discipline of a license
pursuant to Chapter 3 commencing withsection 490 of the Business and Professions Code?
Has the business or any of its officers or directors, been subject to fines, penalties, or otherwise been sanctioned for cultivation or production of a controlled substance on public or private lands pursuant to
section 26057 of the Businessand ProfessionsCode?
H.2 – DECLARATIONS
The date operations began is complete, true, and accurate.
The license type being requested is valid only for the premises location.
The cultivation premises location is located beyond at least a 600-foot radius from a prohibited location (including but not limited to schools, day care centers, and youth centers) or another radius specified, as required by section 26054 of the Business and Professions Code.
The business is an “agricultura l e m p lo ye r,” pu rsu ant to section 26051.5 of the Business and Professions Code.
The business shall not sell alcoholic beverages or tobacco products on or at any licensed premises.
If the business has 20 or more employees on payroll at any one time, the business is required to enter into, or demonstrate that the business has already entered into, and will abide by the terms of a labor peace agreement.
If the business has not yet received a seller’s permit, the business is currently applying for a seller’s permit. If a seller’s permit is not needed, then confirmation from the California Department of Tax and Fee Administration (CDTFA) shall be included in the application to th e D e pa rtm e n t.
If the cultivation license type is Indoor, the local fire department has been notified of the cultivation site.
SECTION I – FINAL AFFIDAVIT
The business shall comply with all California state laws and regulations applicable to commercial cannabis cultivation, including but not limited to Medicinal and Adult Use Cannabis Regulation and Safety Act and Title 3, Division 8, Chapter 1 of the California Code of Regulations. The business shall be responsible for compliance with subsequent updates to cannabis cultivation laws and regulations.
I hereby declare the information contained within and attached to this application is complete, true, and accurate. I understand a misrepresentation of fact is cause for rejection of this application, denial of the license, or revocation of an issued license.
Print Name:
Designated Responsible Party Signature:
Date:
CDFA-LIC-001 (03/08/2018)
CDFA-LIC-001 (04/12/2018)
Page 10
SECTION J – PAYMENT
Payment type:
□ Credit Card
□ Debit Card
□ E-Check
□ Check
□ Cash
Transaction fees of 2.99% may be assessed for Credit Card and Debit Card payments. Application fees are non-refundable.
Credit/Debit Card Information:
Credit/Debit Card Authorization:
□ Visa
□ MasterCard
□
American Express
□ Discover
□
Other ________________________________________________________
Name on Card:
Card Number:
Expiration Date:
Security/CVV Code:
Billing Address:
City:
State:
Zip Code:
Phone Number:
Payment Amount (including 2.99% fee):
By signing below, I authorize the amount indicated above to be automatically charged to the Credit/Debit card provided.
Signature of Cardholder:
Date:
E-Check Information:
Financial Institution:
Routing Number:
Account Number:
Account Holder (full name/business name):
Account Holder Address:
City:
State:
Zip Code:
Phone Number:
Payment Amount:
By signing below, I authorize the amount indicated above to be automatically charged to the E-Check account provided.
Signature of Account Holder:
Date:
For Internal Use Only
Application Number:
CDFA-LIC-001 (04/12/2018)
GENERAL INSTRUCTIONS
I. Submitting Applications
Applicants have two methods of submitting cultivation license applications:
1. Online
You can create an account, complete the application, and pay the application fee using the following website: aca6.accela.com/calcannabis/.
2. Paper Applications
You may submit hard-copy applications and all applicable attachments. Complete the application and all accompanying forms legibly in black or dark blue ink, with a typewriter, or using the PDF form. Forms completed in pencil will be returned to you. Please make sure that you and other authorized individuals sign and date the forms, where applicable. Send your Application Package to:
All correspondence that includes payments (i.e., annual license applications):
Cashier
P.O. Box 942872
Sacramento, CA 94271-2872
All correspondence that does not include payments (i.e., temporary license applications, public comments, appeals, etc.):
California Department of Food and Agriculture CalCannabis Cultivation Licensing Division P.O. Box 942871 Sacramento, CA 94271
For licensing assistance, you may contact us at: email@example.com or 1-833-CAL-GROW (225-4769)
CDFA-LIC-001 (04/12/2018)
Page 12
II. The application fees for the specific license type are due and payable to the Department at the time the application is submitted and are not refundable. If the application is approved, the annual license fees for the specific license type are due and payable to the Department, prior to issuance of a license or a renewal license.
* Online transaction fees may be assessed for Credit Card and Debit Card transactions, in addition to the application and license fees.
* Mark either the "Credit Card," "Debit Card," or "E-Check" box in Section J of the application. Complete only the corresponding section for the payment type that you selected. Make sure to sign and date authorizing the Department to charge the account you provided.
* Cash payments will be accepted by appointment only. Please send an email to: firstname.lastname@example.org to obtain an appointment for cash collection. Mark the "Cash" box in Section J of the application and leave the remainder of Section J blank. PLEASE DO NOT SEND CASH PAYMENTS IN THE MAIL.
* Check payments will be accepted by mail. Mark the "Check" box in Section J of the application and leave the remainder of Section J blank. Make your check payable to: California Department of Food and Agriculture. Mail your check with your annual license application to Cashier, P.O. Box 942872, Sacramento, CA 94271-2872.
| License Types | | Current | Current |
|---|---|---|---|
| | | Application Fees | License Fees |
| Specialty Cottage Outdoor | $135 | | |
| Specialty Cottage Indoor | $205 | | |
| Specialty Cottage Mixed-Light Tier 1 | $340 | | |
| Specialty Cottage Mixed-Light Tier 2 | $580 | | |
| Specialty Outdoor | $270 | | |
| Specialty Indoor | $2,170 | | |
| Specialty Mixed-Light Tier 1 | $655 | | |
| Specialty Mixed-Light Tier 2 | $1,125 | | |
| Small Outdoor | $535 | | |
| Small Indoor | $3,935 | | |
| Small Mixed-Light Tier 1 | $1,310 | | |
| Small Mixed-Light Tier 2 | $2,250 | | |
| Medium Outdoor | $1,555 | | |
| Medium Indoor | $8,655 | | |
| Medium Mixed-Light Tier 1 | $2,885 | | |
| Medium Mixed-Light Tier 2 | $4,945 | | |
| Nursery | $520 | | |
| Processor | $1,040 | | |
III. Withdrawing an Application
An applicant may withdraw an application at any time prior to the Department's issuance of a license or denial of a license. Requests to withdraw an application shall be submitted to the Department in writing, dated, and signed by the Designated Responsible Party via email at email@example.com or by mail to: California Department of Food and Agriculture, CalCannabis Cultivation Licensing Division, P.O. Box 942871, Sacramento, CA 94271. The Department will not refund application fees for a withdrawn application. An applicant may reapply and pay a new application fee at any time following the withdrawal of an application.
CDFA-LIC-001 (04/12/2018)
Page 13
IV. Application Processing
The Department shall notify the applicant in writing that the application is either:
1. Complete and accepted for further review
2. Incomplete and the reasons for the incompleteness
a. The Department shall receive the missing information from the applicant no later than 90 calendar days from the date of the notification from the Department. Failure to provide the designated missing information will result in disqualification of the application for further consideration
b. If disqualified, the applicant may reapply and pay a new application fee.
Once the Department has verified the application is complete it will conduct a substantive review of the application. The Department shall notify the applicant in writing if the application is approved or denied with the reasons for denial based on the substantive review.
V. Grounds for Denial of a License
Grounds for denial of a license include but are not limited to the following:
a. The applicant's premises does not fully comply with the standards set forth;
b. The applicant's premises is substantially different from the diagram of the premises submitted by the applicant;
c. The applicant denied the Department access to the premises;
d. The applicant made a material misrepresentation on the application;
e. The applicant did not submit a renewal application within the timeframe specified;
f. The licensee has been denied a license, permit, or other authorization to engage in commercial cannabis activity by a state licensing authority or local agency;
g. The applicant or licensee has insufficient or outstanding fees owed to the Department; or
h. The applicant is in arrears of court ordered support payments pursuant to section 17520 et seq. of the Family Code.
SECTION A: APPLICATION TYPE
In the application form, check the appropriate box next to the application type that applies to your cultivation premises. Note that you may only select a single application type for a single premises per application.
1. The following describes scenarios where you would need to complete an application and apply for a new license:
* If your cultivation site is not currently licensed by the California Department of Food and Agriculture;
* If the licensee is relocating cannabis cultivation outside the boundary of the licensed premises; and
* If there is a change in ownership that affects the business entity type of the licensed entity;
* If the Business' license has been revoked by the California Department of Food and Agriculture.
If the business has been issued a temporary license by the Department, include your "Temporary License ID Number."
CDFA-LIC-001 (04/12/2018)
Page 14
There are two new application types:
a. Medicinal Cannabis Cultivation (M-license)
Select this option if your business is applying for a state license for commercial cannabis activity involving medicinal cannabis. Medicinal cannabis refers to cannabis intended to be sold for use pursuant to the Compassionate Use Act of 1996 (Proposition 215) found at section 11362.5 of the Health and Safety Code by a medicinal cannabis patient in California who possesses a physician's recommendation.
b. Adult-Use Cannabis Cultivation (A-license)
Select this option if your business is applying for a state license for cannabis intended for use by adults 21 years of age and over and who do not possess a physician's recommendation.
2. Renewal
Select this option if your business is currently licensed with the Department and your license is eligible for renewal (This option will not be available until January 2019).
* The renewal application must be submitted at least 30 calendar days prior to the expiration date of the current license. No renewal application shall be accepted by the Department more than 60 calendar days prior to the expiration date of the current license.
* If a complete renewal application is submitted no later than 30 calendar days prior to the expiration date of the current license, the licensee may continue to operate until the Department approves or denies the renewal application.
If a renewal application is received less than 30 calendar days prior to the expiration, a licensee shall submit a late fee of 50 percent of the application fee to be paid in addition to the required annual renewal fee. A licensed cultivator that does not submit a complete license renewal application to the Department within 30 days after the expiration of the current license shall forfeit their eligibility to apply for a license renewal and, instead, shall be required to submit a new license application.
The requirements for a renewal application are currently in development.
3. Update to License Information
Select this option if your business is updating your license information.
* The Applicant/Licensee shall notify the Department in writing within 10 calendar days of any change to any item listed in the application. Include the license number and contact the Department via email at firstname.lastname@example.org or by mail to California Department of Food and Agriculture, CalCannabis Cultivation Licensing Division, P.O. Box 942871, Sacramento, CA 94271. For any physical change, alteration, or modification of the premises, the Applicant/Licensee must submit a separate formal request in writing before making the changes, and the request shall include a new premises diagram that conforms to requirements. The following situations would require a formal request before the Applicant/Licensee can make the changes:
o A licensee shall not make a physical modification of the licensed premises that materially or substantially alters the licensed premises or the use of the licensed premises from the premises diagram originally filed with the license application without the prior written approval of the Department. The licensee whose premises are to be materially or substantially changed is responsible for filing a request for premises modification with the Department.
CDFA-LIC-001 (04/12/2018)
Page 15
o Material or substantial changes, alterations, or modifications requiring approval include but are not limited to the removal, creation, or relocation of canopy, propagation, processing, packaging, composting, cannabis waste storage, and chemical storage areas.
o Modifications or upgrades to electrical systems at licensed premises shall be performed by a licensed electrician. A copy of the electrician's license shall be submitted with any premises modification requests for electrical systems.
* The Applicant/Licensee shall also notify the Department in writing using the Criminal Conviction Disclosure Form (CDFA Form CDFA-LIC-004) of the following convictions within 48 hours of:
o Receiving a criminal conviction or civil judgment rendered against the licensee; and
o Receiving notification of the revocation of a local license, permit, or other authorization.
NOTE: Licenses are not transferable. For any change in ownership that affects the business entity type, a new application, application fee, and license fee are required.
SECTION B: LICENSE TYPES AND APPLICATION FEES
In the application form, check the box next to the license type that describes the cultivation site. The associated application fee for the specified license type will be due at the time the application is submitted to the Department of Food and Agriculture and is not refundable.
* A cultivation site is a location where commercial cannabis is planted, grown, harvested, dried, cured, graded, or trimmed, or that does all or any combination of those activities. You may only select a single license type per application.
* Indoor cultivation is the cultivation of cannabis within a permanent structure using exclusively artificial light or within any type of structure using artificial light at a rate above twenty-five watts per square foot.
* Mixed-light cultivation is the cultivation of mature cannabis in a greenhouse, hoop-house, glasshouse, conservatory, hothouse, or other similar structure using light deprivation and/or one of the artificial lighting models described below:
o Mixed-light Tier 1 – the use of artificial light at a rate of six watts per square foot or less.
o Mixed-light Tier 2 – the use of artificial light at a rate above six and below or equal to twenty-five watts per square foot.
* Outdoor cultivation is the cultivation of mature cannabis without the use of artificial lighting in a canopy area at any point in time. Artificial lighting is permissible only to maintain immature plants.
* Nursery means a licensee that produces only clones, immature plants, seeds, and other agricultural products used specifically for the propagation and cultivation of cannabis.
* Processing means all activities associated with drying, curing, grading, trimming, storing, packaging, and labeling of non-manufactured cannabis products.
* A person shall be limited to one (1) Medium Outdoor, or one (1) Medium Indoor, or one (1) Medium Mixed-Light Adult-Use License or Medicinal License.
CDFA-LIC-001 (04/12/2018)
Page 16
Current
CDFA-LIC-001 (04/12/2018)
Page 17
SECTION C.1: BUSINESS ENTITY STRUCTURE
In the application form, check one box that corresponds to the applicant business entity structure associated with this business.
The following is a brief overview of various business structures. The information is intended to provide a basic understanding of the different business structures and is not intended to provide legal advice.
Before you establish a business in the State of California, you should consult with a private attorney or tax advisor for advice about what type of applicant business entity will meet your business needs, and what your legal obligations will be.
1. Corporation
A California corporation generally is a legal entity, which exists separately from its owners. While normally limiting the owners from personal liability, taxes are levied on the corporation as well as on the shareholders. The sale of stocks or bonds can generate additional capital and the longevity of the corporation can continue past the death of the owners. Legal Counsel should be consulted regarding the variety of options available.
To form a corporation in California, Articles of Incorporation must be filed with the California Secretary of State's office. Forms for the most common types of Articles of Incorporation are available on the California Secretary of State website. You may use the form or prepare your own statutorily compliant document.
Corporations must be registered with the California Secretary of State and in good standing prior to being issued a cultivation license. Corporations must provide a current and active "Secretary of State Registration Entity ID" where indicated in Section C.2 of the application.
2. Limited Liability Company (LLC)
A California LLC generally offers liability protection similar to that of a corporation but is taxed differently. Domestic LLCs may be managed by one or more managers or one or more members. In addition to filing the applicable documents with the Secretary of State, an operating agreement among the members as to the affairs of the LLC and the conduct of its business is required. The LLC does not file the operating agreement with the Secretary of State but maintains it at the office where the LLC's records are kept.
To form an LLC in California, Articles of Organization (Form LLC–1) must be filed with the California Secretary of State's office.
LLCs must be registered with the California Secretary of State and in good standing prior to being issued a cultivation license. LLCs must provide a current and active "Secretary of State Registration Entity ID" where indicated in Section C.2 of the application.
3. Limited Partnership (LP)
A California LP may provide limited liability for some partners. There must be at least one general partner that acts as the controlling partner and one limited partner whose liability is normally limited to the amount of control or participation of the limited partner. General partners of an LP have unlimited personal liability for the LP's debts and obligation.
To form an LP in California, a Certificate of Limited Partnership (Form LP–1) must be filed with the California Secretary of State's office.
CDFA-LIC-001 (04/12/2018)
Page 18
Partnerships must be registered with the California Secretary of State and in good standing prior to being issued a cultivation license. LPs must provide a current and active "Secretary of State Registration Entity ID" where indicated in Section C.2 of the application.
4. General Partnership (GP)
A California GP must have two or more persons engaged in a business for profit. Except as otherwise provided by law, all partners are liable jointly and severally for all obligations of the partnership, unless agreed by the claimant. Profits are taxed as personal income for the partners.
To register a GP at the state level, a Statement of Partnership Authority (Form GP–1) must be filed with the California Secretary of State's office. Note: Registering a GP at the state level is optional.
5. Limited Liability Partnership (LLP)
An LLP is a partnership that engages in the practice of public accountancy, the practice of law, the practice of architecture, the practice of engineering or the practice of land surveying, or provides services or facilities to a California registered LLP that practices public accountancy or law, or to a foreign LLP. An LLP is required to maintain certain levels of insurance as required by law.
To register an LLP in California, an Application to Register a Limited Liability Partnership (Form LLP–1) must be filed with the California Secretary of State's office.
Partnerships must be registered with the California Secretary of State and in good standing prior to being issued a cultivation license. LLPs must provide a current and active "Secretary of State Registration Entity ID" where indicated in Section C.2 of the application.
6. Sole Proprietorship
A sole proprietorship is set up to allow an individual to own and operate a business. A sole proprietor has total control, receives all profits from, and is responsible for taxes and liabilities of the business. If a sole proprietorship is formed with a name other than the individual's name (example: John Smith's Fishing Shop), a Fictitious Business Name Statement must be filed with the county where the principal place of business is located.
No formation documents are filed with the California Secretary of State's office. Other state filings may be required depending on the type of business.
7. Sovereign Entity
Native Sovereign Nations are federally recognized tribes that are registered with the Federal Government under "Indian Entities Recognized and Eligible to Receive Services from the United States Bureau of Indian Affairs."
8. Trust
An unincorporated business organization created by a legal document, a declaration of trust, and used in place of a corporation or partnership for the transaction of various kinds of business with limited liability.
9. Other
For any other business entity structure not listed above.
CDFA-LIC-001 (04/12/2018)
Page 19
Publicly Traded Entities
In the application form, check "Yes" or "No" if the applicant business entity is publicly traded. Publicly traded entities are corporations whose ownership is dispersed among the general public in many shares of stock, which are freely traded on a stock exchange or over the counter markets. If your business is publicly traded, enter the number of shares traded in Section D.1.
Foreign Corporations
In the application form, check "Yes" or "No" if the applicant business entity is a foreign corporation. A foreign corporation is an existing corporation that is registered to do business in a state or jurisdiction other than where it was originally incorporated. Include the Certification of Qualification issued by the California Secretary of State, demonstrating the business is qualified to transact intrastate business in California as defined in section 191 of the California Corporations Code.
Cannabis Cooperative Associations
In the application form, check "Yes" or "No" if the applicant business entity is a Cannabis Cooperative Association. If the "Yes" box is checked, enter the "Name of Cannabis Cooperative Association" and attach a list of members of the Cooperative Association.
Business and Professions Code commencing with section 26220 sets forth the requirements for a Cannabis Cooperative Association. A Cannabis Cooperative Association may be formed by three or more natural persons, who are engaged in the cultivation of any cannabis product, and have formed an association defined as a cannabis cooperative for the purpose of engaging in any activity in connection with any of the following:
(1) Cultivation, marketing, or selling of the cannabis products of its members
(2) Growing, harvesting, curing, drying, trimming, packing, grading, storing, or handling of any product of its members
(3) Manufacturing, selling, or supplying to its members of machinery, equipment, or supplies
(4) Financing of the activities that are specified by this section
SECTION C.2: BUSINESS INFORMATION
In the application form, fill out the appropriate information regarding the applicant. Please see the following to understand the information the Department will be collecting.
NOTE: The Applicant refers to an owner of the applicant business seeking licensure.
In the application form, provide your "Legal Business Name," which refers to the legal name of the applicant business entity as registered with the California Secretary of State, California Department of Tax and Fee Administration (CDTFA), or local jurisdiction. If your business is registered with the Secretary of State, the business name shown on your application must match exactly the business name as registered with the California Secretary of State.
If you are a sole proprietorship, fill out your individual owner information under "Last Name (Sole Proprietorship Only)," "First Name (Sole Proprietorship Only)," and "Business Title (Sole Proprietorship Only)" located in Section C.2. If the sole proprietorship has a business name or trade name that is different from the business name and registered with the County or City, indicate this under the "Legal Business Name." If you are not a sole proprietorship, you do not need to fill out the fields for "Last Name," "First Name," and "Business Title."
CDFA-LIC-001 (04/12/2018)
Page 20
Input the associated Employer Identification Number (EIN) used to identify the applicant business entity. Note that in some cases, a sole proprietorship may use their Social Security Number (SSN) to report their tax information and therefore not have an EIN. In this situation, the owner with the associated SSN will input their SSN in the owner section of this application.
Enter the most current contact information for the Business, including the business "Mailing Address," business "Phone Number" and "Email Address." If the business mailing address is located outside of the United States of America, enter the postal code in the "Zip Code" field.
In the application form, input the CDTFA seller's permit number or if the applicant has not yet received a seller's permit, then the applicant shall attach their application for a seller's permit. If a seller's permit is not needed, then confirmation from CDTFA shall be included in the application to the Department.
In the application form, enter your "Secretary of State Registration Entity ID" number if your applicant business entity has registered with the California Secretary of State. Business entities that are registered with the California Secretary of State must be in good standing (not suspended or otherwise restricted) with the Secretary of State to be licensed and remain licensed with CalCannabis. Applicants who wish to change their applicant business entity after the application is submitted should withdraw their application and submit a new one.
SECTION C.3: STATE ISSUED CANNABIS LICENSES
The applicant entity must identify all other state-issued commercial cannabis licenses already held by the applicant entity. In the application, for each state issued cannabis license, enter the following information identifying the associated commercial cannabis business:
* "Legal Business Name" as registered with the state agency, California Secretary of State, California Department of Tax and Fee Administration (CDTFA), or local jurisdiction.
* Indicate one of the six commercial cannabis business license type categories as follows:
1. Cultivation
2. Manufacturing
3. Distribution
4. Laboratory Testing
5. Retailer
6. Microbusiness
* "License Number" issued by the state licensing authority, which can be found on the official license.
* Indicate which licensing authority issued the license: The Department of Food and Agriculture, the Department of Public Health, or the Department of Consumer Affairs.
* Date an owner acquired an ownership interest in the licensed commercial cannabis business.
According to section 26053 of the Business and Professions Code, "A person that holds a state testing laboratory license under this division is prohibited from licensure for any other activity, except testing, as authorized under this division. A person that holds a state testing laboratory license shall not employ an individual who is also employed by any other licensee that does not hold a state testing laboratory license." If the Department finds that the applicant entity or any owner holds a testing laboratory license, the commercial cannabis application will be denied.
CDFA-LIC-001 (04/12/2018)
Page 21
SECTION C.4: DESIGNATED RESPONSIBLE PARTY
The Designated Responsible Party shall be an owner who has the legal authority to bind the entity and the primary contact for the application.
In the application form, enter the Designated Responsible Party's "Legal Last Name," "Legal First Name," "Mailing Address", "Phone Number", "Email Address," and only one "Preferred Method of Contact" for all communication regarding application processing and licensing.
No more than one Designated Responsible Party may be associated with each business.
SECTION C.5: AGENT FOR SERVICE OF PROCESS
This is an individual who resides in California or a corporation designated to accept service of process (court papers) on behalf of the licensee. In the application form, enter the "Legal Last Name," "Legal First Name," "Mailing Address", "Phone Number", and "Email Address" for the agent for service of process.
SECTION D.1: OWNER INFORMATION
Information for the business owner must be entered in the application. If there are multiple owners or if you need more space to input owner information, please print and attach additional copies of the Owner Information pages (Section D) for each owner.
Owner means any of the following:
(1) A person with an aggregate ownership interest of 20 percent or more in the person applying for a license or a licensee, unless the interest is solely a security, lien, or encumbrance.
(2) The chief executive officer of a nonprofit or other entity.
(3) A member of the board of directors of a nonprofit.
(4) An individual who will be participating in the direction, control, or management of the person applying for a license.
An owner who is an individual participating in the direction, control, or management of the commercial cannabis business includes any of the following:
(1) A partner of a commercial cannabis business that is organized as a partnership;
(2) A managing member of a limited liability company of a commercial cannabis business that is organized as a limited liability company;
(3) An officer or director of a commercial cannabis business that is organized as a corporation.
Person is defined as any individual, firm, partnership, joint venture, association, corporation, limited liability company, estate, trust, business trust, receiver, syndicate, or any other group or combination acting as a unit, and the plural as well as the singular.
In the application form, for business entities that have an aggregate ownership interest, other than a security interest, lien, or encumbrance, of 20 percent or more in the commercial cannabis business, enter the owner's associated "Legal Business Name" and the business' "EIN."
Enter the owner's full legal name, "Business Title," and "Date of Birth."
CDFA-LIC-001 (04/12/2018)
Page 22
Enter the Live Scan Applicant Tracking Identifier (ATI) Number. The ATI number is provided by the Live Scan operator and documents your fingerprint submission. This can be found on your copy of the completed application for electronic fingerprint images submitted to the Department of Justice.
Select and provide the appropriate Taxpayer Identification Number, which refers to the associated Social Security Number (SSN), Individual Taxpayer Identification Number (ITIN), or National Identification Number (NIN), used to identify the Business by the IRS.
Select and provide the appropriate Government Issued Identification Number. A California State Government Issued Identification Number includes driver's license or identification card numbers issued by the State of California. Other forms of acceptable identification numbers are issued by a federal, state, county, or municipal government. All forms of identification must contain the name, date of birth, physical description, and picture of the individual.
In the application form, enter the owner's "Home Address," "Phone Number," and "Email Address." If there are any questions or concerns regarding the owner application information or attachments, CalCannabis will contact the owner using this information.
Enter the "Percentage of the Ownership" interest held in the applicant business entity by the owner. Enter the "Date the Owner Acquired Interest" in the applicant business entity.
NOTE: Once licensed, legal entities must identify any changes in ownership, which affect the applicant business entity type and require a new application. These changes may also need to be reported to the California Department of Tax and Fee Administration or California Secretary of State.
SECTION D.2: OWNER CANNABIS FINANCIAL INTERESTS
The owner must identify all other ownership or financial interests in any other state licensed commercial cannabis business. Having a financial interest can mean the following:
1. An investment in a commercial cannabis business.
2. Loan provided to a commercial cannabis business.
3. Other fully-vested equity interest in a commercial cannabis business.
In the application form, for each of these ownership or financial interests, enter the following information to identify the associated commercial cannabis business:
* "Legal Business Name" as registered with the state agency, California Secretary of State, California Department of Tax and Fee Administration (CDTFA), or local jurisdiction.
* Commercial cannabis business license type as categorized by a California State licensing authority. This includes:
1. Cultivation
2. Manufacturing
3. Distribution
4. Laboratory Testing
5. Retailers
6. Microbusiness
CDFA-LIC-001 (04/12/2018)
Page 23
* "License Number" issued by the state licensing authority, which can be found on the official license.
* Indicate which licensing authority issued the license: The Department of Food and Agriculture, the Department of Public Health, or the Department of Consumer Affairs.
* Date an owner acquired an ownership interest in the licensed commercial cannabis business.
NOTE: An owner must notify the Department of any update or change in financial interests in other licensed commercial cannabis businesses within 10 calendar days of the change via email at email@example.com or by mail to California Department of Food and Agriculture, CalCannabis Cultivation Licensing Division, P.O. Box 942871, Sacramento, CA 94271.
SECTION D.3: OWNER DISCLOSURES
The disclosures release information about the owner. In the application form, indicate "Yes" or "No" on each disclosure. Depending on the selection, more information may be required from the owner.
1. Have you ever been convicted of or entered a plea of guilty or nolo contendere to any misdemeanor or felony in the United States or a foreign country? If yes, please complete the Criminal Conviction Disclosure Form (CDFA Form CDFA-LIC-004).
If you indicate "Yes" on this disclosure, you will need to fill out the Criminal Conviction Disclosure Form (CDFA Form CDFA-LIC-004), which includes the dates of conviction, dates of incarceration, dates of probation, dates of parole, and a detailed description of each offense. This form may be found at: calcannabis.cdfa.ca.gov. You may attach any related information such as evidence of dismissal, certificate of rehabilitation, and supporting evidence of rehabilitation.
As required by law, all owners are required to submit a full set of fingerprints for the purpose of conducting a criminal background check. Fingerprints will be compared to the records of the California Department of Justice (DOJ) to determine whether a criminal history exists. This information will be used to verify the information provided by the owner.
The information provided will be verified through the CalCannabis Licensing Program's fingerprinting requirement.
Failure to report a conviction accurately (except as explained below) may result in an application being denied. The term "conviction" includes pleading guilty or nolo contendere ("no contest") or being convicted by a court of any misdemeanor or felony in this state or elsewhere.
Your license will not be issued until the Department receives fingerprint results from the DOJ. Even though you may have been fingerprinted previously for an employer or another regulatory body, you will need to undergo the fingerprinting and criminal history check process again for a CalCannabis Cultivation License.
CDFA-LIC-001 (04/12/2018)
Page 24
Under section 26057(b)(4) of the Business and Professions Code, "The licensing authority may deny the application for licensure or renewal of a state license if any of the following conditions apply:
The applicant, owner, or licensee has been convicted of an offense that is substantially related to the qualifications, functions, or duties of the business or profession for which the application is made, except that if the licensing authority determines that the applicant, owner, or licensee is otherwise suitable to be issued a license, and granting the license would not compromise public safety, the licensing authority shall conduct a thorough review of the nature of the crime, conviction, circumstances, and evidence of rehabilitation of the applicant or owner, and shall evaluate the suitability of the applicant, owner, or licensee to be issued a license based on the evidence found through the review. In determining which offenses are substantially related to the qualifications, functions, or duties of the business or profession for which the application is made, the licensing authority shall include, but not be limited to, the following:
(A) A violent felony conviction, as specified in subdivision (c) of section 667.5 of the Penal Code.
(B) A serious felony conviction, as specified in subdivision (c) of section 1192.7 of the Penal Code.
(C) A felony conviction involving fraud, deceit, or embezzlement.
(D) A felony conviction for hiring, employing or using a minor in transporting, carrying, selling, giving away, preparing for sale, or peddling any controlled substance to a minor; or selling, offering to sell, furnishing, offering to furnish, administering, or giving any controlled substance to a minor.
(E) A felony conviction for drug trafficking with enhancements pursuant to sections 11370.4 or 11379.8 of the Health and Safety Code."
Except as provided in subparagraphs (5) and (6) of paragraph (a) and notwithstanding Chapter 2 (commencing with section 480) of Division 1.5 of Penal Code, a prior conviction, where the sentence, including any term or probation, incarceration, or supervised release, is completed, for possession of, possession for sale, sale, manufacture, transportation, or cultivation of a controlled substance is not considered substantially related, and shall not be the sole ground of denial for a license. Conviction for any controlled substance felony subsequent to licensure shall be grounds for revocation of a license or denial of the renewal of the license."
Owners with criminal convictions that are substantially related are not automatically denied licensure and the Department will conduct a review of the nature of the crime, conviction, circumstances, and evidence of rehabilitation. Evidence of rehabilitation includes:
(1) The nature and severity of the criminal offense;
(2) Whether the person has a felony conviction based on possession or use of cannabis or cannabis products that would not be a felony if the person was convicted of the offense on the date of the person's application;
(3) The applicant's criminal record as a whole;
(4) Evidence of any conviction of a criminal offense committed subsequent to the criminal offense under consideration that could be considered grounds for denial, suspension, or revocation of a commercial cannabis activity license;
(5) The time that has elapsed since commission of the act or offense;
(6) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant;
(7) If applicable, evidence of dismissal under sections 1203.4, 1203.4a, 1203.41 of the Penal Code or another state's similar law;
CDFA-LIC-001 (04/12/2018)
Page 25
(8) If applicable, a certificate of rehabilitation obtained under section 4852.01 of the Penal Code or another state's similar law; and
(9) Other evidence of rehabilitation submitted by the applicant.
2. Have you had a license sanctioned, suspended, or revoked in the past three years by a licensing authority, a city, county, or city and county for unauthorized commercial cannabis activities?
If you indicate "Yes" on this disclosure, you are not automatically denied licensure and the Department will conduct a review of the nature of the sanction, suspension, or revocation.
The Department will determine if the sanction, suspension, or revocation will be grounds for denial. Under section 26057(b) of the Business and Professions Code, the licensing authority may deny the application for licensure or renewal of a state license if the applicant, or any of its officers, directors, or owners, has been sanctioned by a licensing authority or a city, county, or city and county for unauthorized commercial cannabis activities, has had a license suspended or revoked under this division in the three years immediately preceding the date the application is filed with the licensing authority.
3. Have you been subject to fines, penalties, or otherwise been sanctioned for cultivation or production of a controlled substance on public or private lands pursuant to section 26057 of the Business and Professions Code?
If you indicate "Yes" on this disclosure, you are not automatically denied licensure and the Department will conduct a review of the fines, penalties, or sanctions for cultivation or production of a controlled substance on public or private lands.
Section 26057 of the Business and Professions Code states that the licensing authority may deny the application for licensure or renewal of a state license if the applicant, or any of its officers, directors, or owners, has been subject to fines, penalties, or otherwise been sanctioned for cultivation or production of a controlled substance on public or private lands pursuant to sections 12025 or 12025.1 of the Fish and Game Code.
As defined by section 11007 of the Health and Safety Code, a "controlled substance" unless otherwise specified, means a drug, substance, or immediate precursor, which is listed in any schedule in sections 11054, 11055, 11056, 11057, or 11058 of the Health and Safety Code.
* Section 11054 lists all Schedule I controlled substances.
* Section 11056 lists all Schedule III controlled substances.
* Section 11055 lists all Schedule II controlled substances.
* Section 11057 lists all Schedule IV controlled substances.
* Section 11058 lists all Schedule V controlled substances.
Section 12025 or 12025.1 of the Fish and Game Code describes the civil penalties of being in connection with the production or cultivation of a controlled substance on land under the management of the Department of Parks and Recreation, the Department of Fish and Wildlife, the Department of Forestry and Fire Protection, the State Lands Commission, a regional park district, the United States Forest Service, or the United States Bureau of Land Management, or within the respective ownership of a timberland production zone, or while trespassing on other public or private land in connection with the production or cultivation of a controlled substance.
CDFA-LIC-001 (04/12/2018)
Page 26
These fines, penalties, or being sanctioned for cultivation or production of a controlled substance on public or private lands are considered grounds for denial.
4. Have you ever had a commercial cannabis license or other professional license suspended, revoked, or denied, or otherwise subject to discipline or fine by this state or elsewhere (i.e., other U.S. state, U.S. territory, agency of the federal government, or other country)?
According to section 26030(b) of the Business and Professions Code, "Grounds for disciplinary action include, but are not limited to, all of the following:
Conduct that constitutes grounds for denial of licensure pursuant to Chapter 2 (commencing with section 480) of Division 1.5 or discipline of a license pursuant to Chapter 3 (commencing with section 490) of Division 1.5.
SECTION D.4: OWNER REQUIRED ATTACHMENTS
The following attachments are necessary for each owner:
1. Copy of each owner's government-issued identification. Acceptable forms of identification are a document issued by a federal, state, county, or municipal government, including, but not limited to, a driver's license, that contains the name, date of birth, physical description, and picture of the individual.
2. Copy of each owner's completed application for electronic fingerprint images submitted to the Department of Justice.
If you indicated in the Owner Disclosures section of the application that you have had criminal convictions, fill out and attach the Criminal Conviction Disclosure Form (CDFA Form CDFA-LIC-004). A conviction means a plea or verdict of guilty or a conviction following a plea of nolo contendere. Convictions dismissed under sections 1203.4, 1203.4a, and 1203.41a of the Penal Code or the equivalent non-California law shall also be disclosed. Juvenile adjudications and traffic infractions do not need to be included. For each conviction, the owner shall provide the following:
1. The date of conviction;
2. Date(s) of incarceration, if applicable;
3. Date(s) of probation, if applicable;
4. Date(s) of parole, if applicable;
5. A detailed description of the offense for which the owner was convicted; and
6. A statement of rehabilitation for each conviction. The statement of rehabilitation is to be written by the owner and shall contain all evidence that the owner would like the California Department of Food and Agriculture to consider that demonstrates the owner's fitness for licensure. Supporting evidence may be attached to the statement of rehabilitation and may include, but is not limited to, a certificate of rehabilitation under section 4852.01 of the Penal Code, or dated letters of reference from employers, instructors, or professional counselors that contain valid contact information for the individual providing the reference.
CDFA-LIC-001 (04/12/2018)
Page 27
SECTION D.5: OWNER DECLARATIONS
Declarations are formal written statements in which the owner declares under oath that the contents are true. In this section of the application, the owner will read the declarations and if they agree they will comply and abide with the terms and conditions as defined in the statements, they will acknowledge their acceptance of the declarations by signing in the space provided.
1. I am responsible for knowing and complying with all California state laws and regulations applicable to commercial cannabis cultivation, including but not limited to Medicinal and Adult-Use Cannabis Regulation and Safety Act and Title 3, Division 8, Chapter 1 of the California Code of Regulations. I understand I am responsible for compliance with subsequent updates to cannabis cultivation laws and regulations.
The Medicinal and Adult-Use Cannabis Regulation and Safety Act (MAUCRSA) provides provisions for the California Department of Food and Agriculture to issue state licenses for commercial medicinal and adult-use cannabis cultivation. Other related codes include, but are not limited to, the Water Code, Penal Code, Health and Safety Code, Family Code, Fish and Game Code, Food and Agricultural Code, Business and Professions Code, and California Code of Regulations.
2. I hereby declare that the information contained within and attached to this application is complete, true, and accurate. I understand that a misrepresentation of fact is cause for rejection of this application, denial of the license, or revocation of an issued license.
SECTION E.1: PREMISES INFORMATION
The Premises is the designated structure(s) and land specified in the application that are in possession of and used by the applicant or licensee to conduct the commercial cannabis activity. The premises shall be a contiguous area and may only be occupied by one licensee.
In the application form, provide the following information about the premises:
The "Premises Address" refers to the location of the premises and the physical address that is assigned by the local municipality or county. Boxes and Postal Mail Boxes are not acceptable for the premises' physical address. Please note that your premises address is NOT considered to be confidential. Premises address information will be disclosed if/when requested pursuant to a California Public Records Act request.
Enter the "Assessor Parcel Number (APN)" that is assigned and can be provided by the tax assessor of a particular jurisdiction. There may be multiple APNs associated with the premises. In this case, please include all associated APNs using additional forms.
The "Date of Initial Operation" refers to the date an applicant began actively conducting the same commercial cannabis activity as the license type for which the applicant is applying. Actively conducting means beginning cannabis cultivation activities and does not include site preparation and construction as authorized by the local jurisdiction. Applicants who have provided evidence of operating in compliance with the Compassionate Use Act of 1996 and its implementing laws prior to September 1, 2016 shall receive priority review.
The location for retention of records refers to the requirement that all records, applications, reports, or other supporting documents be kept on the premises of the licensed location as specified in section 26160 of the Business and Professions Code.
CDFA-LIC-001 (04/12/2018)
Page 28
Premises Ownership Information
The applicant must demonstrate property owner approval. There are three different options for property use approval:
(1) If the applicant is the owner of the property on which the premises is located, the applicant shall provide to the Department a copy of the title or deed to the property.
(2) If the applicant is not the owner of the property upon which the premises is located, the applicant shall provide the following to the Department:
a. A document from the property owner or property owner's agent where the commercial cannabis activity will occur that states the applicant has the right to occupy the property and acknowledges that the applicant may use the property for commercial cannabis cultivation;
b. Property owner's mailing address and phone number; and
c. Copy of the lease or rental agreement, or other contractual documentation.
(3) If the applicant has a different property ownership type not covered by "Own", "Rent/Lease", select "Other" and provide the following to the Department:
a. Description of the authorization to occupy the premises.
b. A document from the property owner or property owner's agent where the commercial cannabis activity will occur that states the applicant has the right to occupy the property and acknowledges that the applicant may use the property for commercial cannabis cultivation;
c. Property owner's mailing address and phone number; and
d. Copy of the lease or rental agreement, or other contractual documentation.
NOTE: If the applicant has multiple property ownership types, please attach additional forms to list all additional premises information and property information. If your premises span multiple parcels, identify all parcel numbers and boundaries associated with the premises.
SECTION E.2: SOURCE OF WATER SUPPLY
According to the section 26060.1 of the Business and Professions Code, "an application for cultivation issued by the Department of Food and Agriculture shall identify the source of water supply."
In the application form, indicate all water source(s) that best describe the water supply for the cannabis cultivation site. If there are multiple sources of water supply or if you need more space to input water supply information, please print and attach additional copies of the Source of Water Supply pages.
There are seven different water source types as defined below:
| | Water Source Type |
|---|---|
| Retail Water Supplier | |
CDFA-LIC-001 (04/12/2018)
Page 29
Water Source Type
Small Retail Water Supplier – Delivery or Pickup from a Surface Waterbody or Underground Stream
Small Retail Water Supplier – Delivery or Pickup of Water from a Groundwater Well
CDFA-LIC-001 (04/12/2018)
Requirements
A diversion from a waterbody refers to a system of structures and measures that intercept clear surface runoff. If the water source is a diversion from a waterbody, provide any applicable statement, application, permit, license, or small irrigation use registration identification number(s); and either:
(1) Name of the retail water supplier under contract;
(2) Geographic location coordinates of any point of diversion used by the retail water supplier to divert water delivered to the applicant, in either latitude or longitude or the California Coordinate System;
(3) Authorized place of use of any water right used by the retail water supplier to divert water delivered to the applicant; and
(4) Maximum amount of water (gallons), delivered to the applicant for cannabis cultivation in any year.
What qualifies as a small retail water supplier?
* The retail water supplier has 10 or fewer customers;
* 25 percent or more of the water delivered by the retail water supplier is used for cannabis cultivation; or
* The applicant receives 10 percent or more of the water supplied by the retail water supplier;
* The applicant and the retail water supplier are affiliates.
If the retail water supplier uses a well, the applicant shall provide the following:
(1) Name of the retail water supplier under contract;
(2) Geographic location coordinates for any groundwater well used to supply water delivered to the applicant, in either latitude and longitude or the California Coordinate System;
(3) Maximum amount of water (gallons), delivered to the applicant for cannabis cultivation in any year; and
(4) A copy of the well log filed with the Department of Water Resources pursuant to section 13751 of Water Code for each percolating groundwater well used to divert water delivered to the applicant. If no well log is available, provide evidence from the Department of Water Resources indicating that the Department does not have a record of the well log. When no well log is available, the State Water Resources Control Board may request additional information about the well.
What qualifies as a small retail water supplier?
* The retail water supplier has 10 or fewer customers;
* 25 percent or more of the water delivered by the retail water supplier is used for cannabis cultivation; or
* The applicant receives 10 percent or more of the water supplied by the retail water supplier;
* The applicant and the retail water supplier are affiliates.
Page 30
| | Water Source Type |
|---|---|
| Groundwater Well | |
| Rainwater Catchment System | |
CDFA-LIC-001 (04/12/2018)
Page 31
SECTION E.3: POWER SOURCE
Applicants for indoor and mixed-light license types shall provide the power source(s) for cultivation activities, including but not limited to, illumination, heating, cooling, and ventilation.
In the application form, check the boxes that apply. You can select multiple methods for power source if they are applicable to the cultivation activities at your premises.
| | Power Source Type | | Description |
|---|---|---|---|
| Grid | | This refers to using Electric Utility companies as the power supplier. You have the option to purchase renewable electricity, either directly from your power supplier, or through renewable energy ‘green’ certificates. | |
| Solar | | This refers to using solar electric power system as the power source. This can be achieved using solar photovoltaic systems, which convert both direct and scattered sunlight into electricity. | |
| Generator | | This refers to using a stationary or portable compression ignition engine pursuant to Title 17, Division 3, Chapter 1, Subchapter 7.5, section 93115.4 of the California Code of Regulations (CCR). All generators must be equipped with nonresettable hour-meters. | |
| | | Generator – Rated 50 Horsepower (HP) and Greater When using generators rated at 50 HP and greater, compliance with Airborne Toxic Control Measures is required. If selected, you may be asked to provide one of the following attachment(s): (1) Portable Equipment Registration Certificate provided by the California Air Resources Board; or (2) Permit to Operate obtained from the Local Air District with jurisdiction over the licensed premises. | |
| | | Generator – Rated Under 50 HP When using generators rated under 50 HP, compliance with the following is required: (1) Designate the generator as emergency or low use; or (2) Either (A) or (B) (A) Meet Tier 3 with level 3 diesel particulate filter requirements pursuant to Title 13, Division 3, Chapter 9, Article 4, section 2423 of the CCR; or (B) Meet Tier 4 engine requirements pursuant to Title 13, Division 3, Chapter 14, section 2702 of the CCR. | |
CDFA-LIC-001 (04/12/2018)
Page 32
SECTION F: LOCAL AUTHORIZATION
The applicant shall check one of the local authority types of City, County, or City and County so the Department can identify the local contact.
The applicant may also enter the information about the local authorization including the local authority name, local authorization number, expiration date, local authority address, and phone number.
The applicant may attach the local permit, license, or other authorization, but is not required to do so.
SECTION G: APPLICATION ATTACHMENTS
Required Attachments for all Applicants
1. Evidence of Surety Bond
Evidence of having obtained a surety bond in the amount of not less than $5,000, payable to the Department. A surety is a way to ensure payment for the cost of destroying cannabis product, when such destruction is necessitated by a violation of the Medicinal and Adult-Use Cannabis Regulation and Safety Act (MAUCRSA) or Title 3, Division 8, Chapter 1 of the California Code of Regulations. The bond must be issued by a corporate surety (company that issues these bonds) licensed in California.
2. Property Ownership Documentation or Legal Right to Occupy and Use
A. Property Ownership Documentation If the applicant is the owner of the property on which the premises is located, the applicant must provide a copy of the title or deed to the property. A title provides legal evidence that you have the right to use the property. A deed is a legal document that transfers title from one person to another.
If the applicant is not the owner of the property and is leasing or renting the property on which the
B. Legal Right to Occupy and Use premises is located, the applicant must provide:
1. A document from the property owner or property owner's agent where the commercial cannabis activity will occur that states the applicant has the right to occupy the property and acknowledges that the applicant may use the property for commercial cannabis cultivation.
2. Copy of the lease or rental agreement, or other contractual documentation.
3. Cultivation Plan – Premises Diagram
A premises diagram is a diagram of the proposed license location. This is the "zoomed in" diagram of the applicant's location. The diagram must be to scale, all measurements must be in feet, and cannot have any highlighting. The tables on the following page consist of what should be included in the premises diagram. A premises does not have to be the entire property.
CDFA-LIC-001 (04/12/2018)
Page 33
Premises Diagram – Specialty Cottage, Specialty, Small, and Medium License Types
4. Cultivation Plan – Property Diagram
A property diagram is a diagram of the whole property. This is the “ zoomed out ” diagram of the applicant’s location. The diagram must be to scale, all measurements must be in feet, and cannot have any highlighting . The following table lists what should be included in the property diagram.
Canopy Area (make sure that the total square footage matches the dimensions of the license type you have chosen)
Area(s) Outside of the Canopy (immature plants only) (if applicable)
Pesticide and Agricultural Chemical Storage Area
Processing Area or Off-Site Licensed Facility Identified
Packaging Area or Off-Site Licensed Facility Identified
Composting Area (if composting on site)
Secure Cannabis Waste Area (if not only composting)
Harvest Storage Area
Premises Diagram – Nursery License Type
Area(s) Containing Only Immature Plants
Pesticide and Agricultural Chemical Storage Area
Research and Development Area (if applicable)
Seed Production Area (if applicable)
Composting Area (if composting on site)
Secure Cannabis Waste Area (if not only composting)
Premises Diagram – Processor License Type
Processing Area (if applicable)
Packaging Area (if applicable)
Composting Area (if composting on site)
Secure Cannabis Waste Area (if not only composting)
Harvest Storage Area
Property Diagram
Assessor’s Parcel Number(s) (APN)
Parcel Boundaries
Perimeter Dimensions
Entrances to Both the Property and Premises
Exits to Both the Property and Premises
All Roads
All Water Crossings (includes seasonal streams)
Coordinates for a Diversion from a Waterbody, Groundwater Well, or Rain
Other Activities or Other Licensed Areas
CDFA-LIC-001 (04/12/2018)
If the property is being used for other activities outside the area proposed for licensed cultivation activity, you must label the diagram with the other activities taking place. This would include other areas on the property licensed for commercial cannabis activities.
If multiple, contiguous properties are included in one application, all parcels must be included on the property diagram.
5. Cultivation Plan – Waste Management Plan
Waste management plan requirement information can be found in section 8108 of Title 3, Division 8, Chapter 1 of the California Code of Regulations.
6. Water Quality Protection Enrollment
Evidence of enrollment with the applicable Regional Water Quality Control Board programs or State Water Resources for water quality protection or written verification from the appropriate Board that enrollment is not necessary.
7. Lake and Streambed Alteration Document
A copy of any final lake or streambed alteration agreement issued by the California Department of Fish and Wildlife, pursuant to section 1602 or 1617 of the Fish and Game Code, or written verification from the Department of Fish and Wildlife that a lake and streambed alteration agreement is not required.
8. EnviroStor Hazardous Materials Search
Evidence that the applicant has conducted a hazardous materials record search of the EnviroStor database for the proposed premises. If hazardous sites were encountered, the applicant shall provide documentation of protocols implemented to protect employee health and safety. EnviroStor is the Department of Toxic Substances Control's data management system for sites with known contamination or sites where there may be reasons to investigate further.
9. Evidence of CEQA Compliance
Evidence that the local permit, license, or other authorization to cultivate cannabis was issued in compliance with the California Environmental Quality Act (CEQA), pursuant to division 13 (commencing with section 21000) of the Public Resources Code. This evidence may include:
a. Notice of Determination or Notice of Exemption.
b. Copy of the CEQA document or reference to where it can be located electronically.
c. CEQA document prepared by applicant.
10. List of Persons with a Financial Interest
Provide a complete list of financial interest holders. This does not include a bank or financial institution whose interest constitutes a loan or persons whose only ownership interest in the commercial cannabis business is through an interest in a diversified mutual fund, blind trust, or similar instrument. For each person, include the following information:
a. Full Legal Name (First and Last) – for individuals
b. Tax Identification Numbers (SSN, ITIN, or NIN) – for individuals
c. Government Issued ID Number – for individuals
d. Legal Business Name – for business entities
e. Employer Identification Number (EIN) – for business entities
CDFA-LIC-001 (04/12/2018)
Page 35
Additional Attachments as Required
1. Cultivation Plan – Lighting Diagram
For indoor and mixed-light license type applications, a lighting diagram with the following information shall be included:
a. Location of all lights in the canopy area(s); and
b. Maximum wattage or wattage equivalent of each light.
2. Cultivation Plan – Pest Management Plan
For Specialty, Specialty Cottage, Small, Medium, and Nursery license applications, the pest management plan which shall include, but not be limited to, the following:
a. Product name and active ingredient(s) of all pesticides to be applied to cannabis during any stage of plant growth; and
b. Integrated pest management protocols including chemical, biological, and cultural methods the applicant anticipates using to control or prevent the introduction of pests on the cultivation site.
3. Cannabis Cooperative Association Member List
For applicants that are a Cannabis Cooperative Association, a list of members of a cannabis cooperative shall be disclosed to the licensing authority. The list shall also include the Full Legal Name or Legal Business Name of each member.
4. CA Secretary of State Documents
For applicants that are registered with the CA Secretary of State, the following documents must be provided (if applicable):
a. Articles of Incorporation
b. Certificate of Stock
c. Articles of Organization
d. Certificate of Limited Partnership
e. Statement of Partnership Authority
f. Certificate of Qualification
g. Business Formation Documents
5. Foreign Corporation Certificate of Qualification
If the applicant is a Foreign Corporation, a certificate of qualification issued by the California Secretary of State, pursuant to section 2105 of the Corporations Code must be provided.
6. State Water Resources Control Board (SWRCB) Diversion Authorization
If the applicant has a water supply that is a diversion from a waterbody, one of the following must be provided:
a. A copy of any applicable registrations, permits, or licenses or proof of a pending application.
b. A copy of any statements of diversion used and filed with the SWRCB before October 31, 2017, detailing the water diversion and use.
CDFA-LIC-001 (04/12/2018)
Page 36
c. A copy of documentation submitted to the SWRCB before October 31, 2017 demonstrating that the diversion is authorized under a riparian right that no diversion occurred in any calendar year between January 1, 2010 and January 1, 2017.
d. If the applicant has a water supply that is a diversion claiming exemption, a copy of the documentation submitted to SWRCB before January 1, 2019, demonstrating that the diversion is subject to the Water Code section 5101 (a), (c), (d), or (e) must be provided.
7. Well Log
If the applicant's water supply is a retail water supplier using a well or a groundwater well, a well log must be provided. If no well log is available, provide evidence from the Department of Water Resources indicating that the Department does not have a record of the well log. If no well log is available, the State Water Resources Control Board may request additional information about the well.
8. Evidence of compliance with the Compassionate Use Act of 1996
If the applicant is seeking priority review, evidence of compliance with the Compassionate Use Act of 1996 must be provided. Per section 26054.2 of the Business and Professions Code, "a licensing authority shall give priority in issuing licenses under this division to applicants that can demonstrate to the authority's satisfaction that the applicant operated in compliance with the Compassionate Use Act of 1996 (section 11362.5 of the Health and Safety Code) and its implementing laws before September 1, 2016." The "Date of Initial Operation" refers to the date an applicant began actively conducting the same commercial cannabis activity as the license type for which the applicant is applying. Actively conducting means beginning cannabis cultivation activities and does not include site preparation and construction as authorized by the local jurisdiction.
Applicants who have operated in compliance with the Compassionate Use Act of 1996 and its implementing laws prior to September 1, 2016 shall receive priority review. Evidence may be demonstrated by any of the following: local license, permit, or other authorization; Collective or Cooperative Membership Agreement; tax or business forms submitted to CDTFA or Franchise Tax Board; incorporation documents filed with the Secretary of State; receipts evidencing business expenditures; or any other verifiable business record adequate to demonstrate the operation of the business prior to September 1, 2016. The Department may request additional documentation to verify the applicant's date of initial operation. Priority review will cease December 31, 2019, unless otherwise provided by law.
9. Limited Waiver of Sovereign Immunity
If the applicant intends to waive their sovereign immunity to cultivate commercial cannabis, a written waiver must be provided, which shall include evidence the applicant or licensee has the lawful authority to enter into the waiver required by this section, the applicant or licensee hereby waives sovereign immunity, and the applicant or licensee agrees to do all of the following:
a. Provide documentation to the Department that establishes the applicant or licensee has the lawful authority to enter into the waiver required by this section;
b. Conduct all commercial cannabis activity in full compliance with the state laws and regulations governing commercial cannabis activity, including submission to all enforcement provisions thereof;
CDFA-LIC-001 (04/12/2018)
Page 37
c. Allow access as required by statute or regulation by persons or entities charged with duties under the state laws and regulations governing commercial cannabis activity to any premises or property at which the applicant conducts any commercial cannabis activity, including premises or property where records of commercial cannabis activity are maintained by or for the applicant or licensee;
d. Provide any and all records, reports, and other documents as may be required under the state laws and regulations governing commercial cannabis activity;
e. Conduct commercial cannabis activity with other state commercial cannabis licensees only, unless otherwise specified by state law;
f. Meet all of the requirements for licensure under state laws and regulations governing the conduct of commercial cannabis activity, and provide truthful and accurate documentation and other information of the applicant's qualifications and suitability for licensure as may be requested by the Department;
g. Submit to the personal and subject matter jurisdiction of the California courts to address any matter related to the waiver or commercial cannabis application, license, or activity, and that all such matters and proceedings shall be governed, construed and enforced in accordance with California substantive and procedural law, including but not limited to the Act.
10. Local Jurisdiction Authorization
The applicant may attach the local permit, license, or other authorization, but is not required to do so.
11. CDTFA Permit Waiver
If a seller's permit is not needed, then confirmation from the California Department of Tax and Fee Administration (CDTFA) shall be included in the application to the Department.
SECTION H.1: DISCLOSURES
Applicant disclosures release information about the applicant. In the application form, the Designated Responsible Party must indicate "Yes" or "No" on each disclosure.
1. Does the business hold an ownership interest in real property, personal property, or other assets associated with, or used in, any commercial cannabis testing laboratory license types as defined in section 26053 of the Business and Professions Code?
If you indicate "Yes" on this disclosure, this means that you hold an ownership interest in a conflicting license type.
According to section 26053 of the Business and Professions Code, "A person that holds a state testing laboratory license under this division is prohibited from licensure for any other activity, except testing, as authorized under this division. A person that holds a state testing laboratory license shall not employ an individual who is also employed by any other licensee that does not hold a state testing laboratory license." If the Department finds that the applicant entity or any owner holds a testing laboratory license, the commercial cannabis application will be denied.
CDFA-LIC-001 (04/12/2018)
Page 38
2. Has the business had a license sanctioned, suspended, or revoked in the past three years by a licensing authority, a city, county, or city and county for unauthorized commercial cannabis activities?
If you indicate "Yes" on this disclosure, you are not automatically denied licensure and the Department will conduct a review of the nature of the sanction, suspension, or revocation.
The Department will determine if the sanction, suspension, or revocation will be grounds for denial. Under section 26057(b) of the Business and Professions Code, the licensing authority may deny the application for licensure or renewal of a state license if the applicant, or any of its officers, directors, or owners, has been sanctioned by a licensing authority or a city, county, or city and county for unauthorized commercial cannabis activities, has had a license suspended or revoked under this division in the three years immediately preceding the date the application is filed with the licensing authority. Thus, any sanctioned, suspended, or revoked licenses from the past three years for unauthorized commercial cannabis activities may be considered as grounds for denial.
3. Do you have any documented conduct that constitutes grounds for denial of licensure pursuant to Chapter 2 commencing with section 480 of the Business and Professions Code or discipline of a license pursuant to Chapter 3 commencing with section 490 of the Business and Professions Code?
This disclaimer stems from section 26030 of the Business and Professions Code "Conduct that constitutes grounds for denial of licensure pursuant to Chapter 2 (commencing with section 480) of Division 1.5 or discipline of a license pursuant to Chapter 3 (commencing with section 490) of Division 1.5." section 480 of the Business and Professions Code defines the conduct that constitutes grounds for denial as:
(A) A board may deny a license regulated by this code on the grounds that the applicant has one of the following:
(1) Been convicted of a crime. A conviction within the meaning of this section means a plea or verdict of guilty or a conviction following a plea of nolo contendere. Any action that a board is permitted to take following the establishment of a conviction may be taken when the time for appeals has elapsed, or the judgment of conviction has been affirmed on appeal, or when an order granting probation is made suspending the imposition of sentence, irrespective of a subsequent order under the provisions of sections 1203.4, 1203.4a, or 1203.41 of the Penal Code.
(2) Done any act involving dishonesty, fraud, or deceit with the intent to substantially benefit himself or herself or another, or substantially injure another.
(3) (a) Done any act that if done by a licentiate of the business or profession in question, would be grounds for suspension or revocation of license. (b) The board may deny a license pursuant to this subdivision only if the crime or act is substantially related to the qualifications, functions, or duties of the business or profession for which application is made.
(B) Notwithstanding any other provision of this code, a person shall not be denied a license solely on the basis that he or she has been convicted of a felony if he or she has obtained a certificate of rehabilitation under Chapter 3.5 (commencing with section 4852.01) of Title 6 of Part 3 of the Penal Code or that he or she has been convicted of a misdemeanor if he or she has met all applicable requirements of the criteria of rehabilitation developed by the board to evaluate the rehabilitation of a person when considering the denial of a license under subdivision (a) of section 482.
CDFA-LIC-001 (04/12/2018)
Page 39
(C) Notwithstanding any other provisions of this code, a person shall not be denied a license solely on the basis of a conviction that has been dismissed pursuant to sections 1203.4, 1203.4a, or 1203.41 of the Penal Code. An applicant who has a conviction that has been dismissed pursuant to sections 1203.4, 1203.4a, and 1203.41 of the Penal Code shall provide proof of the dismissal.
(D) A board may deny a license regulated by this code on the grounds that the applicant knowingly made a false statement of fact that is required to be revealed in the application for the license.
1. Has the business, or any of its officers or directors, been subject to fines, penalties, or otherwise been sanctioned for cultivation or production of a controlled substance on public or private lands pursuant to section 26057 of the Business and Professions Code?
If you indicate "Yes" on this disclosure, you are not automatically denied licensure and the Department will conduct a review of the fines, penalties, or sanctions for cultivation or production of a controlled substance on public or private lands.
Section 26057 of the Business and Professions Code states that the licensing authority may deny the application for licensure or renewal of a state license if the applicant, or any of its officers, directors, or owners, has been subject to fines, penalties, or otherwise been sanctioned for cultivation or production of a controlled substance on public or private lands pursuant to section 12025 or 12025.1 of the Fish and Game Code.
As defined by section 11007 of the Health and Safety Code, a "controlled substance" unless otherwise specified, means a drug, substance, or immediate precursor, which is listed in any schedule in sections 11054, 11055, 11056, 11057, or 11058 of the Health and Safety Code.
* Section 11054 lists all Schedule I controlled substances.
* Section 11056 lists all Schedule III controlled substances.
* Section 11055 lists all Schedule II controlled substances.
* Section 11057 lists all Schedule IV controlled substances.
* Section 11058 lists all Schedule V controlled substances.
Section 12025 or 12025.1 of the Fish and Game Code describes the civil penalties of being in connection with the production or cultivation of a controlled substance on land under the management of the Department of Parks and Recreation, the Department of Fish and Wildlife, the Department of Forestry and Fire Protection, the State Lands Commission, a regional park district, the United States Forest Service, or the United States Bureau of Land Management, or within the respective ownership of a timberland production zone, or while trespassing on other public or private land in connection with the production or cultivation of a controlled substance.
These fines, penalties, or being sanctioned for cultivation or production of a controlled substance on public or private lands are considered grounds for denial.
CDFA-LIC-001 (04/12/2018)
Page 40
SECTION H.2: DECLARATIONS
Declarations are formal written statements in which the Designated Responsible Party declares under oath that the contents are true. In this section of the application, the Designated Responsible Party will read the declarations and agree that the applicant business entity will comply and abide with the terms and conditions as defined in the statements.
1. The date operations began is complete, true, and accurate.
2. The license type being requested is valid only for the premises location.
3. The cultivation premises location is located beyond at least a 600-foot radius from a prohibited location (including but not limited to schools, day care centers, and youth centers) or another radius specified, as required by section 26054 of the Business and Professions Code.
According to section 26054 of the Business and Professions Code, "A premises licensed under this division shall not be located within a 600-foot radius of a school providing instruction in kindergarten or any grades 1 through 12, day care center, or youth center that is in existence at the time the license is issued, unless a licensing authority or a local jurisdiction specifies a different radius. The distance specified in this section shall be measured in the same manner as provided in subdivision (c) of section 11362.768 of the Health and Safety Code unless otherwise provided by law."
According to section 11362.768 of the Health and Safety Code, (c) "The distance specified in this section shall be the horizontal distance measured in a straight line from the property line of the school to the closest property line of the lot which the medicinal cooperative, collective, dispensary, operator, establishment, or provider is to be located without regard to intervening structures."
See section 26001 of the Business and Professions Code for the definitions of day care center and youth center.
4. The business is an "agricultural employer," pursuant to section 26051.5 of the Business and Professions Code.
According to section 26051.5 of the Business and Professions Code, "(8) For an applicant seeking a cultivation license, provide a statement declaring the applicant is an "agricultural employer" as defined in the Alatorre-Zenovich-Dunlap-Berman Agricultural Labor Relations Act of 1975 (Part 3.5 (commencing with section 1140) of Division 2 of the Labor Code), to the extent not prohibited by law.
5. The business shall not sell alcoholic beverages or tobacco products on or at any licensed premises.
6. If the business has 20 or more employees on payroll at any one time, the business is required to enter into, or demonstrate that the business has already entered into, and will abide by the terms of a labor peace agreement.
CDFA-LIC-001 (04/12/2018)
Page 41
A labor peace agreement is an agreement between a licensee and any bona fide labor organization that, at a minimum, protects the state's proprietary interests by prohibiting labor organizations and members from engaging in picketing, work stoppages, boycotts, and any other economic interference with the applicant's business. This agreement means that the applicant has agreed not to disrupt efforts by the bona fide labor organization to communicate with, and attempt to organize and represent the applicant's employees. The agreement shall provide a bona fide labor organization access at reasonable times to areas in which the applicant's employees work, for the purpose of meeting with employees to discuss their right to representation, employment rights under state law, and terms and conditions of employment. This type of agreement shall not mandate a particular method of election or certification of the bona fide labor organization.
7. If the business has not yet received a seller's permit, the business is currently applying for a seller's permit. If a seller's permit is not needed, then confirmation from the California Department of Tax and Fee Administration (CDTFA) shall be included in the application to the Department.
8. If the cultivation license type is Indoor, the local fire department has been notified of the cultivation site. According to section 8102 of Title 3, Division 8, Chapter 1 of the California Code of Regulations, if applying for an Indoor license type, the applicant entity shall attest that the local fire department has been notified of the cultivation site.
SECTION I: FINAL AFFIDAVIT
In this section of the application, the Designated Responsible Party will read the Final Affidavit and if they agree that the applicant business entity will comply and abide with the terms and conditions, as defined in the statements, the Designated Responsible Party will acknowledge the applicant business entity's acceptance of the Final Affidavit by signing in the space provided.
1. The business shall comply with all California state laws and regulations applicable to commercial cannabis cultivation, including but not limited to MAUCRSA and Title 3, Division 8, Chapter 1 of the California Code of Regulations. The business shall be responsible for compliance with subsequent updates to cannabis cultivation laws and regulations.
The Medicinal and Adult-Use Cannabis Regulation and Safety Act (MAUCRSA) provides provisions for the California Department of Food and Agriculture to issue state licenses for commercial medicinal and adult-use cannabis cultivation. Other related codes include but are not limited to the Water Code, Penal Code, Health and Safety Code, Family Code, Fish and Game Code, Food and Agricultural Code, Business and Professions Code, and California Code of Regulations.
2. I hereby declare that the information contained within and attached to this application is complete, true, and accurate. I understand that a misrepresentation of fact is cause for rejection of this application, denial of the license, or revocation of a license issued.
CDFA-LIC-001 (04/12/2018)
Page 42
|
VIRGINIA CITY COUNCIL
COUNCIL PROCEEDINGS
CITY OF VIRGINIA, MINNESOTA, JANUARY 22, 2013
Regular meeting of the City Council of the City of Virginia, Minnesota, was called to order by Mayor Russo at 6:30 P.M. in the Council Chambers, City Hall.
Roll Call:
Present:
Absent:
Councillors Cuffe, Littlewolf, Ralston, Baribeau, Sipola, Baranzelli, Mayor Russo - 7
None
Mayor Russo led the Pledge of Allegiance.
Moved by Sipola and supported by Cuffe to approve Consent Agenda, as follows:
1. Approval/correction of minutes of Regular Meeting held January 8, 2013.
2. Adoption of Finance Resolution No. 13-002 – Schedule of Bills.
3. Adopt Resolution No. 13034 designating depositories for 2013.
4. Approve issuance of 2013 Secondhand Good Dealers License to Dianna Oinonen, d/b/a Consigning Women.
Motions carried and Resolutions adopted unanimously.
Moved by Ralston and supported by Littlewolf to approve the recommendation from the Planning and Zoning Commission accepting former Lots 14-20, Weidner Addition, into Lots 1-7, Block 1, Weidner First Addition. Motion carried.
Moved by Sipola and supported by Baribeau to adopt Resolution No. 13035, approving an amendment to the Service Agreement with the St. Louis County Environmental Services Department to extend the collection of residential and commercial recyclable materials for a one year period through December 31, 2013. Resolution adopted unanimously.
Councillor Ralston reported on the Finance Committee-of-the-Whole meeting held on January 15, 2013.
Moved by Ralston and supported by Cuffe to adopt Resolution No. 13036, accepting the proposal from Everett Emergency Vehicles, Inc., to purchase a 2013 Road Rescue Ultramedic Type III Ambulance Body, in the amount of $144,862.00, and three Styker Power Pro Cots, in the amount of $34,611.00, to complete the ambulance. Resolution adopted unanimously.
Moved by Ralston and supported by Cuffe to allow staff to proceed with the sale of the 2006 Ford Ambulance. Motion carried.
Moved by Ralston and supported by Sipola to schedule the presentation on the Fire Department Business Plan for 10 A.M. on Tuesday, February 19, 2013, during the Finance Committeeof-the-Whole meeting. Motion carried.
Moved by Ralston and supported by Cuffe to approve moving forward with the Grant Contract with the State of Minnesota and City of Hibbing to study shared services with the multiple Fire Departments. Motion carried.
Moved by Ralston and supported by Baribeau to adopt Resolution No. 13037, accepting the proposal from Emergency Services Consulting International to perform the study to share services with the various Fire Departments, with Virginia's portion of $2,025.00 to be funded from the 2013 Fire Department budget. Resolution adopted unanimously.
Moved by Ralston and supported by Cuffe to authorize the Fire Chief and City Attorney to work out the details to allow the City of Mt. Iron to use a Virginia fire truck for a limited period of time and provide a recommendation to the City Council. Motion carried.
Moved by Ralston and supported by Cuffe to approve the travel request for Police Chief Benz and Fire Chief L'Allier to attend to attend the Governor's Homeland Security and Management Conference, to be held February 12 – 14, 2013, in Brooklyn Park, Minnesota. Motion carried.
Moved by Ralston and supported by Littlewolf approve funding up to $1,000 to be used as gap funding for the Strategic Plan for the Greenhouse, to be funded from the 2013 Park Department budget. Motion carried.
Moved by Ralston and supported by Baribeau to adopt Resolution No. 13038, accepting the proposal from Bobcat of Duluth, in the amount of $10,418.00, plus tax, to purchase a Bobcat 3400 for the Park Department. Motion carried.
Moved by Ralston and supported by Sipola to adopt Resolution No. 13039, accepting the proposal from Versatile Vehicles, Inc., to purchase ten new E-Z-GO TXT golf carts, in the total amount of $42,696.66, and to authorize the Park/Recreation Director to sell eight used golf carts to the public, at a price of $1,300 per cart. Resolution adopted unanimously.
Moved by Ralston supported by Sipola to adopt Resolution No. 13040, accepting the proposals from Commercial Refrigeration for the following items for the Golf Course Restaurant:
Resolution adopted unanimously.
Moved by Ralston and supported by Cuffe to adopt Resolution No. 130401, accepting the proposal from Lundgren Motors, in the amount of $19,170.00, plus tax, title and license, to purchase a 2013 Ford Escape for the Park/Recreation Department. Resolution adopted unanimously.
Moved by Ralston and supported by Baranzelli to authorize the Park/Recreation Director to continue to negotiate with the City of Cloquet on the sale of the holiday light display, with the stipulation that Cloquet pick up the lights. Motion carried.
Councillor Ralston reported that the City Attorney will send a certified letter to St. Louis County asking them to notify Virginia regarding any properties that become tax forfeit and to include any assessments in their final sale price.
Councillor Ralston reported that Attorney Robert Vose and the Cable Commissioners will be invited to a Finance Committee meeting in February to discuss the cable franchise renewal with Medicom.
Moved by Ralston and supported by Cuffe.to adopt Resolution No. 13042, approving a contract with Terry Hartikka, as an Independent Contractor, for the operation of the cable public access television, subject to final review by the City Attorney. Resolution adopted unanimously.
Moved by Ralston and supported by Littlewolf to authorize Terry Hartikka, Public Access Programmer, to purchase three new delegate microphones for the Council Chambers sound system, at a cost of $428.00/each. Motion carried.
Moved by Ralston and supported by Baribeau to refer the information regarding the 2013 Coalition of Greater Minnesota Cities Economic Development Partnership Program to the Virginia Economic Development Authority, Virginia-Eveleth Economic Development Authority and the Laurentian Chamber. Motion carried.
Moved by Russo and supported by Baribeau to allow Pat Green to continue to provide building official services on a monthly basis and that he be requested to submit a monthly invoice. Motion carried.
Moved by Ralston and supported by Baribeau to approve the travel request for Lois Roskoski, City Clerk, to attend the 2013 MCFOA Conference, which will be held March 19-22, 2013, in St. Cloud, Minnesota. Motion carried.
Moved by Ralston and supported by Baranzelli to approve the travel request for Thomas Butorac, City Attorney, to attend the Minnesota City Attorneys Educational Conference, which will be held February 7-9, 2013, in Bloomington, Minnesota. Motion carried.
Moved by Ralston and supported by Cuffe to authorize the City Attorney to send a letter to Amy and Tom Martinich notifying them that they have thirty days to apply for the On-Sale Liquor License for their proposed establishment in Midway. Motion carried.
Moved by Ralston and supported by Baribeau to authorize payment for any City Councillor to attend the Laurentian Chamber annual banquet, which will be held on February 8, 2013, at the Elks Club. Motion carried.
Councillor Littlewolf reported on the Buildings/Grounds Committee meeting held on January 15, 2013.
Moved by Littlewolf and supported by Baribeau to add the house located at 1307 10 th Street South to the Engineering Department's list of blighted properties that are in need of demolition. Motion carried.
Moved by Littlewolf and supported by Cuffe to reapply for a 2013 Trails Legacy Grant and utilize information from the successful grants when preparing the application. Motion carried.
Moved by Littlewolf and supported by Baranzelli to request the Park/Recreation Director to inquire and report back on the appropriateness of submitting another application for a 2013 Park Legacy Grant for the Olcott Park fountain restoration project and/or look for other funding sources. Motion carried.
Moved by Littlewolf and supported by Sipola to direct the Park/Recreation Director to obtain fees for the Mt. Iron Community Center and Eveleth Hippodrome for use in updating the Miners Memorial Rental Policy, which will be reviewed at the next Buildings/Grounds Committee meeting. Motion carried.
Moved by Littlewolf and supported by Sipola to request the City Operations Director to develop an accelerated marketing plan and creative pricing for the vacant City lot located at the corner of Sixth Avenue and Chestnut Street and provide a recommendation to the Buildings/Grounds Committee. Motion carried.
Moved by Littlewolf and supported by Baranzelli to authorize the City Attorney to act as the City liaison and attend a meeting of the Lyric Center Board of Directors to provide legal assistance to expedite the completion of the Lyric Center renovations. Motion carried.
Councillor Littlewolf stated a public hearing will be held at 6:30 P.M. on Wednesday, January 23, 2013, at the Miners Memorial Building to review the final Parks and Trails Master Plan.
Councillor Cuffe reported on the Personnel Committee meeting held on January 22, 2013.
Moved by Cuffe and supported by Baribeau to reappoint James Petroskey to the Public Utilities Commission for a three year term ending February 1, 2016. Motion carried.
Moved by Cuffe and supported by Baribeau to reappoint Jon Jacobson to the Public Utilities Commission for a three year term ending February 1, 2016. Motion carried.
Moved by Cuffe and supported by Baranzelli to reappoint Bill Smolensky to the Park/Recreation Commission for a three year term ending February 1, 2016. Motion carried.
Moved by Cuffe and supported by Ralston to reappoint Chad Seppala to the Park/Recreation Commission for a three year term ending February 1, 2016. Motion carried.
Moved by Cuffe and supported by Baribeau to appoint Greg Gilness to the Park/Recreation Commission to fill the vacant unexpired term ending February 1, 2015. Motion carried.
Moved by Cuffe and supported by Baranzelli to reappoint Kathryn Cremers to the Library Commission for a three year term ending February 1, 2016. Motion carried.
Moved by Cuffe and supported by Littlewolf to reappoint Patricia Monacelli to the Library Commission for a three year term ending February 1, 2016. Motion carried.
Moved by Russo and supported by Baribeau to reappoint Dale Krog to the
Planning/Zoning Commission for a three year term ending February 1, 2016. Motion carried.
Moved by Cuffe and supported by Ralston to reappoint Roger Rosandich to the Planning/Zoning Commission for a three year term ending February 1, 2016. Motion carried.
Moved by Cuffe and supported by Baranzelli to reappoint Dennis Yourczek to the Cable Commission for a three year term ending December 1, 2015. Motion carried.
Moved by Cuffe and supported by Baribeau to appoint Tony Bertucci to the Cable Commission for the vacant term ending December 1, 2015. Motion carried.
Moved by Cuffe and supported by Baranzelli to adopt Resolution No. 13042, approving the hiring of Ross Gramling as a Firefighter/Paramedic, contingent upon passing a background check, pre-employment physical and occupational therapy and psychological assessments. Resolution adopted unanimously.
Moved by Cuffe and supported by Baribeau to director the Fire Chief, Mayor, City Operations Director and Finance/Human Resources Director to meet with two Fire Union representatives to discuss a proposal to change the qualifications when hiring staff for the Fire Department, with a recommendation provided to the Personnel Committee. Motion carried.
Moved by Cuffe and supported by Baranzelli to authorize the City Operations Director and Mayor to meet with County Commissioner Nelson to verify issues on the former Staver property, negotiate a purchase agreement, with contingencies, and make a recommendation to the Buildings/Grounds Committee. Motion carried.
Councillor Baribeau stated he provided information to the City Council from the Laurentian Visioning Partnership meeting.
Councillor Cuffe stated the St. Louis County Board received a recommendation to award Virginia a $200,000 Community Development Block Grant to be used for infrastructure in the area of 4 th Street North.
Councillor Sipola stated the Charter Commission met earlier today and the recommendations will be referred to the Finance Committee meeting.
Councillor Littlewolf reported on the Library Commission meeting. The Mayor and City Council were invited to discuss staffing needs and general operations with Library Commissioner Cope. She also reported the 2013 Brown Bag Lunch Series began on January 17 th and will continue through April 18, 2013.
Councillor Littlewolf reported on attending a meeting of the Virginia Schools Facilities Study Committee and stated no final recommendations have been made to the School Board.
8
Attorney Butorac reviewed the request from Northeast Technical Services to approve a Consent and Assignment Agreement, which would allow them to assign the current contract for the operation of the Wastewater Treatment Plant to People Choice, Inc., effective February 1, 2013.
Moved by Ralston and supported by Baribeau to approve the Consent and Assignment Agreement to assign the contract with Northeast Technical Services for the operation, maintenance and management of the City of Virginia Wastewater Treatment Plant, to People Service, Inc., effective February 1, 2013. Motion carried.
Meeting adjourned at 7:30 P.M., with the next regular City Council meeting to be held at 6:30 P.M. on Tuesday, February 12, 2013.
LOUIS J. RUSSO Mayor
(CORPORATE SEAL)
LOIS ROSKOSKI City Clerk
|
The Unified Modeling Language for Object-Oriented Development
Documentation Set Version 0.9a Addendum
Grady Booch James Rumbaugh Ivar Jacobson
Copyright ©1996 Rational Software Corporation
2800 San Tomas Expressway Santa Clara, California 95051-0951
Fax: 408-496-3636
Telephone: 408-496-3600
E-mail: email@example.com
URL: http://www.rational.com
Sales (U.S. and Canada)
(800) 728-1212
International offices
Australia +61-2-419-8455 Brazil +55-021-571-2978 Canada 613-599-8581 France +33-1-30-12-09-50 Germany +49-89-797-021 India +91-80-553-8082 Korea +82-2-579-8926 Sweden +46-8-703-4530 Taiwan +886-2-720-1938 UK +44-1273-624814
International representatives
Israel +972-3-531-3333
Japan +81-3-3779-2541
1. Overview
1.1 Purpose
This document is an addendum to the version 0.8 documentation set for the Unified Method, released in October 1995. The purpose of this version 0.9 document is to provide an update to our work which has evolved due to continued efforts at unification, public feedback, and research addressing new elements of modeling, namely, the issues of distribution, concurrency, and interfaces.
Much has happened since the release of the version 0.8 documentation set. Most importantly, Ivar has joined our team. The 0.8 documentation set, written by Grady and Jim, had addressed some elements of use case modeling, but now with Ivar as an equal partner we have been able to fully assimilate his work. This effectively means that the scope of our activities has grown to encompass the unification of the Booch, OMT, and OOSE methods. As part of this growth we have also renamed our work, changing it from the Unified Method (UM) to the Unified Modeling Language (UML). This name change reflects the fact that we have chosen to decouple our work on notation and semantics from that of process. Section 2.1 explains this change in more detail.
As part of our continued efforts at unification, we have worked hard to make the UML simpler. This means that we have collapsed some related concepts into more general ones, we've made the notation more regular and even eliminated some symbols, and we've made the metamodel cleaner and smaller. Along the way, we've also found opportunities to reuse existing UML semantics in creative ways. This has enabled us to attack the problems of distribution, concurrency, and interfaces with minimal increase in the size of the UML
1.2 Organization
This document is an addendum to the version 0.8 documentation set, and as such does not provide a complete metamodel for the UML. Rather, it concentrates upon what's changed, what's new and different, and what's left to accomplish. Our version 1.0 documentation set, which we expect to deliver in late 1996/early 1997 in conjunction with our OMG submission, will provide a complete metamodel.
The core of this document is organized in three major sections:
2. What's Changed
This section addresses various naming changes (including the change to the UML designation), changes to the syntax of stereotypes, and changes to the syntax and semantics of packages and nodes.
3. What's New
This section addresses the semantics of stereotypes and the integration of use cases (two improvements to the UML) as well as the semantics of interfaces, distribution, and real time modeling (new features to the UML).
4. Tentative ProposalsThis section includes some proposals that are not yet final, but are being considered for inclusion in the UML. Readers are invited to comment on these proposals.
5. What's Left
This section provides a schedule of UML developments over the next several months and the work that remains to be done.
1.3 Acknowledgments
Since the publication of the 0.8 documentation set for the Unified Method, we have distributed several thousand copies and have received feedback from hundreds of individuals from around the world. Thank you: your comments have given us much valuable guidance. Not only have you told us what you've liked, but you've told us what we've needed to fix, and what we were missing. Because of the volume of comments, we simply have not been able to respond to every message personally, but be assured that we are still tracking every comment we have received, and we are striving to address all substantial issues. Unfortunately, we can't acknowledge every contribution personally, but we'd like to give special thanks to a few individuals for their detailed feedback, namely, Michael Chonoles, Peter Coad, Bruce Douglas, Don Firesmith, Martin Fowler, Paul Kyzivat, Jim Odell, Dan Tasker, Jeff Sutherland, and various groups of developers at AG Communication Systems and Andersen Consulting.
1.4 Points of Contact
Comments on any aspect of the UML should be sent directly to all three of its authors, preferably via e-mail. Our individual addresses are:
Grady Booch firstname.lastname@example.org
James Rumbaugh email@example.com
Ivar Jacobson
firstname.lastname@example.org
You can also post a message to all three of us at once using the following address:
email@example.com
Finally, you can send comments to us via snail mail, using the address for Rational's corporate offices as listed on the copyright page of this document.
1.5 Copyright
The UML is an open standard; it is not a proprietary Rational language. As such, the UML may be used freely by anyone, anywhere. We are actively encouraging other tool vendors, training firms, consulting firms, authors, and developers to adopt the UML so that there will be wide-spread support for all users of the UML. We have a copyright notice on this and other UML documents simply to prevent commercial for-profit reproduction. If you want to share copies of this document with a colleague, then simply make a complete copy and acknowledge its source. If you want to make hundreds of copies and then sell them or use them for a training course, then please talk to us first. If you want to use this material to build a tool, develop a new training course, write a book, or use in your projects for development, then we encourage you to do so, but please again acknowledge its source, and remember that the UML is almost (but not totally) finished and therefore some things might change. It is in the best interests of the market for there to be consistent support for and use of the UML; if you find holes or areas of ambiguity in using the UML, please contact us. Now is the time to address the remaining loose ends.
2. What's Changed
2.1 Name Changes
There are two major name changes since the version 0.8 documentation set: the name of the UML itself, and the names of certain diagrams.
In the 0.8 documentation set, we referred to our work as the "Unified Method." We have decided to change the name to the "Unified Modeling Language," or "UML" for short. We made this change for three reasons:
* Feedback from the market indicated that we would add the most value by focusing on stabilizing the artifacts of software development and not the process.
* The UML is intended to be a universal language for modeling systems, meaning that it can express models of many different kinds and purposes, just as a programming language or a natural language can be used in many different ways. Thus, a single universal process for all styles of development did not seem possible or even desirable: what works for a shrink-wrap software project is probably wrong for a one-of-a-kind globally distributed, human-critical family of systems. However, the UML can be used to express the artifacts of all of these different processes, namely, the models that are produced.
* Our unification efforts were already focusing upon the graphical modeling language and its semantics and far less so on the underlying process.
Our move to the UML does not mean that we are ignoring the issues of process. Indeed, the UML assumes a process that is use case driven, architecture-centered, iterative and incremental. It is our observation that the details of this general development process must be adapted to the particular development culture or application domain of a specific organization. We are also working on process issues, but we have chosen to separate the modeling language from the process.
By making the modeling language and its process nearly independent, we therefore give users and other methodologists considerable degrees of freedom to craft a specific process yet still use a common language of expression. This is not unlike blueprints for buildings: there is a commonly understood language for blueprints, but there are a number of different ways to build, depending upon the nature of what is being built and who is doing the building. This is why we say that the UML is essentially the language of blueprints for software.
The names of four diagrams have been changed. In version 0.8, we referred to "message trace diagrams" and "object message diagrams." In the UML, we now refer to these two diagrams as "sequence diagrams" and "collaboration diagrams" respectively. We chose the name "sequence diagram" because it was a more general term (such diagrams involve more than just events) and because it emphasized its focus on the time-ordered sequence of transactions. We chose the name "collaboration diagram" because it was a more general term (the term "object diagram" had gotten terribly overloaded) and because it emphasized its focus on the patterns of collaboration among sets of objects.
Additionally, in version 0.8, we referred to "module diagrams" and "platform diagrams." In the UML, we now refer to these two diagrams as "component diagrams' and "deployment diagrams" respectively. In the case of component diagrams we have made the name change because ongoing use has led us to realize that these diagrams are more generally useful in modeling all sorts of physical components (such as dynamic libraries) as well as more static files. In the case of deployment diagrams, we have made the name change because the term "platform' turned out to be highly overloaded, and the term "deployment" reflected the diagram's true semantics, namely, the topology of the deployed system.
2.2 Syntax of Stereotypes
In the UML, the role of stereotypes and properties has been greatly expanded, for they have proven to be powerful mechanisms that are both general and extensible. Section 3.2 explains how the semantics of stereotypes and properties have been improved. Also, the syntax of stereotypes has been changed. In the 0.8 documentation set, we designated a stereotype by enclosing the stereotype name in parenthesis. Because parentheses are used in many other places and are not visually distinctive, we have changed the notation for stereotypes to guillemets («»), which bracket the stereotype name as in «exception». For convenience a guillemet can be typed as two anglebrackets but most typefaces support them as single characters. The stereotype notation can be used to mark an element, such as a class, package, or association. It can also be used within a list (such as a list of attributes or operations) in which case it applies to the succeeding elements in the list until countermanded.
We had considered the use of the exclamation point (!) to introduce a stereotype, but we eventually dropped this idea, for too many people confused it with the not operator found in many programming languages.
Figure 1 provides an example of the syntax for stereotypes.
In this figure, we see a class named BadSocket whose stereotype is exception. By stylistic convention, we put the name of the class in bold face, while other elements of the class are written in normal face.
The same stereotype notation may be used to group operations. For example, the operations getID and setID are classified as access operations, and the operation setSocket is a helper operation. Access and helper both qualify as operation stereotypes, because they are in effect metaclassifications of each operation and describe how the operations are used within the model. For example, access operations can be generated automatically from the attributes and helper operations are meant for internal use only. Operations throw and log have no stereotype; they are just ordinary public operations.
2.3 Generalization
Figure 2 illustrates one minor change to the generalization relationship: we now render this as a directed line with a closed, unfilled triangular arrowhead at the superclass end (in the 0.8 documentation set, we rendered this as a filled triangle).
We have shown another stylistic convention here. Specifically, we have used italic font for abstract classes (and operations) and normal font for concrete classes (and operations). This convention is a shorthand notation for including the property "abstract" with the class name (or operation signature), but it may be particularly convenient for large lists of classes and operations.
Figure 2: Generalization
Handler
KeyboardHandler
MouseHandler
JoystickHandler
Figure 3 shows a change in syntax from the V0.8 definition of "and-generalization." And-generalization occurs when a superclass generalizes more than one independent dimension. Different dimensions represent orthogonal abstract ways of describing an object. Each dimension is an incomplete view of the superclass. Concrete classes are formed by multiple inheritance as a Cartesian product of the different dimensions. In other words, a concrete class has a list of superclasses, one from each dimension of generalization of the original abstract class. For example, the class Sailboat is a subclass of WindPoweredVehicle and WaterVehicle; the class Truck is a subclass of MotorPoweredVehicle and LandVehicle. This construct is semantically equivalent to forming the Cartesian product of the different dimensions, even if all combination subclasses (such as Sailboat and Truck) are not shown. In V0.8 we required a dummy class for each dimension, which was unnatural and unworkable in a system with many packages. Now we allow a discriminator label to be attached to a generalization arc. If several generalization arcs share the same label, then they represent the same dimension of generalization of the superclass; different labels define independent dimensions of generalization. (The "empty" label is just a particular label, so that a generalization without any labels is just a special case of a dimension.)
Further clarifying the semantics of generalization, we do not assume or preclude the concepts of dynamic classification and multiple classification (the terms are due to Odell). These are very useful ideas for analysis, but some users may choose to forgo them because they are not directly supported by the leading OO programming languages. Concepts such as dynamic and multiple classification are properties of the dynamic environment; the same static class model can be used with either assumption. There are many other properties of the dynamic environment that different users may want to vary. We do not feel that a single definition of dynamic semantics will work for all purposes. Accordingly, as part of our work toward formal specification of UML semantics we are investigating mechanisms to support "pluggable semantics" that permit the language to be extended. These mechanisms could be used to tune the execution semantics. (See section 3.4 for an example using the «becomes» relationship to represent dynamic classification in action.)
Figure 3: And-generalization with discriminator labels
Vehicle
WindPowered
Vehicle
MotorPowered
Vehicle
Land
Vehicle
Water
Vehicle
venue
venue
power
power
Sailboat
Truck
In the final UML document we will suggest some hints to tool builders to provide optional notation to enhance user comprehension of models. One such suggestion is an optional notation for showing an incomplete generalization, i.e., a diagram in which some subclasses of a superclass are shown but others are missing from a particular diagram (presumably they are shown on another diagram). We suggest the ellipsis symbol "…" to explicitly indicate that some subclasses are missing from a diagram. We propose that editing tools automatically generate or suppress this symbol as appropriate (i.e., it is a statement that the view omits something, not a statement that the model lacks something). This convention could also be used for associations, attributes, operations, etc. To avoid visual overload such visualization options must be dynamically selectable.
2.4 Association Navigation
In the version 0.8 documentation set, we defined navigability as an element of the role affiliated with each end of an association relationship; however, we combined its symbol with the by-value/ by-reference distinction. In the UML, we have decided to designate navigability with an open arrow, as illustrated in Figure 4. Navigability is visually distinguished from inheritance, which is denoted by an unfilled triangular arrowhead icon near the superclass.
In Figure 4, we have marked the association as navigable only in one direction, namely, from the Handler to the Client, but not the reverse. This might indicate a design decision, but it might also indicate an analysis decision to partition the system into packages such that the Client class is frozen and cannot be extended to know about the Handler class, but the Handler class can know about the Client class.
Figure 4: Association Navigation
Client
Handler
We chose this particular notation for navigability for two reasons:
* It was consistent with the use of the open arrowhead to show directionality in all other uses.
* It was visually striking, but not so overwhelming that it stood out as a primary element.
A related change is a reassessment of the "by-value" adornment for associations. A "by-value" implementation always implies aggregation: the value is physically part of the other object, so it must be an aggregation. Therefore it is dangerous and unnecessary to allow "by-value" to be specified separately from aggregation. We have realized that this is really an adornment on an aggregation, a "tightly-bound" implementation of an aggregation. Therefore, the notation for "by-value" implementation is now a solid (filled) diamond on the aggregation symbol; a hollow diamond implies a "by-reference" aggregation, the normal default. The small squares to mark "by-value" and "by-reference" are thus subsumed by this approach. Note that a "by-value" aggregation is semantically equivalent to an attribute, but may be visually more appealing when the part has its own internal structure.
There are certain rules on compatible adornments of associations:
* Only one side (at most) of an association can be an aggregate.
* If one side is a "by-value" aggregation, then the association is navigable to the other side.
2.5 Packages
In the version 0.8 documentation set, we used two different grouping mechanisms—categories for the logical model and subsystems for the code model—each with a distinctive icon. In the UML, we decided to collapse these two mechanisms into one all-purpose packaging construct, which can also be used for other groupings of modeling elements, such as use cases and processors. We call such a grouping a package and we draw it as a familiar desktop, namely, the "tabbed folder." We made these changes for three reasons:
* We needed a grouping mechanism elsewhere, and found that we kept adding new mechanisms that were all very similar.
* The semantics of categories and subsystems were similar, and use of stereotypes made it possible to introduce a more general concept yet retain some distinctions.
Figure 5 provides an example of several packages. In this figure we see four packages: Clients, Business Model, Persistent Store, and Network. In this sample diagram we show two classes inside the Business Model package, together with one nested package, Bank. A real model would have many more classes in each package. The contents might be shown if they are small, or they might be suppressed from a high-level diagram showing the system architecture. The entire system is a package.
This figure shows a fairly regular hierarchical structure, with packages dependent upon other packages. As in the 0.8 documentation set, we use the dependency relationship to show design and implementation dependencies. For example, we note that the package Clients depends upon the packages Business Model and Network directly, meaning that one or more elements within Clients depends on one or more elements within the other packages. Three of these outermost packages are shown in an elided form (and by convention we place their name in the body of the icon to save space), whereas the package Business Model is shown partially expanded. In this case, we see that the package Business Model owns the classes Customer and Account as well as the package Bank. Ownership may be shown by a graphical nesting of the icons or by the expansion of a package in a separate drawing (which might be more convenient in an on-line tool). Thus, it is possible to show relationships to the containing package as well as to nested elements.
Figure 5: Packages with Dependencies
Clients
Business Model
Customer
Account
Persistent Store
Network
Bank
The semantics of packages do not change from the 0.8 documentation set: a package owns its contents and defines a nested name space for its contents. This means that every class (or other element) may belong to exactly one package. In other words, packages partition the elements in a model. A package may contain references to classes owned by other packages. In cases when the other packages are not shown, such references must be marked with fully qualified names, in the form PackageName::ClassName. A package can add associations to referenced classes but cannot modify their contents (attributes and operations). The navigability of associations within a package must be compatible with the visibility of the underlying classes.
Packages provide an organizational structure for the model, including grouping, naming, and configuration control units. Otherwise, packages do not add semantics beyond those of their contents.
However, they may be used to understand models by summarizing semantics derived from their contents. Used in a top-down fashion for design, packages permit designers to constrain properties of their contents, such as dependencies on other elements, and therefore they can be used to specify semantics of groups of elements at a high level.
Packages turn out to be a wonderfully general mechanism for organizing models. They may be used to designate not only logical groupings and physical ones, but they may also be used to designate use case groups and processor groups. A use case group and a processor group is, as the names suggest, a packaging of use cases and processors, respectively. In each case, the usual semantics of package ownership apply. Also as usual, stereotypes may be used to distinguish one kind of package from another.
2.6 Nodes
The version 0.8 documentation set adopted the use of platform diagrams, which in 0.9 we now name deployment diagrams. These diagrams contained two different symbols, one designating a processor and the other designating a device. We distinguished these two semantically and iconically. In particular, processors had computational resources and thus could run processes and hold objects, whereas devices could not. Both processors and devices were rendered as a three-dimensional rectangular shape, but with processes having shaded sides. In the UML, we decided to collapse these two concepts into one. We made this change for two reasons:
* In real systems, it is rare to encounter any device that has no computational elements. What looks like a device to one system probably looks like a processor to another.
* Improvements in the semantics of stereotypes made it possible to introduce a more general concept.
In the UML, we call the elements that contain resources (including CPUs and memories) nodes. A node thus represents a resource in the real world upon which we can distribute and execute elements of our logical models. A node is rendered as a three-dimensional rectangular solid with no shadows. This icon is simple to draw and still conceptually different from all other elements, which are all drawn as two-dimensional shapes. It also conveys the idea of a "physical presence."
Figure 6 provides an example of a deployment diagram. In this figure we see six nodes. Two of these nodes (Fax and Printer) are designated with the «device» stereotype since, in the context of this system, they are not computationally interesting; it is of course not required to show a node's stereotype. Three of the remaining nodes are adorned with roles with respect to the server. For example, there are a set of PC nodes for Order Entry. Nodes are classes and thus can have the properties that classes have. In this case we have shown the multiplicity of each class within the entire system: many order entry PCs and many printers and one of each other node. (We could also draw an instance-level version of this diagram to show a particular deployment of nodes in an individual instance of a system.) Notice also that we have used the stereotype notation to distinguish different kinds of connections; in this case the system employs ISDN connections.
2.7 Conditionals in Interaction Diagrams
A scenario is a single execution history of an interaction. Because collaboration diagrams and sequence diagrams did not have conditional branches in version 0.8, they were restricted to showing scenarios. This meant that they could only show individual executions of a system and not the general interaction pattern. We have realized that there is no reason why the general interaction pattern should not be shown. Therefore, we have added a notation for conditionals to collaboration diagrams and sequence diagrams. Accordingly, we collectively call them interaction diagrams because they document general interactions.
In a collaboration diagram, a conditional is indicated with a guard condition in square brackets (Figure 7), the same notation used for synchronizing with another thread (which is also a kind of guard condition on execution), and the same notation used for guard conditions in state diagrams. In addition, each arm of the condition is labeled as a separate thread, the same as a concurrent thread. A branch is simply a pair of parallel threads in which only one thread is chosen on any given pass; a concurrent fork is a pair of parallel threads in which both threads are chosen. Therefore a given named sequence in the messages indicates a single thread of control that is always executed sequentially.
In a sequence diagram, a conditional is indicated by splitting a message arrow into two parallel targets (Figure 8). Note that in the x=0 case in this example, neither branch is taken. As with finite state machines, at any given branch point, the conditional expressions in an interaction diagram must be unambiguous. A branch of control may require "splitting" the target object into two separate, parallel traces that represent alternative histories. This notation works if the subsequent control patterns are not too complicated. In cases of nested conditionals, it is better to "split" the entire sequence diagram by duplicating it or by separating the subsequences into separate subdiagrams.
We make the observation that a conditional is merely a fork of control into two (or more) parallel threads that may not both execute together. In other words, conditionality and concurrency are closely related.
Figure 8 also shows a recursive call (on the operation "more"). We have decided to use the intuitive notation from the Siemens pattern group's Object Message Sequence Charts 1 (OMSC) in which recursive calls are shown by stacking multiple activities on the object lifeline. Another aspect from (OMSC) is the notation for creation and destruction of objects in the sequence diagram: The object icon is drawn level with the arrow for the operation that creates it; a large "X" indicates the destruction of an object, usually by external command but in this case a self-destruction as the last act of a method before returning. An arrow to a vertical dotted line indicates a call to a preexisting object.
1. Frank Buschmann, Regine Meunier, Hans Rohnert, Peter Sommerlad, Michael Stal. Pattern-Oriented Software Architecture: A System of Patterns. Wiley, 1996, ISBN 0471958697.
3. What's New
3.1 Semantics of Stereotypes and Properties
In the version 0.8 documentation set, we introduced a general property mechanism for all UML elements. The purpose of this mechanism was to provide a simple yet expressive means to extend the UML in ways that we could not yet then imagine. Part of this property mechanism included the concept of a stereotype, which was essentially the metaclassification of a UML element or, as we sometimes called it, the property that had no name.
Our initial work with stereotypes was motivated by a desire to distinguish various kinds of classes in a model (the word "stereotype" comes from Rebecca Wirfs-Brock). As we continued in our work on unification, we discovered that stereotypes were a far more powerful mechanism that we first realized. First and foremost, they helped us address the problem of metaclassification, such as distinguishing exception classes which should generally only be thrown or caught as well as distinguishing various kinds of analysis objects as found in OOSE (and which we further discuss in section 3.2). Second, they enabled us to collapse semantically similar concepts into one (such as nodes, as we discussed in sections 2.5 and 2.6), thereby simplifying the UML. Third, they allowed us to define core UML semantics very precisely, yet allowed end users some degrees of freedom in tailoring the language to their needs. For example, as we describe further in section 3.5, we already understand the most common forms of message synchronization (simple, synchronous, asynchronous, and various timed synchronization) but there is no way that we could ever specify all forms of synchronization, for not all of them yet exist. For example, the Java model of message synchronization is different than that of Ada's and it's likely that as experience with internet languages grow, other models will arise. In our approach, the UML can adapt to these new semantics without altering core UML semantics.
In the version 0.8 documentation set, we underspecified the semantics of stereotypes, largely because we didn't exactly understand their implications. Now, we can finally state their semantics more precisely. Specifically:
* A stereotype represents the metaclassification of an element. It represents a class within the UML metamodel itself, i.e., a type of modeling element. It is a way to allow users (methodologists, tool builders, and user modelers) to add new kinds of modeling types.
* There is a separate list of stereotypes for each kind of UML element.
* Every element in the UML may have at most one stereotype; this stereotype is omitted when the normal predefined UML modeling semantics suffice.
* We predefine some of these stereotypes, but we also allow users to define their own.
* Stereotypes have semantic implications which may be specified for every specific stereotype value. We are investigating ways to allow the semantics to be specified by users. Meanwhile the semantics can be stated in natural language or built into a particular editing tool.
A predefined stereotype is one whose value and semantics we define as part of core UML. We can think of at least two kinds of stereotypes: those with specific added semantics and those that provide convenient conceptual grouping but don't really add to the semantics. Our current list includes the following predefined stereotypes with semantics:
* Class and object stereotypes
The following lists are offered for convenience; they are not formally a part of the UML. They might be used in a tool to change the rendering, but they don't really have additional semantics beyond the nature of the things they contain:
* Package stereotypes
* Processor group
* Category
* Module group
* Service package
* Subsystem
* Use case group
* Device.
* Node stereotypes
* Processor
* Object type stereotypes (from OOSE; other methods have also defined similar lists)
* Memory
* Entity object type
* Interface object type
* Control object type
Relationships may be adorned with stereotypes as well. In fact, section 3.2 describes several other predefined stereotypes that map to concepts in OOSE, some of which are attached to class relationships.
Our list of predefined stereotypes is not yet complete. All of these lists will likely evolve before the final UML report is prepared.
Tagged values are extensible properties consisting of an arbitrary textual tag and a value. We are also compiling lists of recommended tags. Section 3.4 describes one new predefined tag, location, which denotes the node to which the item is attached. We are considering other tags, such as persistence, which would denote if an object's state is transient or sticky (or replicated or indeterminate; the list of possible values is open-ended).
There is one other important improvement to the notation for stereotypes that we have developed since the 0.8 documentation set. Specifically, we recommend that tools allow every stereotype to be further distinguished by style (color, line thickness, fill pattern, font) as well as by icon. The purpose of this improvement is to permit tool builders and end users to tailor the UML's graphical syntax in controlled ways, and to permit models to have special visual cues. For example, we might wish to have all exception classes stand out by rendering them in color. To do so, the user might designate the stereotype exception to be mapped to red, and then attach this stereotype to all relevant classes. Because support for color varies among systems (and people!) use of color should be reserved to the individual user, rather than being predefined in UML.
On the other hand, attaching an icon to a stereotype is a bit more universal. In the UML, we permit users to attach an icon to a stereotype. (The details of specifying the image would be up to the editing tool.) In its canonical form, this icon may be displayed to the right of the stereotype value; Figure 9 provides such an example (middle). In its expanded form, this same item may be rendered simply with the icon and the item's name, as in Figure 9 (right side). In fact, the three items in Figure 9 are semantically equivalent; they are just rendered differently.
«actor»
Customer
Customer
Tools may permit and provide alternate views of UML symbols beyond those that we have provided. In fact, one of the major values of a tool is to provide ways for users to dynamically alter views of models to highlight various topics of interest. For example, the canonical form of a node is a three-dimensional rectangle; tools may render nodes in more domain-specific ways, such as by displaying the icon for a PC. Similarly, we have specified that a canonical class icon contains three compartments, one each for the name, the attributes, and the operations. For some purposes additional compartments are useful, for example, a list of business rules or a list of responsibilities of the class. It is permissible for tools to add additional compartments whose syntax must be specified by the toolmaker. We have already noted that compartments or selected contents of compartments should be suppressible within views. We support similar extensions in this spirit. However, with all extension mechanisms, including stereotypes, properties, view tailoring, special icons, etc., there is a danger of creating a private language that others cannot understand or use, so the benefits of special extensions must always be weighed against the loss of a common base.
3.2 Use Cases
Since the introduction of the 0.8 documentation set, we have worked to integrate the OOSE semantics of use cases fully into the UML. We had gotten the structural elements of use cases and scenarios fairly right, but we had not addressed the elements of OOSE's analysis and design models very well at all, nor had we considered the implications of robustness analysis. In doing this integration, we found that UML's stereotypes helped us add these features with little additional complexity.
We treat actors as classes with stereotypes for their semantics and notation. The stereotype icon for an actor is a stick figure, as in Figure 9. As with any stereotyped class, either the class icon or the stereotype icon can be used.
Generalization applies to actors and use cases. Concrete actors are specializations of abstract actors and concrete use cases are specializations of abstract use cases. Furthermore, actors may have (communication) associations with use cases, meaning that instances of the actor participate in instances of the use case. Use case classes may be related to other use cases classes by the extends and uses relationships; we regard these as stereotypes of the generalization relationship.
Interactions between actors and use cases can be described with both sequence diagrams and collaboration diagrams.Both actors and use cases can be described in words, of course. Indeed, it is particularly important to identify the purpose of a use case in words. There are also several other means of modeling use cases, for example, by listing their responsibilities, by listing their attributes and operations, and by defining their patterns of interaction using state machines.
Managing use cases at the user requirement level is fairly straightforward. The complexity of mapping use cases to design artifacts increases as a model progresses to the design stage. Some of these design artifacts include internal classes, packages, and interfaces. Interaction diagrams (sequence diagrams and collaborations diagrams) provide a way of doing this mapping, which can occur on several different levels. First, responsibilities of the use case are allocated to supporting classes, package, and interfaces in the design model. Attributes of the use case must be mapped onto attributes or associations of the supporting classes. Next each operation in the use case must be mapped onto operations on classes. Finally the flow of control among objects must be designed so that the proper operations are invoked at the proper times within the execution of the use case; this can be shown on interaction diagrams for the system as well as state diagrams for the constituent classes. The degree of formalism employed in the mapping depends on the development process followed. The UML does not prescribe a particular mapping between use cases and other entities. The mapping required by any particular process can be modeled using UML dependency relationships with appropriate stereotypes.
In the UML, integration of OOSE semantics also encompasses the following elements:
* The use of stereotypes to model interface, entity, and control objects
* The use of stereotypes to model the OOSE association stereotypes
Clarifying the relationship of use cases to scenarios and classes was largely a semantic issue, and had no notational implications. In 0.8, we had originally attached use cases to the class model directly, but we eventually realized this was wrong: use cases stand as peers to class models. The package scoping mechanism can accommodate various approaches to organizing system models, including independent use case models and class models as well as other possibilities. Finally, we may also attach state machines to use cases to definitively specifying their dynamic semantics.
In the 0.8 documentation set, we had rejected the stick figure icon for actors, and treated actors as objects. This was wrong: actors are classes. Actors may be modeled as a special stereotype of classes with their own stereotype icon. The UML is actually thus more general than OOSE, since a project could identify other stereotypes for classes that interact with use cases. For example, to model a system of interconnected systems, a project might introduce a stereotype denoting a system class.
Interface, entity, and control objects from OOSE can be handled in the same fashion. Basically, these are just stereotypes of classes, and so a project can predefine these three stereotypes when following an OOSE process. Other processes with different lists of predefined stereotypes can just as easily be handled.
OOSE's process has a rich set of association stereotypes; in practice, users of this process report that this set is necessary but sometimes insufficient. Again, using UML's stereotype mechanism, we can satisfy the OOSE association stereotypes but at the same time leave room for the introduction of other kinds of associations. The following table illustrates the mapping of OOSE associations into UML. Note that this mapping requires no new special notation:
| OOSE | UML | Stereotype |
|---|---|---|
| attribute | association | |
| consists of | association (aggregation) | |
| communicates | association | communication |
| subscribes to | association | subscribes to |
| acquaintance | association | |
| extends | generalization | extends |
| inheritance | generalization | |
| uses | generalization | uses |
| depends on | dependency | |
In OOSE, requirements are first class citizens, but there was no means of graphically rendering a requirement. In UML, we may use attach the stereotype requirement to a note, and thereby graphically reify this concept. Using existing UML semantics, we may thus show the dependencies of a requirement to other modeling elements.
3.3 Interfaces
In pushing the semantics the UML further, we found the need to model interfaces. An interface is a class stereotype that designates the external face of a class or a package, consisting of a set of operations and their signatures together with their dynamic semantics. Other classes may support or use an interface; we thus say that a class conforms to an interface in a particular role. The role describes the part played by each class within the interface; normal interfaces have supplier and client roles that complement each other. Such semantics are adequate to describe most libraries and frameworks, such as the interfaces found in Microsoft's COM as well as in Java's conception of interfaces. Whereas in COM and Java interfaces are largely only static named groups of operations, the UML permits attaching dynamic semantics, so that a partial ordering of operations legal for an interface may be specified. We call specification of legal activity sequences the protocol of the interaction. For real-time applications more complicated protocols are necessary to describe patterns of interaction, including multiple roles, two-way communication, and constraints on interaction sequences.
We examined a number of existing approaches to specifying interfaces and found a great deal of similarity among them. These include ROOM protocols, OOSE contracts, RDD contracts, Microsoft COM interfaces, and Helm, Holland & Gangopadhyay contracts. We have tried to incorporate the best of these ideas into a broadly-useful construct for describing interfaces.
An interface describes the legal patterns of interaction between two objects. There is a range of possible interaction complexity: at the simplest, an interface consists of a set of functions that can be called at any time in any order (a simple function library); a more complex interface is a set of functions with constraints on the order in which they can be called (a function library with setup functions, for example). An interface has supplier and client roles, each of which corresponds to a participant. (However, in many cases the client is uninteresting and only the supplier is really important.). The legal interaction sequences can be specified by a state machine in which the states correspond to activities by the participants and the transition triggers correspond to messages among the participants. (In the case of a simple class library the state machine can be omitted. Even in a more complicated case, frequently it is the participation in an interface that is of most interest, rather than seeing the state machine.) An interface may be drawn as a class with stereotype «interface» (Figure 10). The name of the class is the name of the interface. Dependency arrows from participant classes to the interface class are labeled with stereotype «conforms» and with the name of the role within the interface (such as "client" or "supplier"). Separate groupings of classes conforming to the interface may be shown on separate class icons; each appearance defines a set of classes that interact, i.e., an instantiation of the interface.
Normally we think of the interface as "belonging" to the supplier, but of course any interaction has two sides and most interfaces impose restrictions on what the clients can ask as well as what the supplier must do. People often think of an interface as a set of operations that the supplier provides, but this is insufficient in many practical cases: there are constraints in the order in which the operations can be called which means that the interface really requires a grammar or a state machine for its full specification.
We provide a stereotype icon for showing interfaces in a more compact form (Figure 11). The supplier of an interface (i.e., the class, package, or entire system conforming to the "supplier" role) shows a protruding solid "lollipop" labeled by the name of the interface. The client of an interface shows a dashed dependency arrow to the interface circle. This notation shows the matchup of suppliers and clients. Either the client or the supplier may also be drawn in isolation with the interface icon to show conformance to the interface.
xyz
3.4 Distribution
In the version 0.8 documentation set, we indicated that our future work would address the problems of distribution and concurrency. In the UML, we have introduced a solution to these problems, largely by using existing UML features in creative way.
The problems of distribution and concurrency are not independent. Briefly, distribution involves at least the following three issues:
* The allocation and possible migration of objects (including processes and threads) relative to nodes in the deployment view
* The specification of mechanisms for registering, identifying, moving, and communicating with remote objects
* The grouping of distributed objects; objects are rarely distributed in isolation, but rather, tend to be distributed in groups
Similarly, concurrency involves at least the following four issues:
* The presence of the processes and threads that compose the system's process architecture
* The patterns of communication among these processes and threads
* The allocation of classes and objects to these processes and threads
* The allocation and possible migration of these processes and threads to memories and processors in the deployment view
The problems of distribution and concurrency bridge the logical and physical views of a system. To be clear, the essential modeling problems we are trying to solve include:
* How do I model the physical distribution and migration of objects in a system?
* How do I model the process architecture of a system?
This section addresses how the UML handles the first question, and section 3.5 addresses the second.
Modeling the physical distribution and migration of objects in the UML requires the introduction of one predefined property (location), plus the use of composite objects to denote distribution units. The location property denotes the name of the node to which the item is attached. Finally, a distribution unit (a stereotyped object) designates a physical packaging of objects which are distributed and may migrate as a unit across nodes. Since a distribution unit has a location and can be identified, it is a composite object that contains other objects.
The interface stereotype is an important element of modeling distributed systems. In the publishand-subscribe mechanisms of CORBA ORBS and Microsoft's COM, one typically publishes an interface to which clients can subscribe and against which others implement, even if that implementation is distant from the intended clients. The semantics of interfaces were explained further in section Figure 3.3.
The location property allows one to model the physical partitioning of a system. To be precise, the location of an object manifests itself as a dependency in the UML metamodel, between the object and a node (or nodes). From the user's perspective, this dependency is rendered as a property. Thus, in a class diagram, certain classes might be designated to "live" on a particular node or nodes. For example, in a customer support system built upon a three-tier architecture, we might designate the class Customer to be attached to a server node, meaning that all of its instances reside there, while the class Order Form might be attached to a client, with an association between Customer and Order Form that essentially spans the two nodes. Instances of one class can also exist on multiple nodes (in which case the class must be visible on multiple nodes).
In a collaboration diagram, we can then model the migration of a Customer object from server to server. In the UML, the same object may be represented at multiple points during its lifetime with distinct object icons connected by the «becomes» dependency. Each appearance shows different values for its properties and attributes, such as the location property. Thus, at one point we might see aCustomer residing on firstServer and then at a later time residing on secondServer.
The «becomes» dependency shows two stages in the life of a single object (Figure 12). This diagram shows the migration of an object from one node to another as well as an example of dynamic classification in which an object changes its class. The dependency could be applied to the associations as well but this seems unnecessary in most practical cases. A related dependency relationship is «copies» which indicates that one object is as a copy of another object, presumably for performance or reliability reasons. The semantics of copying require further work.
The location of an object can also be shown by physical nesting of the icons. An object might be owned by a process that in turn is inside a node. This notation is intuitive but impractical for large numbers of objects, but might be useful for showing collaboration diagrams that cross physical node boundaries (Figure 13).
Figure 12 shows the distribution notation to show objects that migrate from node to node. Figure 13 shows the migration of an object from one process to another on different nodes, using graphical containment to show the relative locations of nodes, processes, and objects. Figure 14 shows the distribution notation to show static dependencies among code. The understanding is that the code is present on the given nodes (either as an ordinary procedure, as some variety of DLL, or as an active object). Modules may also be marked to indicate whether the caller must be in the same node or can be remote. Classes may be drawn inside the modules that they are defined within, although a separate diagram may be necessary for large modules.
3.5 Real Time Semantics
In the version 0.8 documentation set, we introduced several elements that addressed some of the problems of modeling time- and space-critical process architectures. These elements were not clearly identified as such in the 0.8 documentation set, and so we summarize them here:
* Timing marks may be attached as constraints to sequence diagrams and collaboration diagrams in order to model timing (and space) budgets.
* Messages may have different kinds of synchronization semantics. We can represent these with stereotypes on the message; the three main kinds being call (send–wait, no process synchronization, no existing activity in the callee, caller blocks until nested activity terminates and returns), asynchronous (send–no wait, the caller does not wait for the callee, which has existing activity), and rendezvous (send–wait, the caller waits for the existing activity in the callee to reach a designated rendezvous state).
In 0.8, we underspecified the semantics of processes in threads. In the UML, we remedy this issue by introducing the following new features:
* Tasks are first class citizens. A task is the reification of a thread of control, distinct from the objects that it touches.
* A model may show classes of tasks as well as instance of tasks, and as such may exploit all the existing UML semantics of classes and objects.
* A task is rooted in an active object (an object that maintains its own thread of control). A task may be implemented within a single process using a stack (the conventional implementation). However, we do not wish to preclude the distributed implementation of a task that crosses address spaces. The important thing is that a task is a sequential flow of control.
A task object is an object with its own memory and thread of control. In class models, a task class may designate a whole set of active objects. In object models, a task object reifies a flow of control and as such sits at the head of a message trace. In class diagrams we render a task class as just a class, but with an appropriate stereotype. In interaction diagrams (including sequence diagrams and collaboration diagrams) we render a task object as an object. In both cases, the stereotypical icon is a rhombus tilted to the right. (The text stereotype can also be used but is less visual.)
4. Tentative Proposals
In this section we include some proposals that are not yet final. These proposals deal with important issues but still require further consideration. We ask for reader feedback to help settle these issues.
4.1 Notation for Types versus Instances
A desirable goal of a notation is uniformity across many different situations. One overriding situation that arises throughout all of modeling is the distinction between modeling elements representing types and instances, including classes and objects, associations and links, use case classes and use case instances, nodes and node instances, operations and invocations, etc. In the 0.8 documentation set we proposed a distinction between classes and objects: classes are drawn as rectangles and objects are drawn as hexagons. We did not propose a similar pairing for other symbols because we felt that the meaning was obvious from context. This is not a totally convincing argument since the meaning will not always be obvious from context. We would like to have a uniform graphical marker to distinguish types and instances that can be applied uniformly to any icon, and which also looks good. Unfortunately this is not as easy as it seems because there are many competing pressures. However, we are considering the following possibilities and we would ask for reader feedback and suggestions:
* Bold lines for types and thin lines for instances. This works uniformly. The definition of bold and thin must be adjusted for the medium (screen, printer, etc.). This distinction is harder to use on hand-drawn diagrams.
* Drawing a 3-D shadow under the entire icon. This works well for areas, not so well for stick figures (such as the actor "stick man"). This could probably be automated, although the images would have to be drawn in a careful order and involves extra graphics operations.
* Drawing a small extra mark in the upper right or the upper portion of the icon, like a stylized echo. This works well for rectangles, somewhat less well for curved shapes. It would require the definer of a new icon to provide two forms, as the extra marks probably cannot be automatically generated. This convention is easy to draw by hand although it might be tedious for a whole diagram.
We will stay with the version 0.8 approach if and only if we can find no compelling yet simple way to uniformly distinguish classes and instances for all the UML modeling elements.
4.2 Traceability
The version 0.8 documentation set introduced the concept of the dependency relationship. This is sufficient for capturing dependencies within a model but was not intended to capture relationships between elements in two distinct versions of a model or two different models. For such purposes we need to capture the derivation of elements from other elements across models.
For this reason, we have added a general traceability relationship to the UML. Its semantics include:
* Every element may have a trace to one or more elements in other models.
* Not all such traces are interesting; different development styles will designate specific traces as essential.
* There is no graphical rendering of a trace defined by the UML.
* A trace is purely structural; when we state that element A traces to element B, we simply mean that there is a connection between the two that may be followed.
* Tools may attach other semantics to traces; for example destroying element B might be prohibited if there are any traces to it.
As a typical example, we might want to trace a requirement from a use case model to a class in an analysis model and then possibly to a whole collaboration in a design model.
4.3 Use Cases, Patterns, and Interactions
As described in section 3.3, an interface describes the external face of a class or a package, consisting of a set of operations and their signatures together with their dynamic semantics. Interfaces express the externally-visible behavior of a single class. However, no class is an island, and so we needed to search for ways to model interactions across a collaboration of classes. This lead us to investigate the modeling of patterns as described by Gamma, et al, in their seminal work, Design Patterns. For example, the Gamma pattern Chain of Responsibility describes the collaboration between a Client object and a chain of Handler objects. This pattern effectively describes an interaction among several classes. We call these interaction patterns: the pattern includes a class structure as well as a dynamic statement of the legal collaboration. Note that UML interfaces are insufficient for modeling this kind of collaboration, since the pattern involves more than a binary client/supplier relationship.
Patterns such as this are first class modeling elements. We call them "first class" because they are in fact essential elements in the vocabulary of specifying a system's architecture. We believe we have found a way to reify patterns in the UML without adding significant complexity: a pattern is essentially a design of a use case.
For example, in Figure 15, we see Chain of Responsibility expressed as an abstract use case. We would draw such a diagram to state that we have imposed this particular pattern upon our architecture. If we zoom into the use case, that is, we ask for the interaction pattern corresponding to the use case, we would see the interaction diagrams specifying the realization of the use case as a set of collaborating objects. Zoom out, as we see in this figure, and we can show how classes conform to this pattern, using roles to specify the role that each class plays. Thus, the classes KeyboardEventHandler, MIDIEventHandler, and GeneralEventHandler conform to this pattern as Handlers. By conform, we mean that the concrete class satisfies the semantics of the class that participates in the pattern.
This approach scales up to not only include generative patterns as found in Gamma's book, but also to domain-specific interaction patterns which can be used within a particular domain, such as banking systems, as well as the ad-hoc design patterns found in every application. There are still some technical problems to be worked out. Patterns in the Design Patterns book usually have important instance-level regularities that do not always show up in the class diagram. We need to have a way to show both the class structure and the varieties of instance structure implied by a particular pattern. In this example, each handler class has a successor of a specific other class, but the general pattern permits successors to be of the same or a different class. The interesting aspect of many patterns is their dynamic behavior. We can certainly show this with interaction diagrams, but only in the context of a specific model; it is harder to keep the "patternness" of the pattern open. Finally patterns are templates, in a sense, in which classes, associations, attributes, and operations might all be mapped into different names which keeping the essence of the pattern; we need a way to clearly parameterize the patterns. Nevertheless we feel that we have enough facilities to capture patterns within the UML using this simple approach of pushing the semantics of use cases.
Figure 15: Conformance to a Pattern
Chain of
Responsibility
MIDIEventHandler
GeneralEventHandler
KeyboardEventHandler
successor
successor
Handler
Handler
Handler
MusicApplication
Client
5. What's Next
5.1 Schedule
First, a little history. In October 1994, Grady and Jim joined forces to begin unifying the Booch and OMT methods. In October 1995, we released the 0.8 documentation set as the first fruits of our work. At the same time Ivar joined us, and we have been working since then to unify the Booch, OMT, and OOSE methods. This 0.9 document represents the results of that collaboration thus far.
Next, our future schedule. After the release of the 0.9 document, our work will focus on these major tasks:
* We will resolve the tentative proposals described in section 4.
* We will write additional collateral about the UML as described in section 5.3.
* We will resolve the details of the other technical issues as described in section 5.2.
* We will complete a formal submission to the Object Management Group (OMG) in response to their request for proposal.
It is this last task that is driving most of our work forward and creating for us a solid deadline for completing all the loose ends. The OMG submission is currently due around the end of 1996/early 1997. We will likely designate that release of the UML documentation set as version 1.0, reflecting the fact that this will be a major, stable, and complete release. Between now and that submission, we will incrementally be delivering some of the collateral as described in section 5.3 We will also be presenting two tutorials on the UML at OOPSLA'96. The first tutorial (to be offered twice) will focus on the basic syntax and semantics of the UML. The second tutorial will focus on the formal semantics of the UML. This first tutorial will be presented by Grady, Jim, and Ivar, and the second will be lead by Gunnar Overgaard, who is helping us develop the UML formal semantics.
Between now and the OMG submission, you will likely see courses and tools that support the UML; we have even encountered some large projects that are starting to use the UML. The UML is reasonably stable enough for this kind of early use, and we are in fact quite happy to see this level of support already. However, do realize that some details remain to be worked out, and these details won't be completely resolved until version 1.0, therefore changes must be expected in preliminary implementations of the UML.
5.2 Technical Issues
We have several technical issues to complete. For all of the technical issues, we have working proposals that we are considering but they were not yet ready for release as part of the 0.9 document. These technical issues include:
* The reification of tasks and operations
* A number of low-level issues in the metamodel
* The semantics of multiple models
* A formal specification of the UML semantics
In section 3.5, we discussed the fact that in the UML, tasks will become first class citizens. We understand the basic semantics of tasks, their common stereotypes (processes and threads), their graphical notation, and their connection to other parts of the UML, namely, interaction diagrams and the logical models of classes and objects. However, we have not yet completing integrating these concepts into our metamodel, and in the process we expect to come to a better understanding of task semantics. Hopefully, will find ways to make them even simpler. We also understand the basic interaction between the semantics of tasks and the semantics of distribution, but since this is relatively new ground we are proceeding carefully.
In section 4.2, we discussed the semantics of traceability. We introduced this concept in the UML to begin to address the multi-model problem. While we do understand the basic semantics of traceability, we have further work to do to make this simpler, and to express what kind of traceability relationships are most important.
We have a number of low-level issues in the metamodel left to resolve, virtually none of which will affect the typical UML user; they are primarily important only to tool builders and to the formal specification. Since the 0.8 documentation set, we have been reworking the metamodel, trying to make it self-consistent, precise, and simple. We intend to release a complete metamodel in version 1.0.
Creating a formal specification of the UML is hard work. We are pursuing a formal specification primarily because the very process of creating it forces us to uncover subtle issues that would otherwise have been glossed over. We are being assisted in this work by Gunnar Overgaard. It is our intent to deliver a preliminary formal model of the UML along with the 1.0 submission, and then continue that work to get a reasonable formal coverage of the entire UML. We expect to use a balance of mathematical notation and precise English to write the specification.
With regard to the resolution of all public comments on the UML, we have in fact retained all the comments we have received thus far. While we could not response to each submitter personally because of their sheer volume, will have and will continue to survey them to make certain that
we've not let any critical issues drop through the cracks. Ed Eykholt has helped us manage the details of tracking the comments, and thus far, we have identified major trends in the comments sent to us. These trends have in fact impacted how we prioritized our work for this 0.9 document. Prior to the 1.0 submission, we will review all these comments plus the new ones we expect to get after release of the 0.9 document. We very much value this feedback, and have already learned a great deal about users want and like.
5.3 Other Collateral
In addition to the stream of documents consisting of the 0.8 release, this 0.9 release, and the forthcoming 1.0 release, there are a number of other pieces of collateral we have already written or are preparing for the UML. This collateral includes:
* White papers published in various public journals
* A series of books on the UML
* Web documents concerning the UML
Grady, Jim, and Ivar have and will continue to publish technical papers describing the UML. A number of these papers have already appeared in two SIGS journals, namely, JOOP (the Journal of Object-Oriented Programming) and ROAD (the Report on Object-oriented Analysis and Design).
Just prior to the release of this 0.9 document, we released a series of Frequently Asked Questions (FAQ) about the UML on our web site (www.rational.com). Over the coming months, we will add to these FAQ as means of addressing other common UML issues.
We are currently working on several books about the UML, including a Reference Manual, a User Guide, and a book on process. Grady, Jim, and Ivar are coauthors on all three of these works. These books will provide a complete and definitive statement of the semantics and use of the UML. After these books are substantially complete, we will likely turn our attention to updating some of our earlier works to the UML.
In addition to the collateral we are preparing, we are aware of a number of other individuals who have or will be writing books that either use or teach the use of the UML. There is already one book on Java that uses the UML, there are several public courses, and we know of several other books that are being written that address different aspects of the UML, all based on our previous preliminary publications. We hope for widespread tool support, training courses, and consultant usage in the future. We strongly encourage this kind of support, and we will work with authors, trainers, and consultants to ensure that their questions are addressed so that there will be wide-spread and consistent support for the UML.
|
Rudy Giuliani for President 2008
In Case You Missed It »
Press Releases »
Photos »
Videos »
Excerpts From Mayor Giuliani's Remarks To The Republican Jewish Coalition In Washington, D.C., October 16, 2007
Oct 16th
MAYOR GIULIANI: "[T]hank you for the opportunity to talk to you this morning. No one is working harder to take our party's message to new communities and new voters and bring new people into the Republican Party than the Republican Jewish Coalition.
(APPLAUSE)
If any group stands for the spirit that our party needs this year and next year, it's the RJC.
A lot of you are the first Republicans in your families, right? Am I right?
(APPLAUSE)
A lot of you get grief for being Republicans, right? As a three-time candidate and eight-year mayor of New York City, I know what you're talking about. Wow.
I remember this happened so many times, I get all the incidents confused. But one that was particularly poignant was this man who was very, very old and frail came up to me and he grabbed my hand and he said, You're the first Republican I ever voted for. I said, How old are you? He said, I'm 92 years old.
I said, In over like 80 years of voting or whatever, you couldn't find another Republican to vote for? He said, I thought it was sinful.
(LAUGHTER)
True story. I remember the moment that I knew Ronald Reagan was going to be president of the United States. I remember it. I was at a bar mitzvah reception in Manhattan. I went to the bar mitzvah in the synagogue and then I went to the reception.
The table was filled with people that lived in Manhattan, east side, west side. This is the 1980s. This is before the Republican Jewish Coalition did all its good work. So you would think most of the Jewish community overwhelmingly Democrat.
I'm sitting at the table. One after one, everybody's talking about voting for Ronald Reagan. This is New York, in Manhattan. This is a city Abraham Lincoln didn't carry.
(LAUGHTER)
I swear. That's why, you know, when they want to know, Are you a real Republican, I gave my blood for the Republican Party in New York. I often say that I was the first Republican mayor of New York in 25 years and I was the first one to remain a Republican in 50 years.
(APPLAUSE)
But like Ronald Reagan, we need an inspiring – we need a realigning of candidates for president. We need a coast-to-coast candidate.
We need a candidate that, you know, the day after the nomination, we don't close down our offices in 20 states or 25 states, like we've been doing. Right? We don't win this next election if we don't run a campaign in New York and California. I tell you, we don't.
Do we give it away again? The margin of error isn't what it used to be. We decide to kiss away New York, California, Connecticut, New Jersey, Pennsylvania, Washington, Oregon, Illinois, Wisconsin, Minnesota, Michigan, wow.
We ask Florida to do a lot, but…
(LAUGHTER)
(APPLAUSE)
Right, Mel? I mean, I know you guys are great, but — and I believe that I'm your candidate. I'm the one who can be a coast-to-coast candidate.
(APPLAUSE)
And I'm honored to stand with the Republican Jewish Coalition. Let's talk a bit about Iran.
As we all know, Iran is seeking nuclear weapons and they're threatening to use them. And through Iran's proxy, Hezbollah, Iran has become the leading state sponsor of terrorism in the world.
Now, this isn't — this whole development with Hezbollah is not new. For a lot of people, they think this is new. It isn't. Hezbollah killed more Americans than any other terrorist group before September 11, 2001. Hezbollah suicide murderers killed more than 300 American and French troops in Lebanon in 1983. They hijacked a U.S. airplane and murdered a U.S. Navy [diver], Robert Stethem, in 1985.
And we can go on and on and on. They captured a U.S. CIA station chief in 1992. In 1994, you remember, I remember them very well, because I was mayor then, you remember the attacks against Jewish targets in Argentina, killing all together more than 100 people.
So this is a group that operates as a terrorist group all over the world. They seek out Americans, they seek out Israelis, they seek out those who are allied to us.
Now, Iran, this nation that's been a rogue or run by a rogue regime now for several decades, is assisting terrorists who are killing American troops.
We've seen what Iran will do with ordinary weapons. If I'm president of the United States, I guarantee you we will never find out what they will do if they get nuclear weapons, because they're not going to get nuclear weapons.
(APPLAUSE)
Thank you.
You know, there are people that say that we have to accommodate ourselves to a nuclear Iran. We can have something like we had during the Cold War. We can have some kind of accommodation. We can have mutually assured destruction or damage.
I've read those articles in foreign policy magazines and on the editorial pages, op-ed pages of newspapers, and I can see the movement kind of building for that.
Well, you know, what was the worst nightmare of the Cold War? The worst nightmare of the Cold War was nuclear weapons falling into the hands of irresponsible people. In that respect, we were fortunate. The Soviets were horrible. They were, as Ronald Reagan said, an evil empire.
Communist China, no different. But at least in both of those situations, there was a residual self-interest or you might even call it a residual rationality that said, We don't want to die. We don't want to lose Russia, we don't want to lose China. There's too much at stake here.
The reason I come to the conclusion that I do about Iran is not out of any desire to ever have to use American military power. I think anybody who wants to be president of the United States would say a prayer at the beginning that you would never have to use American military power.
But a president of the United States can't hesitate to do that if it's in the best interest [of the nation.] …
If we learned anything from the 20th century from dealing with Nazis, Communists, and Islamic terrorists, if you haven't learned this lesson, I don't think you lived through the 20th century, you have to stand up to dictators, to tyrants, to terrorists.
Weakness invites attack. Strength keeps [us] safe.
(APPLAUSE)
And I believe we're the ones that really want peace in the Middle East, real peace, what it really means. Peace has to be based on realism, not romance. It's shocking that 60 years after the Holocaust, the Jewish people are still required to negotiate for the right to exist.
(APPLAUSE)
This should be beyond negotiation. Someday I hope that Jews and Arabs can sit down together to negotiate borders, water, trade. It's going to happen, but it's going to happen more quickly if we remain strong and we remain really, really clear.
(APPLAUSE)
You cannot negotiate with someone who is threatening to destroy you and your family.
(APPLAUSE)
This is the great fallacy in this now very strong Democratic desire to negotiate, negotiate, negotiate and negotiate. You've got to know with whom to negotiate and with whom you should not negotiate.
When Barack Obama, a couple of months ago, said that he would invite Ahmadinejad, Assad, Castro and Chavez — did I miss somebody — to Washington in the first year that he's in office to meet with them, without preconditions, when he was condemned by Hillary Clinton, who now has joined his position, but that was the one of the longest positions she's held, by the way. She held that one for two months.
(LAUGHTER)
(APPLAUSE)
That one she held for two months. But at that time, she said he was wrong. That's the first time I agreed with her since the time that she announced she was a Yankee fan.
(LAUGHTER)
Now she's taken the rug out from under my feet. But he announced that he's going to negotiate with these people without preconditions and then he went on to explain, well, Ronald Reagan negotiated with the Communists.
I say this most respectfully. You're not Ronald Reagan, you know.
(LAUGHTER)
Here is what Ronald Reagan did before he negotiated with the Communists. First, he called them the Evil Empire. Then he took missiles, intermediate range missiles. I know this because I represented him in court when this was challenged.
And he pointed them, he put them in European cities and he pointed the missiles at Russian cities with names on them and then he said, in his very nice way, Let's negotiate. (APPLAUSE)…
In 1995, when, as Sheldon mentioned, I had Yasser Arafat thrown out of the United Nations…
(APPLAUSE)
… that was a Freudian slip. I didn't have him thrown out of the United Nations. I had him thrown out of the United Nations' concert at Lincoln Center. I think it was a Freudian slip because you might have gotten the point of whether I really would have liked to have done.
(APPLAUSE)
I helped to keep him away from the United Nations in the 1980s, but that's a different story.
When I made that decision, which had to be made right at the moment, because I went out to give a curtain speech, it was for a performance of Beethoven's 9th Symphony, great work of art, a great piece of music, one that's dedicated to peace, and I did find some real incongruity in the idea that he was coming to that concert.
But the thing that really bothered me was he didn't have a ticket.
(LAUGHTER)
He was a freeloader. Just like he stole all that money and sent it to the south of France, he didn't pay for his ticket.
But in seriousness, the truth is I was informed that he was there and I had to go out and give a curtain speech. I didn't hesitate, like Hillary Clinton hesitates to answer questions on what she's going to do about Iran. I didn't seek to negotiate with him, like Barack Obama would do or says he'd do with these people.
I didn't call for a team of lawyers to help me…
(APPLAUSE)
I didn't call for a team of lawyers to tell me, Well, on the one hand, you can throw him out, but on the other hand, you can't, and maybe you can partially throw him out. Maybe we could have him sit like further up.
(LAUGHTER)
I just made a decision. See, I lead. That's what [being a] leader is about. A leader has the confidence to make a decision.
(APPLAUSE)
So the administration was real angry at me. President Clinton condemned me the next day. I framed the article.
(LAUGHTER)
The United Nations — the United Nations, they were going to condemn all of New York City, I think, for what I did. But it turned — I knew…
The reason I did it was I knew from my own investigations of Arafat that he was a murderer and a terrorist, that he had killed many Israelis, killed many American citizens. The case with Leon Klinghoffer was the one that probably I knew the best.
And I also thought from the very, very beginning, when they first started negotiating with him, that this whole idea of holding him on a morally equivalent plane to like the prime minister of Israel, like these two people are equal, was a terrible, terrible mistake and I believe that set back the whole cause of peace in the Middle East, maybe for at least a decade and maybe even longer. I hope not.
(APPLAUSE)
Similarly, that's the reason I rejected the $10 million check. Prince Al-Waleed came to Ground Zero, like many people did. He came with a group. It was very early in the morning. I was asked by the State Department to take people there and the reason I think the State Department wanted me to do it was because was, quite obviously, first of all, people were moved by it and, number two, it might build support for what they knew they were going to have to do.
And I took many, many leaders and people there, many families and other people, and there's not a single person of any political persuasion, political party or whether you're talking about heads of state, like Putin or Chirac, or you're talking just about ordinary people or children, I didn't take one there that wasn't legitimately moved by it.
When I took Al-Waleed there and I stood there for a while and answered his questions, I felt something funny. I mean, it's just a feeling you get. And when you deal with people as much as I have and you have, you obviously get an instinct from them. Sometimes your instincts are right. Sometimes your instincts are wrong. And when I left to go to a funeral, I almost felt bad and I said, Well, maybe my instincts were wrong here. He did come and he did give us a check for $10 million for the firefighters' and police officers' families, which is a wonderful thing to do.
And then I went to the first funeral, and I don't remember if it was the second, and I got a call from my press communications director, Sunny Mindel, and Sunny said, Al- Waleed did something very, very surprising. He held a press conference after you left and he put out this press release and she read the press release to me and basically, as I recall the press release now, it said that, in essence, America has if not all, some of the responsibility for the attack of September 11 because of the foreign policy that we pursue.
It mentioned some other particulars, but it said, and because of our strong support for Israel and that we should think of changing that.
And I said, Sunny, I can't keep this money. I mean, this is exactly what's wrong. This is this moral equivalence.
Israel's not perfect and America's not perfect, but we're not terrorist states and we're decent countries that have the right motivations. And I said, Well, I'll be back in about an hour, after I finish this one more, I think, funeral and I said, You know what I'm going to do? It's not my money. It doesn't belong to me.
It wasn't given to me personally, thank goodness. Right? Mayor of New York, you get any money personally and they take you away in handcuffs.
It wasn't even given to the city of New York, which would be my kind of fiduciary responsibility. It was given directly to the families of these firefighters and police officers and we organized that charity — we organized that charity so every penny — there'd be no diversion of administrative costs.
So if you gave me a check for $10 million, I could say to you, honestly, that $10 million is going to go right to a firefighter's family, a police officer's family, a rescue worker's family.
So it was all their money. We're like just transferring it. So I called — first, I called my fire commissioner and police commissioner and, of course, they told me — I won't even tell you the language they used…
The reality is there are many, many grievances and injustices in the world. We have some within our country. There are some in Israel. There are some all over. We've got a lot of things we have to correct.
But these people are attacking us not for the things that are wrong about us that we have to correct. They're attacking us for the things that are right about us.
I mean, they're attacking us for the good things about us. I mean, why are they doing it? They're doing it because — my wife and the wives of the other candidates addressed a women's breakfast this morning. You think they have women's breakfasts with political candidates speaking in Islamic terrorist countries or countries that support Islamic terrorism?
Imagine if they showed up for a breakfast. Maybe they'd get stoned. They don't want women to have rights. Let's just deal with it. I mean, that's just the reality. They don't want to allow them to have rights …
I mean, there's no room for compromise on these things. Like I was saying about Israel earlier, you can negotiate with all kinds of people. You can even negotiate with bad people if there's some degree of rationality left, if there's some ground for negotiation.
But you can't negotiate with people who want to kill you and destroy you. I mean, think about it in the case of your family.
(APPLAUSE)
Think about it in the case of your family. Somebody threatens to kill you and your family. What are you going to negotiate with them about? How many of your kids they're going to kill or when they're going to do it?
You've got to negotiate with people that at least make a step toward giving a reasonable possibility of getting a sensible result.
In the case of the Palestinians, here's what it is, two big ones. First of all, the Palestinians have to say and acknowledge and mean it that Israel has a right to exist as a Jewish state.
(APPLAUSE)
Number one, because Israel's already negotiated its existence. That negotiation happened a long time ago and that's over and they've just got to kind of move on.
(APPLAUSE)
Second, second, they have to be willing to say, We forsake terrorism and we're going to help to reduce and eliminate terrorism and they need to show their good faith by that condition remaining that way for some period of time. It's as simple as that — or as hard as that. They do those two things and they mean it and time demonstrates that they do mean it, then, of course, they can negotiate. We would like to negotiate. We would like to have peace, but we don't want to have a peace in which we're taken advantage of.
We don't want to have a peace … in which have the name peace and Israelis and Americans are getting killed and we certainly don't want to create another terrorist supporting state. We have too many of them already. …
John Kennedy once said that the first World War began … because of ambiguity and lack of clarity. And the reality is we've got to be clear and the clarity has to be we're not going to allow Iran to be a nuclear power. We do not want to use a military option. Using a military option would be dangerous, but certainly will if we have to, and American presidential candidates should be clear about that.
(APPLAUSE) …
Full Archive
Paid for by the Rudy Giuliani Presidential Committee, Inc.
Privacy Policy | Contact Us
10 of 16
11 of 16
12 of 16
13 of 16
14 of 16
15 of 16
JoinRudy2008 :: Excerpts From Mayor Giuliani's Remarks To The Repu...
close
Galleries
of by
16 of 16
http://www.joinrudy2008.com/article/pr/906
|
Articles of Association For British Equestrian Federation (BEF)
Approval
| Approved by (role) | Name | Board/ Executive | Date |
|---|---|---|---|
| Interim Chair of Council | Hugh Thomas | BEF Council | 26/10/17 |
Amended by Special Resolution of
British Equestrian Federation
Dated 26 October 2017
With effect from 30 October 2017
………………
Chair
THE COMPANIES ACT 1985 (AS AMENDED)
A COMPANY LIMITED BY GUARANTEE AND NOT HAVING A SHARE CAPITAL
MEMORANDUM (amended by Special Resolutions dated 26 October 2017, 1 March 2005, 22 May 2001, 16 January 2001 and 23 December 1996)
ARTICLES OF ASSOCIATION
(adopted by Special Resolutions dated 26 October 2017, 26 November 2014, 17 July 2013,16 June 2010, 17 June 2009, 17 June 2008, 28 November 2007, 1 March 2005, 22 May 2001, 16 January 2001 and 23 December 1996)
of
BRITISH EQUESTRIAN FEDERATION LIMITED
Company Number 3174767 incorporated on 19 March 1996
Company Number 3174767
THE COMPANIES ACT 1985 A COMPANY LIMITED BY GUARANTEE AND NOT HAVING A SHARE CAPITAL
ARTICLES OF ASSOCIATION
(adopted by Special Resolution dated 26 October 2017 In substitution for and to the exclusion of the Memorandum and Articles of Association dated 26 November 2014)
of
BRITISH EQUESTRIAN FEDERATION LIMITED
Company Number 3174767
THE COMPANIES ACT 1985 AS AMENDED A COMPANY LIMITED BY GUARANTEE AND NOT HAVING A SHARE CAPITAL
ARTICLES OF ASSOCIATION of BRITISH EQUESTRIAN FEDERATION
PART 1: INTERPRETATION, OBJECTS AND LIMITATION OF LIABILITY
1 DEFINITIONS
1.1 In these Articles the following expressions have the meanings set out below:
1.1.1 "Appointed Representative" means a person appointed by a Member or Associate Member to represent it at any meeting of the Council in accordance with Article 11.2.
1.1.2 "Area" means England, Wales, Scotland and Northern Ireland.
1.1.3 "Associate Member" means any organisation approved for Associate Membership by the Board which, subject to the payment of any appropriate annual Associate Membership fee (as determined from time to time by the Board), shall be entitled to attend and speak at Council Meetings (but shall not be entitled to vote thereat) and
otherwise may be represented by the Federation in such ways as shall be determined from time to time by the Board.
1.1.4 "BOA" means the British Olympic Association.
1.1.5 "Board" means the board of directors (or any duly constituted committee of the board of directors) for the time being of the Federation.
1.1.6 "Board Chair" means the Chair of the Board appointed as such in accordance with these Articles and shall be known as "President" if the Chair is required to represent the Federation in relation to matters concerning any international sports governing body of which it is a member.
1.1.7 "British Equestrian Membership Policy" the membership policy setting out the criteria which the Council will apply in considering whether to approve applications for membership of the Federation as amended from time to time;
1.1.8 "BPA" means the British Paralympic Association.
1.1.9 "Chief Executive" means the person appointed as Chief Executive by the Board in accordance with Article 24.
1.1.10 "clear days" means a period of days exclusive of the day on which the notice is served.
1.1.11 "Council" means the Members duly convened in a Council Meeting in accordance with these Articles or acting by resolution in writing. "Council Chair" means the Chair of the Council elected by the Council in accordance with article 15.10.
1.1.12 "Council Meeting" means any meeting of the Members duly convened in accordance with these Articles, whether it is an Annual General Meeting or an Extraordinary General Meeting.
1.1.13 "Director" means a non-executive director of the Federation duly appointed in accordance with Article 18.4.
1.1.14 "Document" includes, unless otherwise specified, any document sent or supplied in electronic form.
1.1.15 "Elected Director" means a director appointed in accordance with Article 18.4.4.
1.1.16 "Electronic form" has the meaning given in Section 1168 of the 2006 Act.
1.1.17 "FEI" means the Fédération Equestre Internationale.
1.1.18 "FEI Discipline" means a sporting discipline recognised as an FEI sport by the FEI from time to time;
1.1.19 "Federation" means the British Equestrian Federation.
1.1.20 "Founder Member" means each of The British Horse Society, British Dressage, British Eventing and the British Show Jumping Association.
1.1.21 "Fund" means the British Equestrian Federation Fund.
1.1.22 "General Member" means any Member other than the Founder Members.
1.1.23 "General Resolution" means a resolution of the Council passed with more than 60% of the votes of Members present and voting being cast in its favour.
1.1.24 "Government Organ" means the United Kingdom Government or any body or organisation formed, operated, financed (to any material degree), sponsored or otherwise actively promoted by the United Kingdom Government for the promotion, organisation or financing of sporting activities of any kind or for any other sporting purpose.
1.1.25 "hard copy form" had the meaning given in Section 1168 of the 2006 Act.
1.1.26 "Independent" means both (i) independent from any close connection to the Federation and (ii) if, from the perspective of an objective outsider acting reasonably, they would be viewed as being independent. A person may still be viewed as independent even if they are a member of a Member or an Associate Member and/or play or coach a sport governed by, or represented by a Member or Associate Member. Examples of a "close connection" include:
188.8.131.52 any person who is, or has within the last four years been actively involved in the Federation's affairs e.g. as a representative of a specific interest group within the Federation such as a sporting discipline, a region or a home country;
184.108.40.206 any person who is, or has within the last four years been an employee of the Federation or has been contracted with the Federation or a Member or Associated Member as a supplier, on a material scale, of goods or services; or
220.127.116.11 any person who has close family ties with any of the Federation's directors or senior employees; or
18.104.22.168 any person who has been expelled as a member of any Member or Associate Member.
1.1.27 "Independent Director" means a director appointed in accordance with Article 18.4.2.
1.1.28 "Internal Regulations" means the regulations and policies of the BEF made by the Board in accordance with Article 20.3 as amended from time to time.
1.1.29 "Member" means the original subscribers to the Memorandum of the Federation and any Member of the Federation, not being an Associate Member, elected by the Council and being a body governing and/or representing any equestrian sport or activity in the United Kingdom and operating in the United Kingdom.
1.1.30 "Membership" means Members and Associate Members.
1.1.31 "Nominated Director" means a director appointed in accordance with Article 18.4.3.
1.1.32 "Nominations Committee" means the committee appointed under Article 21.
1.1.33 "Objects" means the objects of the Federation set out in Article 4.
1.1.34 "Olympic Discipline" means a sporting discipline recognised as an Olympic sport by the International Olympic Committee from time to time;
1.1.35 "Ordinary Resolution" has the meaning given in Section 282 of the 2006 Act.
1.1.36 "Paralympic Discipline" means means a sporting discipline recognised as a Paralympic sport by the International Paralympic Commitee from time to time;
1.1.37 "Policy Interest" means any policy interest of any Member or Associate Member or of the Federation (in each case as set out in their respective constitutional documents from time to time).
1.1.38 "President" means the person appointed from time to time by the Board as the president of the Federation for international representation purposes only.
1.1.39 "Regional Bodies" means the Sports Councils, any regional sports councils, and any other regional sports boards or bodies operating in the Area for the furtherance or organisation of sporting activities in the Area, including any local government authority.
1.1.40 "Secretary" means any person appointed by the Board to perform the duties of the
Secretary of the Federation.
1.1.41 "Senior Independent Director" mean the senior independent director of the Board elected by the Board from its Independent Directors in accordance with Article 18.6.
1.1.42 "Special Resolution" has the meaning given in Section 283 of the 2006 Act.
1.1.43 "Sports Councils" means, respectively, the Sports Councils of England, Wales and Northern Ireland.
1.1.44 "Subscription Date" means the first day of a Subscription Year.
1.1.45 "Subscription Year" means a year commencing on the first day of January or such other date as the Board may from time to time resolve.
1.1.46 "UK Sport" means UK Sport, an organisation created by Royal Charter.
1.1.47 "Writing" means the representation or reproduction of words or other information in a visible form by any method or combination of methods, whether sent or supplied in electronic form or otherwise.
2 INTERPRETATION
2.1 The expression "2006 Act" means the Companies Act 2006 as amended.
2.2 Save as aforesaid any words or expressions contained in these Articles shall bear the same meaning as in the 2006 Act or any statutory modification in force at the date on which these Articles become binding on the Federation.
2.3 For the purposes of Section 20 of the 2006 Act, the relevant model Articles shall be deemed to have been excluded and fully replaced with the provisions of these Articles.
2.4 Where, in these Articles, any matter falls to be determined by the Council, it shall make such determination by General Resolution unless the relevant Article specifically states, or the 2006 Act provides otherwise.
2.5 Where in Article 4 and 5 and the relevant definitions any reference to any body or organisation (other than a Member or Associate Member) is made this shall include any body or organisation from time to time replacing or substituted for such body or organisation, or with which it may have amalgamated, or any body or organisation carrying out the functions of any such body or organisation if such body or organisation has ceased to exist or function;
3 NAME AND REGISTERED OFFICE
3.1 The name of the Federation is British Equestrian Federation.
3.2 The registered office of the Federation will be situated in England.
4 OBJECTS
The objects for which the Federation is established are:
4.1 to encourage and support the growth of equestrian sports and recreational activities within the Area, including the encouragement of increased participation in equestrian sports, and recreational activities particularly (but not exclusively) among young people, educational establishments and persons with any disability;
4.2 the improvement of standards and the pursuit of excellence in equestrian sports;
4.3 to work with its Membership for the benefit of equestrian sports and recreational activities generally;
4.4 to co-ordinate and further the Policy Interests of common concern to its Membership, in particular, but not limited to international affairs and international equestrian events and competition and the organising bodies thereof, and in so doing:
4.4.1 to represent its Membership as the national authority in all matters concerned with BOA, UK Sport, the Sports Councils and the FEI, and all matters relating to international competition and the Olympic and Paralympic Games;
4.4.2 to act as the representative of its Membership with the FEI (including holding membership of the FEI), and to act with its Membership in representing and furthering the interests of equestrian sport and equestrian recreational activities with the Sports Councils, the BOA, BPA, UK Sport, Government Organs and the Regional Bodies (provided that, where any matter relates to the activities which a Member governs or represents, and does not concern or affect other Members, that Member may deal directly with any such body provided that it shall first have notified the Board of its intention to do so);
4.4.3 to deal with the FEI as required from time to time on any subject to appoint delegates and representatives to committees and assemblies of the FEI and to deal with and process proposals from its Membership for submission to the FEI;
4.4.4 to provide training for its Membership and to support education in equestrian sports;
4.4.5 to act as the regulating body within the United Kingdom for the implementation and enforcement of all FEI, BOA, BPA rules, in particular, but not limited to rules for medication and doping control and protection of horses and competitors;
4.4.6 to (i) establish and enforce medication and doping control programmes, rules and disciplinary procedures in respect thereof and (ii) to work with its Membership to establish dispute resolution procedures for settling disputes between the Members and/or Associate Members or between Members or Associate Members and their individual members
4.4.7 to develop and market equestrianism in Great Britain and Northern Ireland;
4.4.8 to make recommendations to the trustees of the Fund in respect of financial grants to its Membership and any other entity in furtherance of the Objects;
4.4.9 to issue international riders' licences, FEI passports and all other relevant licences and authorisations in connection with international competition and equestrian events and to oversee the financial control and appoint necessary officials for, and to co-ordinate, where necessary, British representation at international multidiscipline equestrian events.
4.4.10 to raise external funding for the Federation and to advise and assist its Membership in obtaining external funding including negotiating funding arrangements with national and international sporting and sports funding bodies, the raising of sponsorship monies and providing funding and financial advice to its Membership generally (including co-ordinating the marketing activities of the Federation with
those of its membership and co-ordinating the exploitation of the commercial rights of the Federation with those of its membership);
4.4.11 to encourage and co-ordinate improved breeding of performance horses generally, particularly of performance horses for competition in disciplines represented by the Federation and its Members and Associate Members;
4.5 to take such steps as may seem necessary or expedient for the welfare of all or of the Members and Associate Members and the safeguarding of their interests;
4.6 to work with its Membership to co-ordinate media and public relations on behalf of the Federation and its membership and improve media exposure received by equestrianism;
4.7 to make rules for the conduct of the affairs of the Federation and to define and settle the manner in which compliance with the decisions of the Federation or its officers shall or may be enforced;
4.8 to take or defend or contribute to or assist in any proceedings by or against the Federation or any Member or Associate Member in any lawful manner;
4.9 to purchase, take on lease or otherwise acquire any real or personal property which the Federation or its directors may think necessary for the promotion of its Objects and to construct maintain and alter any building or works necessary or convenient for the purposes of the Federation, and to sell, let, develop, mortgage, dispose of or turn to account all of or any of the property or assets of the Federation as may be thought expedient with a view to the promotion of its Objects;
4.10 to establish and support or to aid in the establishment and support of institutions for charitable purposes in any way connected with the purposes of the Federation or calculated to further its Objects;
4.11 to employ and remunerate any person as an officer or employee of the Federation;
4.12 to indemnify any person or body undertaking any liability on behalf of the Federation;
4.13 to invest monies of the Federation not immediately required upon such securities or otherwise in such manner as may from time to time be determined and to lend money on a secured or unsecured basis, provided that such security shall be located in the Area;
4.14 to borrow any monies required for the purposes of the Federation upon such terms and upon such securities as may be determined;
4.15 to promote or form or assist in the promotion or formation of any company or body to undertake all or any of the duties, powers or liabilities which the Federation is authorised to do or undertake, or to provide support services to the Federation and its Membership, and to participate in the ownership or management of or to acquire, hold or dispose of shares in such company or body and to delegate to such company or body all or any of the duties or powers of the Federation and to arrange for the undertaking by any such company of all or any of the duties or liabilities of the Federation;
4.16 to do all or any of the above things as principal, agent, trustee, contractor or otherwise, and either alone or in conjunction with others and either by or through agents, trustees, subcontractors or otherwise; and
4.17 to do all such other things as are incidental or conducive to the attainment of the above objects or any of them.
5 AUTONOMY OF MEMBERS AND ASSOCIATE MEMBERS
5.1 All Members and Associate Members will retain their autonomy and the right of selfregulation, according to their own constitutions, but subject to compliance with the rules and regulations of the FEI, the BOA, the BPA and (to the extent applicable) these articles, provided that no Member or Associate Member (being, in either case, a charity) shall be required to do anything or refrain from doing anything which would adversely affect its charitable status.
5.2 The Members at the date of adoption of these articles are recognised as the national governing bodies for their respective sports and activities, responsible for all rules, regulations and disciplinary procedures relating to their organisations and membership, subject to the recognition of the Federation as the national federation for FEI, BOA, UK Sport and Sport England.
6 POWERS AND LIMITATIONS
6.1 The income and property of the Federation shall be applied solely towards the promotion of the Objects, and no part shall be paid or transferred, directly or indirectly, by way of dividend, bonus or otherwise by way of profit, distribution, to Members.
6.2 The Federation shall not take any steps or carry out any activity which would, or could cause it to be a Trade Union.
6.3 Each of the Objects shall not, except where the context expressly so requires, be in any way limited or restricted by reference to or inference from the terms of any other paragraph of this Memorandum , but may be carried out in as full and ample a manner and shall be construed in as wide a sense as if each of the said paragraphs defined the objects of a separate, distinct and independent company.
6.4 Where the Board determines that any matter is best dealt with by a Member on behalf of the Federation, it may appoint such Member to do so upon such terms as it may determine by resolution of the Board.
7 LIMITED LIABILITY
7.1 The liability of the Members is limited.
7.2 Every Member undertakes to contribute such amount as may be required (not exceeding £1) to the Federation's assets if it should be wound up while it, he or she is a Member or within one year after it, he or she ceases to be a Member, for payment of the Federation's debts and liabilities contracted before he or she ceases to be a Member, and of the costs, charges and expenses of winding up, and for the adjustment of the rights of the contributories among themselves.
7.3 If the Federation is wound up or dissolved and after all its debts and liabilities have been satisfied there remains any property it shall be given or transferred to some other company or charity having objects similar to the Objects which prohibits the distribution of its or their income and property to an extent at least as great as it imposed on the Federation by paragraph 6.1 above, chosen by the Members, and if that cannot be done then to some other charitable object.
PART 2: MEMBERSHIP/COUNCIL/COUNCIL MEETINGS
8 MEMBERS
8.1 No organisation shall become a Member unless they have been an Associate Member for at least 1 year (or such other period as the Council determines by Special Resolution).
8.2 The Secretary shall cause all Members to be entered in the Register of Members with a note of their respective voting rights in Council Meetings.
8.3 An organisation applies to become a Member or an Associate Member by completing a membership application (in such written form as may from time to time be prescribed by the Board) and depositing the application and appropriate subscription fee or other agreed sum at the Registered Office. The Secretary shall cause all such applications to be notified to all Members in writing, accompanied by a copy of the applicable membership application, as soon as practicable, and in any event, within 21 days of its receipt by the Federation.
8.4 Application for membership may be made and considered at any time but (unless the Council otherwise decides) new membership shall, subject to Article 8.5, commence from the Subscription Date following the resolution to accept the new member's application.
8.5 An organisation becomes a Member once the cheque or other means of payment of the subscription fee or other agreed sum has been honoured and the name of the organisation has been recorded in the Register of Members.
8.6 By becoming a Member, a Member agrees to observe and perform and be bound by the memorandum and articles of association and the Rule Book of the Federation. The Members shall not purport to govern or otherwise represent, or recognise any person who purports to govern or otherwise represent, any equestrian sport or equestrian recreational activity in the United Kingdom which is governed or represented by a Member which is a Member at the date of the adoption of these articles.
8.7 The Council may grant or refuse any application for membership. The Council shall, in determining any application for membership of the Federation, take account of the following membership criteria (but otherwise, shall be entitled to act in its absolute discretion):
8.7.1 the applicant should have been in existence and operating or trading throughout the three years preceding the making of its application, and should have audited or certified accounts (prepared by an accountant qualified to carry out audits of Companies registered under the Act) for each of its three financial years ending prior to its application; and
8.7.2. the Council must be satisfied that the applicant has a commitment to equestrianism and/or equestrian sports and the development thereof in the United Kingdom at all levels;
and provided that the Council must be satisfied that the applicant does not represent an interest or sport which is similar to one which is already represented by a Member or whose membership would cause (or might reasonably be expect to cause) a breach of article 5.
The Council shall also take into account any British Equestrian Membership Application Policy or equivalent adopted by the Council and in force at the applicable time of the
application.
9 SUBSCRIPTION
9.1 Each Member and Associate Member shall pay to the Federation for each Subscription Year a subscription of such amount as the Council may from time to time determine for each Member/Associate Member.
9.2 In determining the total amount of subscription fees to be paid in any Subscription Year the Council shall have due regard for the anticipated funding reasonably necessary to enable the Federation to meet its Objects during that Subscription Year (and taking into consideration any estimate of the Board in respect of such funding).
9.3 If no estimate is made by the Board for any Subscription Year the Members shall take into account the funding utilised in the immediately preceding Subscription Year
9.4 In determining the subscription fees for each Member and Associate Member the Council shall have due regard to:
9.4.1 the number and type of members in the relevant Member or Associate Member;
9.4.2 the nature, size and scope of the activities undertaken by the Member or Associate Member.
9.5 Payment of subscription fees shall be made by three instalments of which the first (being fifty per cent of the fees) shall be paid on the Subscription Date, the second (being twenty five per cent of the fees) on the first of April in each Subscription Year, and the third (being twenty five per cent of the fees) on the first of July in each Subscription Year;
9.6 No refund of subscription fees shall be made on termination of membership.
10 CESSATION OF MEMBERSHIP
10.1 A Member or Associate Member shall forthwith cease to be a member of the Federation upon the happening of any one or more of the following events:
10.1.1 the expiry of 6 months' notice in writing by the Member or Associate Member to the Federation resigning its membership, provided that the required period of notice shall expire on a Subscription Date unless otherwise determined by a Special Resolution of the Council;
10.1.2 unless the Council resolves otherwise in any case, the failure by the Member or Associate Member for twenty-eight days after the due date to pay to the Federation any subscription or other sum due from it;
10.1.3 the passing of a General Resolution by the Council that, in its opinion:
10.1.3.1 the Member or Associate Member has incurred or suffered a change in its constitution or objects that has altered its character to one which would be unlikely to satisfy the criteria for Membership set out in these Articles; or
10.1.3.2 the Member or Associate Member has incurred or suffered such a change in
its activities that it is no longer concerned with an equestrian activity or sport; or
10.1.3.3 the Member or Associate Member's principal activities are not carried on in the United Kingdom;
10.1.4 the passing of a Special Resolution by the Council to remove a Member or Associate Member in accordance with Article 10.2; or
10.1.5 if the Member or Associate Member has a receiver or manager or administrative receiver appointed over its undertaking or assets or goes into administration, or enters into any composition or arrangement with its creditors, or if, being incorporated, it passes an effective resolution for winding-up or an order to that effect is made against it, or if, being an unincorporated body, it takes or suffers any effective step for its dissolution or any event analogous to any of these events occurs in relation to it.
10.2 The Council may by Special Resolution either (i) suspend a Member or Associate Member from membership of the Federation until such time as the Council by Special Resolution ends the suspension or (ii) remove a Member or Associate Member from membership of the Federation if:
10.2.1 the Member or Associate Member has by its act or omission to act put into jeopardy funding provided to the Federation by UK Sport, Sport England or any other public body;
10.2.2 the Member or Associate Member has conducted itself in a manner which is detrimental to the character and/or prejudicial to the interests of the Federation and/or has brought or is likely to bring the Federation and/or equestrianism in the UK into disrepute.
10.3 A Member or Associate Member shall not be entitled to enjoy or exercise any of the rights and privileges of a Member or Associate Member until it shall have paid or caused to have paid on its behalf all monies due from it to the Federation from time to time.
11 CORPORATIONS ACTING BY REPRESENTATIVES AT MEETINGS
11.1 Each Member shall be entitled (in accordance with Article 11.2) to appoint a person to be its Appointed Representative in Council Meetings.
11.2 Each Member or Associate Member shall by resolution of its directors or other governing body appoint such person as it thinks fit to act as its Appointed Representative and notify such appointment to the Secretary.
11.3 Each Appointed Representative shall hold office for such period as its appointer determines and notifies to the Federation in writing, provided that (i) no Appointed Representative may serve as such for more than 8 consecutive years and (ii) having served for such period, no former Appointed Representative may be re-appointed as an Appointed Representative until at least 4 years have elapsed since that person last held such role.
11.4 If, during any terms of appointment, any Appointed Representative dies, is incapacitated for any reason or ceases to be a member of his appointing Member or Associate Member a
substitute may be appointed by that Member or Associate Member by notice to the Secretary.
11.5 An Appointed Representative of a Member or Associate Member who has been notified to the Secretary shall be entitled to exercise all of the powers of the Member or Associate Member on its behalf and for the purposes of the 2006 Act and these Articles a Member or Associate Member acting by its Appointed Representative in accordance with this Article shall be deemed to be present in person at any Council Meeting at which its Appointed Representative is present in person.
11.6 Each Associate Member shall be entitled to appoint one Appointed Representative
12 COUNCIL MEETINGS
12.1 Each year the Federation shall hold an annual general meeting of the Council ('Annual General Meeting')
12.2 In addition the Federation may hold Council Meetings to consider such matters of relevance to the Federation's objectives as the Board or the Council or the Members that have requisitioned the meeting may decide.
12.3 The Board can decide to call a Council Meeting at any time, and shall convene a Council Meeting within 21 days of being requested to do so in writing by any 3 of the Founder Members, and such request shall specify the business to be considered at such meeting.
12.4 Members may requisition a Council Meeting under Section 303 of the 2006 Act .
12.5 Any Council Meeting that is not an Annual General Meeting shall be called an Extraordinary General Meeting.
13 POWERS OF COUNCIL
13.1 In addition to the powers of the Council under the 2006 Act and under these Articles, the Council shall have reasonable rights to consultation by the Board and shall have the right to constructively challenge Board proposals.
13.2 The Council shall utilise the expertise of the Membership to develop and provide ideas for the development of the Federation, provide strategy and policy guidelines for the consideration of the Board and put forward its views and where relevant the views of its own members to the Board.
14 NOTICE OF COUNCIL MEETINGS
14.1 At least 14 clear days' notice in writing must be given for every Council Meeting.
14.2 Any notice of a Council Meeting must state where the meeting is to be held, the date and time of the meeting, and the general nature of any special business to be dealt with at the meeting, the text of any special resolution and the intention to propose that resolution as a special resolution and a statement of the right to appoint a proxy. Article 15.3 explains what business is treated as special business.
14.3 On a vote on a resolution on a show of hands at a Council Meeting each Member shall have one vote. On a vote on a written resolution or on a poll taken at a Council Meeting, each General Member shall have one vote and each Founder Member shall have such number of
votes as is equal to 13.5% of the total number of Members eligible to vote on that resolution (provided always that in the event that such calculation does not produce a round number of votes for the Founder Member concerned that number shall, if 0.5 of a vote, or above, be rounded up and, in any other case, be rounded down).
14.4 A Member entitled to attend and vote at a Council Meeting can appoint a proxy to attend and, exercise all or any of his rights to attend and to speak and vote. A Member acting by its proxy in accordance with this Article shall be deemed to be present in person at such a Meeting if its proxy is present in person.
14.5 The notice calling an Annual General Meeting must state that the meeting is the annual general meeting. The notice calling a meeting at which it is proposed to pass a Special must state that it is intended to propose the resolution as a Special Resolution accordingly.
14.6 Notice of every Council Meeting must be given to all Directors, Members and Associate Members. If by accident, notice of a meeting is not given to any person who is entitled to receive such notice, the proceedings of that meeting will still be valid. This also applies to any accidental failure to send any other notice or circular relating to the meeting or, where proxy forms are sent out, a proxy form. It also applies where the notice, circular or proxy form was sent but was not received.
14.7 Even though a Council Meeting is called by a notice period shorter than that stated in Article it will be treated as having been validly called if it is agreed:
14.7.1 in the case of an Annual General Meeting, by all the Members; and
14.7.2 in the case of an Extraordinary General Meeting or Ordinary Meeting by Members which together hold at least 95 per cent of the total voting rights of the Members having the right to vote at that meeting.
14.8 If the Board considers that it is impractical or undesirable to hold a Council Meeting on the date or at the time or place set out in the notice of meeting, it may either postpone the meeting to another date, time or place or cancel the meeting. This also applies to any meeting postponed under this Article and to any adjourned meeting. The Board may not postpone or cancel a meeting requisitioned by the Members under the Acts.
15 PROCEEDINGS AT COUNCIL MEETINGS
15.1 If a Council Meeting is postponed for more than 14 days, the Board must give at least 7 clear days' notice of the postponed meeting in the same way as for the original meeting.
15.2 Certain resolutions require special notice under the Act and the provisions about special notice are binding on the Federation its Members and Associated Members.
15.3 Any business at an Extraordinary General Meeting is treated as special business. Except for the following, all business at an Annual General Meeting is also treated as special business:
15.3.1 considering and adopting the annual accounts, the Directors' Report, the Auditors' Report and any other document which must be sent with or attached to the accounts;
15.3.2 appointing the Auditors, except where the Act requires special notice of the resolution for this appointment; and
15.3.3 authorising the Directors to fix the remuneration of the Auditors.
15.4 Amendments can be proposed to any type of resolution if the amendments are only clerical amendments to correct an obvious error.
15.5 No other amendments other than those amendments described in Article 15.4 to any general, ordinary, or special resolution can be proposed or voted on without the appropriate notice in respect of the resolutions as amended having been given.
15.6 Except for a resolution proposed by a Member, the Chair of the meeting may decide in good faith that a particular resolution shall be cancelled and not put to the meeting.
15.7 Before a Council Meeting starts to do business there must be a quorum present. If there is not, the meeting cannot carry out any business. Subject to Article 15.8, a quorum for all purposes is the number of Appointed Representatives entitled to vote present in person or by proxy and representing fifty per cent of the total voting rights on a show of hands of the Council.
15.8 This Article applies if a quorum is not present within 30 minutes of the time fixed for the meeting to start.
15.8.1 The Chair of the meeting can decide to extend this time but not for more than 2 hours.
15.8.2 If a quorum is not present within 30 minutes of the time fixed for the start of the meeting or within any extended time period:
22.214.171.124 if the meeting was requisitioned by the Members, it will be dissolved;
126.96.36.199 a meeting which was called in any other way will be adjourned to another day, time and place decided by the Chair.
15.9 At the adjourned meeting if a quorum is not present within 30 minutes of the time fixed for the start of the meeting or within any extended time period, the quorum shall be 3 Members present by representative or by proxy. If a quorum is still not present, the meeting will be dissolved.
15.10 The Council shall elect a Council Chair for a maximum period of five years and subject always to prior removal by the Council. The Council Chair need not be an Appointed Representative of a Member and shall not be the Board Chair or the Commercial Director of a Member. Except as provided in Article 15.11, the Council Chair will be the Chair at every Council meeting. The Council Chair shall perform such functions on behalf of the Council as are set out in terms of reference adopted by the Council as amended from time to time but shall not represent the Federation in its capacity as a member of any international sport governing body.
15.11 If the Council Chair is not present, the Members who are present will choose one of themselves to act as Chair of the meeting. This also applies if the Council Chair is not present within 15 minutes of the time the meeting is due to start or if the Council Chair is unwilling to chair the meeting.
15.12 The Chair of the meeting can take any action to make sure the meeting is orderly. This can be whatever action he thinks is necessary. Any decision the Chair makes relating to matters
of order or procedure including whether any question raised is a point of order or procedure, will be final and cannot be challenged.
15.13 The Chair of a Council Meeting may adjourn a quorate meeting at any time after the time the meeting was due to start, with the consent of the meeting. The Chair must adjourn the meeting if so directed by the meeting.
15.14 The only business which can be carried on at an adjourned meeting is that business which could validly have been carried on at the meeting which was adjourned.
15.15 When adjourning a Council Meeting the Chair of the Meeting must:
15.15.1 either specify the time and place to which it is adjourned or state that it is to continue at a time and place to be fixed by the directors; and
15.15.2 have regard to any directions as to the time and place of any adjournment which have been given by the Meeting.
15.16 If a meeting is adjourned for more than 14 days, at least 7 clear days' notice of the adjourned meeting must be given. That notice must be given:
15.16.1 to the same persons to whom notice of Council Meetings is given; and
15.16.2 contain the same information which such notice is required to contain.
Otherwise, there is no need to give notice of an adjourned meeting or of the business which is to take place at an adjourned meeting.
16 VOTING AND PROCEDURE AT COUNCIL MEETINGS
16.1 In addition to Members represented by their Appointed Representative in accordance with Article 11.2, the Board Chair, the directors, the Federation's Chief Executive, the Chief Executive and one nominee from each Member shall each be entitled to attend and speak in Council Meetings but shall have no voting rights (save for any voting rights any of them may have as an Appointed Representative). The Chair of the meeting may permit other persons to attend and speak at a Council Meeting.
16.2 If a resolution is put to the vote at a Council Meeting, it will be decided by a show of hands. This applies unless a poll is demanded, before the resolution is put to the meeting or before or when the result of the show of hands is declared by the Chair.
16.3 A poll can be demanded:
16.3.1 by the Chair of the meeting;
16.3.2 by the Appointed Representative of a Founder Member (or proxy therefor);
16.3.3 by Appointed Representatives representing not less than 5 Members (not being Founder Members); or
16.3.4 by an Appointed Representative or Appointed Representatives representing not less than 10% of the total voting rights of all the Members having the right to vote on the resolution;
for these purposes a proxy appointed to vote on a matter at a meeting is authorised to demand or join in demanding a poll on that matter.
16.4 The following applies when there is a vote by a show of hands and no poll is demanded or any demand for a poll is withdrawn. The Chair of the Meeting shall declare that on a show of hands that (as is the case):
16.4.1 a resolution has been passed or has been passed unanimously or has been passed by a particular majority; or
16.4.2 a resolution has been lost or has been lost by a particular majority.
16.5 The Chair's declaration in good faith will be final and conclusive. The declaration must be entered in the minute book, which will be conclusive proof of the fact. There shall be no need to prove the number or proportion of votes recorded for or against a resolution.
16.6 If a poll is demanded it must be carried out immediately.
16.7 The Chair of the meeting can appoint scrutineers who do not need to be Members. If so directed by the meeting he must appoint scrutineers, who shall not be Members, Associate Members or Directors. The result of the poll will be treated as the decision of the meeting as regards the resolutions in respect of which it was demanded.
16.8 If a demand for a poll is withdrawn before a poll has been concluded, any declaration of the result of a vote on that resolution by a show of hands, which was made before the poll was demanded, will be valid.
16.9 A Member which is entitled to more than one vote on a poll because it holds proxy vote(s) in addition to its own, does not need to use all its votes, or cast all the votes it uses, in the same way.
16.10 If the votes at a Council Meeting are equal, either on a show of hands or on a poll, the Chair of the meeting will not be entitled to a second or casting vote.
16.11 Where an objection is raised to the right of any person to vote at a meeting by reason that:
16.11.1 votes have been counted that should not have been counted or that could have been rejected and/or
16.11.2 votes are not counted that should have been counted,
the validity of the decision of the meeting will only be affected if the objection is raised at the meeting at which the vote was cast or the error occurred. The Chair of the meeting will decide in good faith all such objections and his decision will be final and conclusive. This Article applies in the same way to adjourned meetings.
17 PROXIES
17.1 A proxy form must be in writing and signed on behalf of the Member either by a director, the company secretary, council member, trustee or by a person who is properly authorised to sign. The signature on the form does not have to be witnessed.
17.2 A proxy form must be in any form which is commonly used, or in any other form which the
Board approves. The Board can send out proxy forms with the notice of meeting, for use at the meeting. This is subject to the provisions of the 2006 Act.
17.3 A proxy form must be delivered to the Registered Office, or to any other place in the United Kingdom specified in the notice of the meeting, or in any document sent with the notice, or in the notice of an adjournment. This must be done at least:
17.3.1 48 hours before the time set for the meeting or adjourned meeting;
17.3.2 in the case of a poll taken more than 48 hours after it was demanded, 24 hours before the time set for the taking of the poll;
17.3.3 in the case of a poll taken not more than 48 hours after it was demanded, at the time at which it is demanded.
In calculating these periods no account shall be taken of any part of a day that is not a working day.
17.4 A Member can still attend and vote by Appointed Representative at a meeting or on a poll, even though he has delivered a proxy form in respect of that meeting or poll but any vote cast by a Member shall invalidate any vote cast and shall extinguish any right to vote enjoyed by a proxy of that Member in respect of the resolution put to vote.
17.5 A proxy form gives the person who is appointed as proxy authority to demand or join in demanding a poll. It will not give any further right to speak at the meeting, unless the Chair of the meeting allows. The proxy form also gives the person appointed as proxy, authority to vote in whatever way the proxy decides on any amendment of a resolution put to the meeting for which it is given. If a Member gives his proxy authority to vote as the proxy decides or to vote in a particular way, this is a matter between the Member and his proxy. The Federation will accept the abstention or vote of the proxy as final and conclusive even if the Federation has actual knowledge of the terms of the authority of the proxy.
17.6 Any vote cast or poll demanded by a proxy will not be valid if the relevant Member gives written notice to the Federation at the Registered Office at least 24 hours before the time set for the meeting or, if later, the poll, that the proxy's appointment has been revoked.
17.7 A proxy's appointment ceases to be valid after 12 months from the date specified on the applicable proxy form as the date of signature except at an adjourned meeting or on a poll where the original meeting or demand for a poll was held or made within the 12 month period.
PART 3: BOARD, COMMITTEES
18 THE BOARD
18.1 The number of members of the Board shall be 12, and at least 25% of the Board shall be Independent.
18.2 Subject to Article 18.3 the Board shall comprise:
18.2.1 A non-executive Board Chair
18.2.2 Three Independent Directors
18.2.3 Four Nominated Directors
18.2.4 Four Elected Directors
18.3 In the event that a Director is removed, disqualified or resigns the Board shall continue to operate despite the vacancy in its composition provided always that the process to appoint a replacement is commenced within a reasonable time. The Board may in the interim period coopt a person to serve on a temporary basis as a member of the Board if this is necessary to ensure that the Board has the skills and/or experience necessary to fulfil its role.
18.4 The Directors and the Board Chair shall be appointed in accordance with the following procedure:
18.4.1 Board Chair
The Board Chair shall be recruited through an open and transparent skill and competency based selection process determined by the Nominations Committee appointed under article 21. Any vacancy shall be openly advertised. Applicants will be assessed as their suitability by the Nominations Committee and interviewed either by the Nominations Committee or an appointments panel appointed by and reporting to it. The Nominations Committee will recommend a candidate for appointment to the Board.
18.4.2 Independent Directors
The Independent Directors shall be recruited through an open and transparent skill and competency based selection process determined by the Nominations Committee. Any vacancy shall be openly advertised. Applicants will be assessed as their suitability by the Nominations Committee and interviewed either by the Nominations Committee or an appointments panel appointed by and reporting to it. The Nominations Committee will recommend a candidate for each post for appointment to the Board.
18.4.3 Nominated Directors
Each Founder Member shall be entitled to nominate one candidate for the post of Nominated Director. The Nominations Committee shall verify that each such candidate is appointable in that they meet the skills and competency requirements of the role and subject to their concluding that a candidate is appointable such candidate shall be appointed.
18.4.4 Elected Directors
Each Member and Associate Member shall be supplied with a statement of the skills and competencies required for each Elected Director role and shall have the right to nominate a candidate for election that role. The Nominations Committee shall verify that each nominated candidate is appointable in that they meet the skills and competency requirements of the role. In the event that only one candidate is nominated and appointable for a role that candidate shall be appointed. In the event that more than one candidate is nominated and appointable for a role the Nominations Committee shall make such arrangements as are required for an electronic and/or postal ballot to take place with each non-Founder Member having one vote in that ballot. The results of that ballot shall be announced to the Members and the successful candidates shall be appointed.
18.5 In the event that the Board is not prepared to appoint an applicant or a candidate recommended to the Board by the Nominations Committee in accordance with the process set out in Article 18.4.1 or 18.4.2 it shall provide its reasons to the Nominations Committee and the relevant process shall be repeated.
18.6 The Board will appoint one of the Independent Directors as the Senior Independent Director (and in the absence of such appointment, the longest serving Independent Director shall be the Senior Independent Director).
18.7 Subject to article 18.8, Directors may hold office for four years after which they may offer themselves for re-appointment for a single further period of up to four years; a person who has held office for more than four years as a Director shall not offer themselves for reappointment until at least four years have elapsed after that person last held such office.
18.8 The Board Chair shall be elected by the Board for such period (not being longer than four years) as the Board may determine, after which such person may offer themselves for reelection as Board Chair for a single further period of up to four years.
18.9 Transitional Arrangements
18.9.1 Upon the coming into effect of these Articles the appointment of the Directors who as part of the transitional process have been identified for appointment in compliance with Article 18.4 shall be formally confirmed and the existing Board members shall on that appointment cease to hold office as directors of the Federation.
18.9.2 In order to ensure a timely and organised rotation of board members for the first four years after the initial appointment of the Board pursuant to these Articles the Elected and Nominated Directors shall be divided into four groups which shall be named Groups A, B, C and D respectively and the Independent Directors shall be divided into three groups, Groups A, B and C respectively. Lots shall be drawn to determine which group each Director shall be placed in.
18.9.3 Subject always to Article 22:
188.8.131.52 Directors in Group A shall hold office for an initial term of more than one year, after which unless they have previously served as a board member of the Federation they may offer themselves for re-election for a period of up to four years;
184.108.40.206 Directors in Group B shall hold office for an initial term of two years, after which unless they have previously served as a board member of the Federation they may offer themselves for re-election for a period of up to four years;
220.127.116.11 Directors in Group C shall hold office for an initial term of three years, after which unless they have previously served as a board member of the Federation they may offer themselves for re-election for a further period of up to four years;
18.104.22.168 Directors in Group D shall hold office for an initial term of four years, after which unless they have previously served as a board member of the Federation they may offer themselves for re-election for a further period of up to four years.
19 BORROWING POWERS
The Board may exercise all powers of the Federation to borrow money, and to mortgage or charge its undertaking and property, or any part thereof, and to issue debentures, debenture stock and other securities, whether outright or as security for any debt, liability or obligation of the Federation or of any third party.
20 POWERS AND DUTIES OF THE BOARD
20.1 The business of the Federation shall (subject as provided in these Articles) be managed by the Board, who may pay all expenses incurred in promoting and registering the Federation, and may exercise all such powers of the Federation as are not, by the 2006 Act or by these Articles, required to be exercised by the Federation in general meeting, subject nevertheless to the provisions of the 2006 Act or these Articles and to such regulations, being not inconsistent with the aforesaid provisions, as may be prescribed by the Federation in general meeting; but no regulation made by the Federation in general meeting shall invalidate any prior act of the Board which would have been valid if that regulation had not been made.
20.2 Without prejudice to the generality of the powers of the Board to manage the Federation the Board shall consult with the Council in its advisory capacity on strategy, financial performance related to strategic objectives, the appointment of the directors, the skills and competencies required for directors, the creation of committees and working groups and the Internal Regulations.
20.3 The Board may from time to time adopt any Internal Regulations not being inconsistent with these Articles for the conduct and regulation of any of the operations and activities of the Federation, the Board and its Committees as it shall think fit.
20.4 The Board may from time to time and at any time by power of attorney appoint any company, firm or person or body of persons, whether nominated directly or indirectly by the Board, to be the attorney or attorneys of the Federation for such purposes and with such powers, authorities and discretions (not exceeding those vested in or exercisable by the Board under these Articles) and for such period and subject to such conditions as they may think fit, and any such powers of attorney may contain such provisions for the protection and convenience of persons dealing with any such attorney as the Board may think fit and may also authorise any such attorney to delegate all or any of the powers, authorities and discretions vested in him.
20.5 All cheques, promissory notes, drafts, bills of exchange, and any other negotiable instruments, and all receipts for moneys paid to the Federation shall be signed, drawn, accepted, endorsed, or otherwise executed, as the case may be, in such manner as the Board shall from time to time by resolution determine.
20.6 The Board shall cause minutes to be made in books provided for the purpose:
20.6.1 of all appointments of members of the Board;
20.6.2 of the names of the members of the Board present at each meeting of the Board and of any committee thereof;
20.6.3 of all resolutions and proceedings of all meetings of the Federation and of the Board, and of committees thereof.
COMMITTEES AND WORKING GROUPS
21.1 There shall at all times be an audit committee, a remuneration committee, and a nominations committee each of which shall act in accordance with any terms of reference provided from time to time by the Board.
21.2 The audit committee and remuneration committee shall be Board Committees and accordingly the members of such Committees shall all be Board Members. At least one nonexecutive director with significant financial expertise must be a member of the audit committee. The Board Chair must be a member of the remuneration committee but shall not be a member of the audit committee.
21.3 The Nominations Committee shall, subject always to there being a majority of Independent Directors, comprise:
21.3.1 the Board Chair (except in the case when the Nominations Committee is tasked to recruit a new Board Chair, in which case the Nominations Committee shall be chaired by the Senior Independent Director for the purposes of that appointment and the Board Chair shall not sit on the committee for the purposes of that appointment);
21.3.2 two Independent Directors;
21.3.3 one Nominated Director; and
21.3.4 one Elected Director,
provided always that the Nominations Committee may co-opt an independent individual with extensive experience in a relevant sporting sector on an ad hoc basis to assist the Nominations Committee.
21.4 The audit and remuneration committees shall each comprise:
21.4.1 a chair, who (i) on the audit committee shall be a Director with significant financial expertise; and (ii) on the remuneration committee shall be an Independent Director.
21.4.2 one Independent Director;
21.4.3 one Nominated Director; and
21.4.4 one Elected Director.
21.5 The Board shall from time to time appoint such other committees and working groups as are identified from time to time as required to fulfil the Objects of the Federation.
22 REMOVAL/DISQUALIFICATION OF MEMBERS OF THE BOARD
22.1 A person shall with immediate effect cease to be a director of the Federation if:
22.1.1 that person is removed from office by an ordinary resolution duly passed by the Council under Section 168 of the 2006 Act;
22.1.2 that person is requested to resign by all of the other members of the Board acting together;
22.1.2 that person resigns their office by notice in writing to the Federation;
22.1.3 that person ceases to be a director by virtue of any provision of the 2006 Act or is otherwise prohibited from being a director by law;
22.1.4 a bankruptcy order is made against that person or that person makes any arrangement or composition with his creditors;
22.1.5 a registered medical practitioner gives a written opinion to the Federation stating that that person has become incapable of acting as a director and may remain so for more than three months;
22.1.6 by reason of that person's mental health, a court makes an order which wholly or partly prevents that person from personally exercising any powers or rights which that person would otherwise have.
23 PROCEEDINGS AT BOARD MEETINGS
23.1 The Board may (and not less than four times a year shall) meet together for the dispatch of business, and shall adjourn and otherwise regulate their meetings in such manner as they may think fit. Save as otherwise provided in these Articles questions arising at any meetings shall be decided by a majority of votes.
23.2 The Board Chair shall take the chair at meetings of the Board provided that if the Board Chair is not present the members of the Board attending the meeting may appoint one of their number to take the chair.
23.3 The quorum necessary for the transaction of the business of the Board shall be one half of the Members of the Board.
23.4 Seven clear days' notice of every meeting of the Board shall be given specifying the place, day and hour of the meeting, provided always that the Board Chair shall have power at any time in his discretion to convene a meeting at not less than 48 hours' notice and may adjourn the meeting from time to time. Shorter notice than provided for in this Article may be given if all of the directors consent.
23.5 At every meeting of the Board a resolution put to the vote of the meeting shall be decided on a show of hands.
23.6 A meeting of the Board at which a quorum is present shall be competent to exercise all or any of the authorities powers and discretions by or under these Articles for the time being vested in or exercisable by the Board generally.
23.7 A person may participate in a meeting of the Board or of a committee of directors by telephone video conferencing or other similar equipment provided that throughout the meeting all persons participating in the meeting are able to communicate interactively and simultaneously with all other parties participating in the meeting. A person participating in a meeting in this manner shall be deemed present in person at the meeting and shall be entitled to vote and be counted in the quorum.
23.8 Each director shall declare any interest they may have in any business to be considered by the Board and no director may participate in the discussion of or vote in respect of a matter in which they have a conflict of interest.
23.9 The continuing members of the Board may act notwithstanding any vacancy in their body, but, if and so long as their number is reduced below the number fixed by or pursuant to these Articles as the necessary quorum of members of the Board, the continuing members of the Board may act for the purpose of increasing the number of members of the Board to that number, or of summoning a general meeting of the Federation but for no other purpose.
23.10 A resolution in writing signed by all members of the Board for the time being entitled to receive notice of a meeting of the Board shall be as valid and effectual as if it had been passed at a meeting of the Board duly convened and held.
23.11 The Federation may pay any reasonable expenses which the directors properly incur in connection with the exercise of their powers and the discharge of their responsibilities in relation to the Federation.
24 CHIEF EXECUTIVE
24.1 Subject to the provisions of the 2006 Act the Board may appoint a Chief Executive for such term at such remuneration and upon such conditions as it may think fit.
24.2 The Board may remove the Chief Executive following consultation with the Council.
24.3 The Chief Executive shall be given notice of all Board meetings and entitled to attend and speak thereat (but not vote), save when the Board determines that it would be inappropriate when the business of a meeting concerns the conduct of performances of the Chief Executive.
PART 4: ADMINISTRATIVE ARRANGEMENTS
25 THE SEAL
The Federation need not have a common seal and the members of the Board may exercise all powers of the Federation to execute either under signature of one of them in the presence of a witness who attests the signature or , under the signature of any two of them or any one of them and the Secretary, and deliver any documents so as to have the same effect as a deed.
26 PATRON
The Council may (by passing a General Resolution to such effect) confer on any person or persons the title of Patron of the Federation, and a person on whom this title has been conferred shall retain it until his death or resignation or until the title is withdrawn by a Special Resolution of the Council. Any person for the time being holding the title of Patron may attend all general meetings of the Federation but shall not have any further powers or be entitled, in that capacity to vote at any such meeting or to any remuneration.
27 CONFIDENTIALITY
27.1 Any information received or brought to the notice of the Federation, a Member or Associate
Member or the Board in their capacity as such relating to the affairs of any Member or Associate Member shall be treated as confidential and shall not be disclosed in any way whatsoever without the consent of that Member or Associate Member.
27.2 Each Member or Associate Member shall ensure that it complies in all respects with the provisions of the Data Protection Act 1998 as regards personal data, within the meaning of that Act, supplied by that Member or Associate Member to the Federation.
28 ACCOUNTS
28.1 The Board shall cause proper books of account to be kept with respect to:
28.1.1 all sums of money received and expended by the Federation and the matters in respect of which the receipt and expenditure takes place;
28.1.2 all sales and purchases of goods by the Federation; and
28.1.3 the assets and liabilities of the Federation.
Proper books shall not be deemed to be kept if there are not kept such books of account as are necessary to give a true and fair view of the state of the Federation's affairs and to explain its transactions.
28.2 The books of account shall be kept at the registered office of the Federation, or subject to Section 386 and 387 of the 2006 Act, at such other place or places as the Board think fit, and shall always be open to the inspection of the Board.
28.3 The Board shall from time to time in accordance with the 2006 Act, cause to be prepared and to be laid before the Federation in general meeting such profit and loss accounts, balance sheets, group accounts (if any) and reports as are referred to in those sections.
28.4 A copy of the annual audited accounts (including every document required by law to be annexed thereto) which is to be laid before the Federation in general meeting, together with a copy of the auditors' report, shall not less than fourteen days before the date of the meeting be sent to every Member and Associate Member. Provided that this article shall not require a copy of those documents to be sent to any person of whose address the Federation is not aware.
29 AUDIT
Auditors shall be appointed and their duties regulated in accordance with Part 16 of the 2006 Act.
30 NOTICE
30.1 Subject to these Articles, anything sent or supplied by or to the Federation under these Articles may be sent or supplied in any way in which the 2006 Act provides for documents or information which are authorised or required by any provision of the 2006 Act to be sent or supplied by or to the Federation provided always in the event of electronic communication to Members or Associate Members the requisite individual consents have been obtained under the 2006 Act.
30.2 The applicable address shall be the registered office of the Member or Associate Member as
the case may be or in the case of electronic communication an address for the time being notified to the Federation for these purposes by the Member or Associate Member.
30.3 Subject to these Articles any notice or document to be sent or supplied to a member of the Board in connection with the taking of decisions of the Board may also be sent or supplied by the means by which that director has asked to be sent or supplied with such notices or documents for the time being
30.4 Where a notice is sent by post, service of the notice shall be deemed to be effected by properly addressing, prepaying and posting a letter containing the notice, and to have been effected in the case of a notice of a meeting at the expiry of twenty-four hours after the letter containing the same is posted and, in any other case at the time at which the letter would be delivered in the ordinary course of post.
30.5 Notice of every general meeting shall be given in any manner hereinbefore authorised to every Member, Associate Member, the Council Chair, each member of the Board, the Secretary and the Chief Executive. No other person shall be entitled to receive notices of general meetings.
30.6 A provision of the 2006 Act or of these Articles requiring or authorising a thing to be done by or to a member of the Board and the Secretary shall not be satisfied by its being done by or to the same person acting both as member of the Board and as/in place of, the Secretary.
31 INDEMNITY
Subject to the provisions of the Acts but without prejudice to any indemnity to which a member of the Board may otherwise be entitled, every member of the Board or other Officer of the Federation shall be indemnified out of the assets of the Federation against any liability incurred by him for negligence, default, breach of duty or breach of trust in relation to the affairs of the Company and such liability shall extend to all costs, charges, losses and expenses incurred by him in relation thereto, provided that this Article shall be deemed not to provide for, or entitle any such person to, indemnification to the extent that it would cause this Article, or any element of it7, to be treated as void under the Act or otherwise under the Acts.
|
IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF MARYLAND NORTHERN DIVISION
UNITED STATES OF AMERICA *
Case No. 10-181 (RDB)
*
v.
* *
THOMAS ANDREWS DRAKE, *
*
Defendant.
*
*****
OPPOSITION TO DEFENDANT'S MOTION FOR RELIEF FROM PROTECTIVE ORDER
The United States of America, appearing through its undersigned attorneys, respectfully submits its opposition to defendant Thomas A. Drake's Motion for Relief From Protective Order. This motion seeks to allow J. William Leonard "to disclose and discuss" documents provided to him by the defendant and which are protected from further disclosure by this Court's Protective Order of April 29, 2010. See Dkt. 13. The motion was filed by the defendant on behalf of a non-party who lacks standing to bring the motion, seeking to lift a Protective Order that was requested jointly by the parties and was entered by this Court with good cause. Accordingly, the motion is improperly made before this Court. The proper alternative, as government counsel has suggested to counsel for the defendant, is for Leonard to file a Freedom of Information Act (FOIA) request with the National Security Agency (NSA), which is prepared to act expeditiously upon the request.
I. FACTS
Defendant Thomas A. Drake was indicted on April 14, 2010 and charged with five counts of willfully retaining national defense information, in violation of 18 U.S.C. § 793(e), one count of obstruction of justice, in violation of 18 U.S.C. § 1519, and four counts of making false statements, in violation of 18 U.S.C. § 1001. The charges alleged that defendant Drake illegally removed from the NSA and kept in his home a number of classified documents that contained national defense information, made false statements to law enforcement agents interviewing him about these activities, and destroyed classified and unclassified documents in order to obstruct justice. See Indictment, Dkt. No. 1.
In addition to producing a large volume of classified discovery, the government also provided the defendant with a set of unclassified discovery documents. Before doing so, the parties jointly moved the Court for a protective order, "in light of the sensitive nature of the materials which may be disclosed in this case." Joint Motion for Protective Order, Dkt. No. 11 (filed Apr. 29, 2010). This Court granted the motion the same day, citing the same need for protection "in light of the sensitive nature of the materials." Protective Order at 1.
After the defendant indicated that his defense would include challenges to whether the charged documents in fact contained "national defense information," and after hearings held pursuant to § 6(c) of the Classified Information Procedures Act (CIPA), 18 U.S.C. App. §§ 1-16, this Court ruled that the government's proposed substitutions in numerous government and defense exhibits would not provide the defendant substantially the same ability to make his defense and thus did not meet the standard under § 6 of CIPA. Simultaneously, the parties engaged in plea negotiations, and on June 10, 2011, the defendant pleaded guilty to one count of
18 U.S.C. § 1030(a)(2)(B), and admitted to exceeding authorized access to government computers. See Information (Dkt. No. 157), Plea Agreement (Dkt. No. 158).
On July 15, 2011, this Court entered the Judgment in this case. See Dkt. No. 169. This order sentenced the defendant to one year of probation, and it dismissed all of the remaining charges.
On May 22, 2012, the defendant filed the motion now at issue. See Dkt. 180. It asks this Court to lift the Protective Order to allow J. William Leonard, a private citizen not a party to the litigation who was retained by the defendant as a potential expert witness, to publicly discuss and disclose three documents provided in discovery:
* an internal NSA email, entitled "What a Wonderful Success!," that was found in the defendant's home during the FBI search on November 28, 2007 and formed the basis for Count One of the indictment; 1
* a November 29, 2010, government discovery letter providing a written summary as to the expected trial testimony of Catherine A. Murray, an NSA employee, including a discussion of the system for classifying national security information, the levels of classification, and the reasons for the classification levels of numerous documents found in the defendant's home, including the "What a Wonderful Success!" document; and
* a follow-up discovery letter, dated March 7, 2011, that provided additional detail regarding the "What a Wonderful Success!" email.
One factual assertion by the defendant requires correction. He states that "the government took the position" that the "What a Wonderful Success!" email contained classified material as of November 2007, but that "That position soon changed." Def. Mot. at 3. This is incorrect. As of November 2007, the information in the document was classified, and the government's position as to this fact has not changed. In July 2010, the NSA updated the
1 This document was provided in the government's classified discovery, but is now more appropriately analyzed under the unclassified Protective Order. As explained below, this document contained national defense information classified at the Secret level at the time it was seized from the defendant's home. By the time the supplemental discovery letter was issued in March 2011, the NSA had determined that the information no longer required the protection of that level, and the information was downgraded, prospectively, to Unclassified/For Official Use Only.
classification guide for the information in the document; the new guide determined that the information no longer required the protection of classification. Thus, going forward, the information in the document, and the document itself, are no longer classified. 2
II. ANALYSIS
Because the defendant's motion is effectively a FOIA request submitted though the Court rather than directly to the NSA, neither the defendant nor Leonard can establish standing under Article III. "The exercise of federal judicial power is legitimate only in live cases or controversies, and one of the controlling elements in the definition of a case or controversy under Article III is standing." Bond v. Utreras, 585 F.3d 1061, 1068—69 (8 th Cir. 2009) (quoting Hein v. Freedom From Religion Found., Inc., 551 U.S 587 (2007) (internal citations and quotations omitted)). "The Supreme Court has described standing as 'perhaps the most important . . . [Article III] doctrine." Bond, 585 F.3d at 1069 (citing and quoting Allen v. Wright, 468 U.S. 737, 750 (1984)).
The Supreme Court has explained that Article III standing requires an "injury in fact": "an invasion of a legally protected interest which is (a) concrete and particularized, and (b) actual or imminent, not conjectural or hypothetical." Lujan v. Defenders of Wildlife, 504 U.S. 555, 560—61 (1992) (internal citations and quotations omitted). "By particularized," the Court held, "we mean that the injury must affect the plaintiff in a personal and individual way." Id. n. 1.
Defendant Drake has suffered no injury in fact, nor does he even allege one. Indeed, his prosecution is over. With no injury, defendant Drake has no standing to litigate the protective order as to Leonard, and no standing to continue.
2 The defendant's motion also refers to the government's position about the classification status of the document as of April 2010, when the defendant was indicted. As the Court is aware, the status of the information as of April 2010 is irrelevant. What mattered, for purposes of the charges, was whether it was classified at the time the defendant possessed it in November 2007.
Leonard, unfortunately, fares little better. Even assuming this Court denied the current motion, followed by a motion from Leonard himself to intervene in order to challenge the protective order, the proper response would be to deny the motion. Although the Fourth Circuit has not confronted this issue, a number of other courts have examined whether a third party has standing to intervene to challenge a protective order after a case has been resolved. The leading case, Bond v. Utreras, 585 F.3d 1061 (8 th Cir. 2009), explains that "[i]ntervention for purposes of challenging a protective order is an unusual species of permissive intervention that triggers its own unique standing issues." Id. at 1070. Although Bond and the cases it cites are civil, and analyze specific Federal Rules of Civil Procedure on intervention, the principles apply here.
When a case has been dismissed, an intervenor must establish standing to challenge a protective order. Id. at 1071. "This conclusion flows from the established general principle, noted above, than 'an actual controversy must be extant at all stages of review, not merely at the time the complaint is filed' in order '[t]o qualify as a case fit for federal-court adjudication.'" Id. (quoting Arizonans for Official English, 520 U.S. 43, 67 (1997)). Other circuits have reached the same conclusion. See Bond, 585 F.3d at 1072 (collecting cases, including Deus v. Allstate Ins. Co., 15 F.3d 506, 526 (5 th Cir. 1994); Newby v. Enron Corp., 443 F.3d 416, 422 (5 th Cir. 2006); Pansy v. Borough of Strodsburg, 23 F.3d 772, 777—78 (3d Cir. 1994); and Public Citizen v. Liggett Group, Inc., 858 F.2d 775, 787 (1 st Cir. 1988)). 3
Moreover, a third party seeking to challenge a post-judgment protective order must demonstrate the same kind of cognizable "injury in fact" under Lujan as any other litigant. This
3 The Fourth Circuit's opinion in Shaw v. Hunt, 154 F.3d 161, 165—66 (4th Cir. 1998), held that intervenors who successfully challenged a Congressional redistricting map were eligible for an award of attorney's fees even though their standing was in question. That case, however, involved a completely different factual situation. The intervenors there had joined the case well before the post judgment phase, and in fact had played an active role at the trial, appellate, and Supreme Court level. Leonard, by contrast, is still not a party to the case, and if he petitioned now would be joining over one year after the case's dismissal.
requires a concrete, particularized invasion of a legally protected interest. Lujan, 504 U.S. at 560. This requires a claim of injury to a legally cognizable right, and although a litigant need not definitively establish infringement on this right, he "must have a colorable claim to such a right" to satisfy Article III. Bond, 585 F.3d at 1073 (citing and quoting McConnell v. FEC, 540 U.S. 93, 227 (2003) and Aurora Loan Servs., Inc. v. Craddieth, 442 F.3d 1018, 1024 (7 th Cir. 2006)).
The problem with Leonard's claim is that it relies not on injury to him, but instead on a general desire to complain to the press and the public. As explained in Bond, most documents filed in court or that are used in a judicial proceeding are presumptively open to the public. See 585 F.3d at 1073 (describing the public's right to access court records). However, the Supreme Court has explained that the public right of access is limited to traditionally publicly available sources of information, and "discovered, but not yet admitted, information" is not "a traditionally public source of information." Seattle Times Co. v. Rhinehardt, 467 U.S. 20, 33 (1984). In Bond, the court relied on Seattle Times to distinguish filed and unfiled discovery, a civil principle that corresponds to whether or not the documents are used in court. The court in Bond applied this distinction to reject the standing of the post judgment intervenors. 585 F.3d at 107475.
Here, the "What a Wonderful Success!" document was used in Court, but only in the context of sealed CIPA hearings to determine the proper scope of redactions. The expert letters were not used in court. As a result, Leonard cannot show injury in fact sufficient for Article III standing.
As government counsel has urged, the solution to Leonard's desire to discuss his opinions is for him to file a FOIA request under 5 U.S.C. § 552 with the NSA. Government counsel attempted to explore this opportunity with counsel for the defendant but was ultimately
unsuccessful. The government has no animus toward Leonard or his desire to express his opinion about the documents in question – only an interest in appropriately protecting the sensitive nature of the material and to prevent a flood of similar claims by non-parties in other completed cases. Indeed, the government consented to Leonard's request to lift the Protective Order in order to lodge his complaint with the Information Security Oversight Office, the unit of the Executive Branch specifically tasked with receiving complaints about over- or misclassification.
The government also has coordinated with the NSA, which is prepared to act quickly with respect to any FOIA request by Leonard. The NSA has already prepared FOIA-approved versions of the documents at issue, which are attached to this opposition as exhibits A, B, and C.
As a result, the government's position is that this Court should deny the motion.
Defendant Drake has no standing to litigate this issue, and neither does Leonard. However, in the event that the Court holds that Leonard does have standing to pursue modification of the Protective Order, the government requests that the Court release only the redacted versions. The redactions are very limited. As to the "What a Wonderful Success!" document, the redactions are only last names of NSA employees, a redaction to which the defendant has no objection. As to the expert disclosure letters, the redactions only remove the portions of the November 29, 2010 letter which deals with other classified documents not the subject of Leonard's request. The March 7, 2011 letter is not redacted in any way.
III. CONCLUSION
The government respectfully requests that this Court deny the defendant's motion and direct Leonard to file a FOIA request with the NSA.
/s/ John P. Pearson John P. Pearson Trial Attorney Public Integrity Section United States Department of Justice 1400 New York Avenue, NW Suite 12100 Washington, DC 20005 202-307-2281 (direct) 202-514-3003 (fax) email@example.com
CERTIFICATE OF SERVICE
I hereby certify that I have caused an electronic copy of the Motion to Dismiss to be served via ECF upon James Wyda and Deborah L. Boardman, counsel for defendant.
/s/ John P. Pearson Trial Attorney United States Department of Justice
|
Audited Financial Statements St. Joseph Center Years ended June 30, 2014 and 2013 with Report of Independent Auditors
Report of Independent Auditors
Board of Directors St. Joseph Center
Report on the Financial Statements
We have audited the accompanying financial statements of St. Joseph Center, which comprise the statements of financial position as of June 30, 2014 and 2013, and the related statements of activities, functional expenses and cash flows for the years then ended, and the related notes to the financial statements.
Management's Responsibility for the Financial Statements
Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation 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 audits. We conducted our audits 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. Those standards require that we 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 auditor's 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. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant 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 is sufficient and appropriate to provide a basis for our audit opinion.
Opinion
In our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of St. Joseph Center as of June 30, 2014 and 2013, and the changes in its net assets and its cash flows for the years then ended in accordance with accounting principles generally accepted in the United States of America.
Other Reporting Required by Government Auditing Standards
In accordance with Government Auditing Standards, we have also issued our report dated October 7, 2014, on our consideration of St. Joseph Center'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 internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering St. Joseph Center's internal control over financial reporting and compliance.
Los Angeles, California October 7, 2014
June 30
| Long-term receivable, net of current portion 1,221,000 | | 1,254,000 |
|---|---|---|
| Security deposit 16,900 16,900 Total other assets 1,237,900 1,270,900 Total assets $ 13,956,474 $ 14,030,793 LIABILITIES AND NET ASSETS Current liabilities Current portion of notes payable $ 195,243 $ 194,144 Accounts payable and accrued expenses 584,420 536,160 | | |
| Contract advances | 366,004 | 486,030 |
| Due to County of Los Angeles - 76,669 Funds held for others 1,442,203 1,384,409 Total current liabilities 2,587,870 2,677,412 Noncurrent liabilities Notes payable, net of current portion 1,940,005 2,181,115 Total liabilities 4,527,875 4,858,527 . Net assets Unrestricted 8,039,572 7,568,272 Temporary restricted 1,389,027 1,603,994 | | |
| Total net assets 9,428,599 | | 9,172,266 |
| Years ended June 30 2014 2013 Changes in unrestricted assets Revenues, gains and other support Government grants and contracts $ 7,226,879 $ 5,249,090 | | | |
|---|---|---|---|
| Contributions | 1,916,311 | | 2,025,317 |
| In-kind contributions 450,281 589,901 Child care fees 489,269 416,292 Fundraising events - net 504,671 409,899 Thrift store sales - 114,373 Other revenues 83,397 46,368 Total revenues, gains and other support 10,670,808 8,851,240 | | | |
| Net assets released from restrictions | 255,942 | 677,142 | |
| Total unrestricted revenues 10,926,750 9,528,382 Expenses Program services 8,690,884 7,522,037 General and administrative 1,356,407 1,140,749 Development 408,159 352,596 Total expenses 10,455,450 9,015,382 Change in unrestricted net assets 471,300 513,000 Temporarily restricted net assets Contributions 40,975 345,523 Net assets released from restrictions (255,942) ( 677,142) Change in temporarily restricted net assets (214,967) ( 331,619) | | | |
| Change in net assets 256,333 | | | 181,381 |
| Change in net assets $ 256,333 $ | 181,381 |
|---|---|
| Adjustments to reconcile change in net assets to net cash provided by operating activities Depreciation and amortization 418,770 410,685 Imputed interest on noninterest bearing note payable 13,189 15,999 Gain on forgiveness of note payable (60,000) (60,000) Loss on disposal of property and equipment - 33,110 Changes in operating assets and liabilities: Funds held for others (57,794) (15,232) Accounts receivable (257,029) (226,700) Pledges receivable 95,750 62,500 Prepaid expenses and other current assets (36,616) 13,180 Security deposit - 13,950 Long-term receivable 33,000 57,561 Accounts payable and accrued expenses 48,260 15,588 | |
| Contract advances (120,026) | 486,030 |
NOTE 1 NATURE OF BUSINESS
St. Joseph Center's (the Center) mission is to provide working poor families, as well as homeless men, women, and children of all ages, with the inner resources and tools to become productive, stable and self-supporting members of the community. Since 1976, St. Joseph Center has been meeting the needs of low-income and homeless individuals and families in Venice, Santa Monica, Mar Vista, and surrounding communities on the Westside of Los Angeles. The Center assists people without regard for religious affiliation or lack thereof through comprehensive case management and integrated social service programs, and enjoys broad-based community support as well as a sponsored relationship with its founders, the Sisters of St. Joseph of Carondelet. St. Joseph Center serves approximately 6,000 individuals annually.
The Center's program services are funded through a combination of government grants, contributions from private foundations, and gifts from individual donors.
NOTE 2 DESCRIPTIONS OF PROGRAM SERVICES
Multifaceted intervention, prevention, and education services are carried out at four sites on the Westside of Los Angeles. St. Joseph Center's integrated programs (described below) provide clients with concentrated and coordinated access to services according to the nature of their needs.
Intervention Services:
Homeless Service Center - provides long-term case management aimed at permanent housing, offers referrals for critical services such as substance abuse treatment, and makes emergency services, such as shelter placement, showers, laundry, and mailboxes available to homeless individuals and families. More than 2,000 homeless individuals were served here in 2013-14.
Chronic Homeless Initiatives - reach out to the most vulnerable homeless individuals in Venice and Santa Monica and help them transition into permanent supportive housing.
Bread and Roses Café - serves hot, nutritious meals to homeless men, women, and children in a welcoming atmosphere of dignity and respect. At least 27,000 meals are provided annually.
Housing Services - assists people in securing and maintaining permanent housing.
Senior Services - provides case management and mental health services to at-risk housed and homeless older adults, with an emphasis on eviction-prevention services and housing placement.
Monetary Advisory Program - provides at-risk mentally ill adults with case management, money management, financial literacy classes, along with help finding and maintaining housing.
Veterans Representative Payee Program - provides at-risk veterans with case management, money management, financial literacy classes, along with help finding and maintaining housing.
NOTE 2 DESCRIPTIONS OF PROGRAM SERVICES (Continued)
Prevention and Education Services:
Food Pantry - provides low-income households with supplemental groceries, nutrition education, and workshops designed to increase wellbeing and support progress toward self-sufficiency. In fiscal year 2013-14, the Food Pantry distributed enough food for approximately 1,000 households and prepared more than 160,000 healthy meals.
Family Center - serves working poor families and individuals with case management, emergency services and targeted mental health outreach and treatment.
Culinary Training Program - educates unemployed adults in food service and life skills and helps them obtain jobs. The program places an average of 70% of graduates in permanent employment.
Early Learning Center - provides socioeconomically integrated, enriched childcare and parent education that nurtures children's healthy development while promoting stability and self-sufficiency for their families.
NOTE 3 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
Basis of Presentation
The Center reports information regarding its financial position and activities according to three classes of net assets: unrestricted, temporarily restricted and permanently restricted net assets. Net assets, revenues, expenses, gains and losses are classified based on the existence or absence of donor-imposed restrictions. The Center does not have any permanently restricted net assets at June 30, 2014 and 2013.
Method of Accounting
The Center's financial statements have been prepared on the accrual basis of accounting in accordance with accounting principles generally accepted in the United States of America.
Income Tax Status
The Center is exempt from federal income tax, California tax, federal unemployment tax, and various other federal, state and local taxes under Section 501(c)(3) of the Internal Revenue Code and similar state provisions.
Generally accepted accounting principles prescribe a recognition threshold and measurement attribute for the financial statement recognition and measurement of a tax position taken or expected to be taken in a tax return. It requires that an organization recognize in the financial statements the impact of the tax position if that position will more likely than not be sustained on audit, based on the technical merits of the position. As of and for the years ended June 30, 2014 and 2013, the Center asserts that it had no unrecognized tax benefits or tax penalties or interest. There are currently no audits for any tax periods in progress. The Center remains subject to income tax examination for 2011 and subsequent years (for federal) and 2010 and subsequent years (for state).
NOTE 3 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Continued)
Cash and Cash Equivalents
All unrestricted investment instruments with original maturities of three months or less are cash equivalents.
Accounts Receivable
Accounts receivable consist of receivables recorded upon recognition of revenue based on contractual arrangements, reduced by reserves for estimated bad debts. Accounts receivable are recorded at the invoiced amount and do not bear interest. The allowance for doubtful accounts is determined based on historical write-off experience, current customer or donor information and other relevant factors, including specific identification of past due accounts. Accounts are charged off against the allowance when the Center believes they are uncollectible.
Property and Equipment
Property and equipment are recorded at cost or, if donated, at estimated fair value at the date of donation. The costs of additions and betterments are capitalized, while expenditures for maintenance and repairs are charged to expense as incurred. The Center generally capitalizes assets with an original cost over $5,000. Upon disposal of depreciable property, the appropriate property accounts are reduced by the related costs and accumulated depreciation. The resulting gains and losses are reflected in the statement of activities.
The provision for depreciation is computed using the straight-line method over the estimated useful lives of the depreciable assets as follow:
Building and improvements Automobiles, furniture, fixtures and equipment
30-50 years
3-10 years
Leasehold improvements are amortized using the useful life of the asset or the remaining lease term, whichever is shorter.
The estimated service life of the assets for depreciation purposes may be different than their actual economic useful lives. Fully depreciated assets are retained in the accounts until their retirement.
Functional Allocation of Expenses
Salaries and related expenses are allocated to program services and supporting services on the basis of the actual time devoted to those activities. Other expenses have been charged directly or allocated using various bases as determined by management.
In certain instances, common expenses are incurred, which support the activities performed under several grants. In absence of agreements to the contrary, such expenses are allocated on the basis that appears most reasonable to management.
NOTE 3 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Continued)
In-Kind Contributions
In-kind contributions, including volunteer services and other non-cash contributions, when required by generally accepted accounting principles are reflected as contributions and expenses at their estimated fair values when received.
Contributions
Contributions primarily include unconditional transfers of cash or other assets. Contributions, whether temporarily restricted or unrestricted, are recognized as revenue when they are received. Unconditional promises to give are recorded at net realizable value on the date the promise is received.
Thrift Store Sales
Thrift store sales are measured at the fair value of the consideration received or receivable net of sales tax, trade discounts and customer returns. The thrift store was closed in January 2013.
Use of Estimates
The preparation of financial statements in conformity with generally accepted accounting principles requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Significant estimates include determination of accounts receivable allowance and imputed interest rate on noninterest bearing loan. Actual results could differ from those estimates.
Concentration of Credit Risk
Concentration of credit risk is the risk of loss attributable to the magnitude of the Center's investment in a single issuer.
Custodial Credit Risk
Custodial credit risk is the risk that the Center will not be able to (a) recover deposits if the depository financial institution fails, or (b) recover the value of investments or collateral securities that are in the possession of an outside party if the counterparty to the investment or deposit transaction fails.
Financial instruments that potentially subject the Center to credit risk are cash deposits with banks and other financial institutions that are in excess of the federally insured limit of $250,000. The Center has not experienced any losses in such accounts and believes it is not exposed to any significant credit risk on cash. At June 30, 2014, the Center had bank accounts that exceeded the Federal Deposit Insurance Corporation limit totaling $635,764.
Reclassification
Certain amounts in the 2013 financial statements have been reclassified to conform with the 2014 presentation.
NOTE 4 FUNDS HELD FOR OTHERS
Funds held for others are maintained in separate bank accounts. At June 30, the funds consisted of following:
Veterans Representative Payee Project: Individual accounts for clients Client funds Monetary Advisory Program Client Funds Client Rent Account
NOTE 5 ACCOUNTS RECEIVABLE, NET
At June 30, accounts receivable consisted of the following:
June 30
NOTE 6 LONG-TERM RECEIVABLE
Long-term receivable represents a promise that the Center received in 2002 for the lease of the land on which the Center's headquarter office was built on, at an annual rental cost of $1 for 50 years. Because the annual rent cost is significantly below the fair market value, a contribution was recorded in the year the promise was received, and the estimated fair market value of the land lease for 50 years was recorded as a long-term receivable. The long-term receivable is amortized over 50 years, the life of the lease, and the annual amortization reduces the temporarily restricted net assets. As of June 30, 2014 and 2013, the Center's longterm receivable, net of current portion of $33,000 for both years, amounted to $1,221,000 and $1,254,000.
NOTE 7 NOTES PAYABLE
As of June 30, notes payable consisted of:
Interest payments made on debt obligations during the year ended June 30, 2014 and 2013 amounted to $108,637 and $123,981, respectively.
As of June 30, 2014 and 2013, the Center has unused line of credit amounting to $350,000.
NOTE 7 NOTES PAYABLE (Continued)
At June 30, 2014, annual maturities of long-term debt are as follows:
NOTE 8 CONTRACT ADVANCES
The Center receives advances from Department of Mental Health to cover costs in providing mental health services. As of June 30, 2014 and 2013, not all advances were utilized. At June 30, 2014 and 2013, the amount of unused funds amounted to $366,004 and $486,030, respectively, and are shown as contract advances in the statements of financial position.
NOTE 9 DUE TO LOS ANGELES COUNTY
In October 2013, the Department of Mental Health of the County of Los Angeles reviewed the Center's Specialty Mental Health Services for the fiscal year 20072008. Based on the review, the Center's settlement to the Los Angeles County amounted to $76,669. This amount was recorded as a liability as of June 30, 2013, and paid subsequently during the year ended June 30, 2014.
NOTE 10 TEMPORARILY RESTRICTED NET ASSETS
Temporarily restricted net assets consist of donor-restricted amounts received and/or pledged, which require the payment of specified program and capital campaign expenses in satisfaction of the restrictions. Temporarily restricted net assets at June 30, consisted of the following:
NOTE 11 FUNDRAISING EVENTS - NET
Net revenues for fundraising events for the years ended June 30, consisted of the following:
NOTE 12 COMMITMENTS AND CONTINGENCIES
Commitments
The Center leases office and program spaces, and equipment under various leases. Rental expense for the years ended June 30, 2014 and 2013 related to these leases amounted to $198,050 and $252,178, respectively.
At June 30, 2014, future commitments under the lease agreements are as follow:
Land and
Contingencies
From time to time, the Center is involved in various claims, disputes and actions arising in the normal course of business. In the opinion of management, the ultimate disposition of those matters will not have a material adverse effect on the Center's financial position or results of activity.
NOTE 12 SUBSEQUENT EVENTS
The Center has evaluated events or transactions that occurred subsequent to the statement of financial position date through October 7, 2014, the date the accompanying financial statements were available to be issued, for potential recognition or disclosure in the financial statements and determined that no other subsequent matters required disclosure or adjustment to the accompanying financial statements.
Report of Independent Auditors 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
Board of Directors St. Joseph Center
We have audited, in accordance with the 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, the financial statements of St. Joseph Center, which comprise the statement of financial position as of June 30, 2014, and the related statements of activities, functional expenses and cash flows for the year then ended, and the related notes to the financial statements, and have issued our report thereon dated October 7, 2014.
Internal Control Over Financial Reporting
In planning and performing our audit of the financial statements, we considered St. Joseph Center's internal control over financial reporting (internal control) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinion on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of St. Joseph Center's internal control. Accordingly, we do not express an opinion on the effectiveness of St. Joseph Center's internal control.
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. A significant deficiency is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance.
Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weaknesses or significant deficiencies. However, material weaknesses or significant deficiencies may exist that have not been identified.
Compliance and Other Matters
As part of obtaining reasonable assurance about whether St. Joseph Center's financial statements are free from 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 no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards.
Purpose of this Report
The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity's internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity's internal control and compliance. Accordingly, this communication is not suitable for any other purpose.
Los Angeles, California October 7, 2014
www.vasquezcpa.com
801 South Grand Avenue, Suite 400 • Los Angeles, California 90017-4646 • Ph. (213) 873-1700 • Fax (213) 873-1777 Vasquez & Company LLP has over 40-years experience in performing audit, accounting & consulting services. Vasquez is a member of the McGladrey Alliance. The McGladrey Alliance is a premier affiliation of independent accounting and consulting firms. McGladrey Alliance member firms maintain their respective names, autonomy and independence and are responsible for their own client fee arrangements, delivery of services and maintenance of client relationships.
|
GUINEA: THE LAW AND FGM
September 2018
In Guinea, the prevalence of FGM in women aged 15–49 is 96.9%.
The administrative regions with the highest and lowest prevalence are Labé (100%) and N'Zérékoré (87.1%).
[x] More than 70% of women aged 15–49 who have undergone FGM were cut between the ages of 5 and 14.
[x] 'Cut, flesh removed' is the most common type of FGM practised.
[x] About 80% of women were cut by traditional cutters, but medicalised FGM is rising rapidly.
[x] Support for FGM is reportedly rising.
Domestic Legal Framework
* Not specifically addressed in the Criminal Code; only failure to prevent crimes in general (see below).
What is The Law Against FGM?
An overview of the international and regional treaties signed and ratified by Guinea can be found in Appendix I of this report.
Guinea has a civil law system based on the French model.
The Constitution of Guinea (2010) 1 does not specifically refer to violence against women and girls, harmful practices or FGM, but Article 5 places obligation on the State to respect and protect the human person and their dignity, and Article 6 protects physical integrity, affirming that 'no one shall be subjected to torture, to pain [peines] or to cruel, inhuman or degrading treatments.' Article 8 states, 'All human beings are equal before the law. Men and women have the same rights', and Article 23 places responsibility on the State to 'promote the well-being of the citizens, to protect and to defend the rights of the human person and the defenders of human rights.'
The Guinean Government has had legislation prohibiting FGM since 1965. This was followed by several decrees and ministerial orders in the 1990s and 2000s, which have since been revoked.
The principal legislation now governing FGM in Guinea is Law No. 2016/059/AN (the Criminal Code 2016) 2 , in which Articles 258–261 prohibit FGM whether performed by traditional or modern methods.
In addition, Law L/2008/011/AN (the Children's Code 2008) 3 criminalised violence against children and explicitly addressed FGM under Articles 405–410.
What The Law Covers
Chapter V, Section II: Female Genital Mutilation of the Criminal Code 2016 provides a definition of FGM under Article 258: 'Female genital mutilation refers to any partial or total removal of the genitalia of girls or women or any other operations concerning these organs.'
Article 258 goes on to state that all forms of FGM are prohibited in the Republic of Guinea; in particular:
[x] partial or total removal of the clitoris;
[x] removal of the labia minora or majora; and
[x] infibulation, which consists of sewing the labia minora or majora, leaving only the meatus (i.e. opening).
Article 259 states that anyone practising FGM, whether by traditional or modern methods, or promoting or participating in these practices in any way is guilty of voluntary violence on the woman or girl. Parents of the child and any other person with authority over or custody of the child who authorises or promotes FGM will be subject to the same punishment as those who perform the excision.
The Criminal Code 2016 does not specifically oblige a person to report awareness of FGM; more generally, Article 298 states that the failure to prevent either a crime or an offence against the bodily integrity of a person is punishable. Anyone who voluntarily fails to provide assistance to a person in danger of such an offence may also face punishment. A duty to report FGM is, however, contained in the draft Children's Code (see below).
Other laws that are also relevant to FGM in Guinea include:
[x] Chapter IV, Section VII: Violence Against Children of the Children's Code 2008 sets out the same definition (under Article 405) and prohibition of FGM (in Articles 406–410) as the later Criminal Code 2016. Article 410 additionally places an obligation on public and private health facilities to report cases of FGM to relevant public authorities.
[x] Articles 338–339 of the draft Revised Children's Code provides for an independent duty to report as soon as one notes or suspects physical or mental harm, sexual abuse, negligence or abuse of a minor (under 18 years of age), even if bound by professional secrecy. However, this new code has not yet been enacted.
[x] Law/010/2000/AN of July 2000 on Reproductive Health in the Republic of Guinea includes Article 6, which prohibits any forms of violence or sexual abuse and states that individuals have the right not to be subjected to torture and cruel, inhuman or degrading treatments on his or her body in general and on his or her reproductive organs in particular. 4 Article 13 provides that FGM is criminalised and punishable under the law.
Medicalised FGM
Guinea is seeing an increasing trend towards medicalised FGM: the most recent data available shows that health professionals (mainly nurses and midwives) cut about 15% of women overall (aged 15–49) and about 30% of girls (aged 0–14). 5
Article 259 of the Criminal Code 2016, prohibiting the practice of FGM by 'traditional or modern methods', applies universally, including to medical practitioners. It further stipulates that the maximum sentence shall be applied when FGM is practised 'in a public or private health structure and facilitated by a person belonging to the paramedical or medical staff, in particular doctors, nurses, midwives and technicians.'
In addition, Article 410 of the Children's Code 2008 requires heads of public and private health structures to ensure that victims of FGM seeking assistance in their centres or establishments are provided with the appropriate medical attention. It also requires them to promptly inform the relevant public authorities, so they may monitor the victim's condition and initiate legal proceedings as set out in the Code.
Cross-Border FGM
Guinea shares borders with other countries where FGM prevalence also remains high and the existence and enforcement of laws varies widely. The movement across borders to perform or procure FGM and avoid prosecution can be a consequence of laws being implemented and can leave girls living in border communities particularly vulnerable. It is a problem throughout West Africa, but the extent of cross-border movement in and out of Guinea for FGM is not clear.
Chapter V, Section II on FGM in the Criminal Code 2016 does not directly criminalise or punish cross-border FGM. More generally, however, under Article 12 of the Criminal Code 2016, any offence committed in another country by a citizen or resident of Guinea will be punishable if it qualifies as a crime under Guinean law and is punishable by the law in the place where it takes place. It also applies if the crime is committed by a foreigner outside of the territory of the Republic, when the victim is Guinean. The punishment cannot be superior to the one applicable pursuant to the law of the country where the offence is committed. Cross-border FGM carried out between Guinea and neighbouring countries such as Mali, Liberia and Sierra Leone, where national legislation to ban FGM is still not in place, would therefore not be punishable.
Penalties
The Criminal Code 2016 under Article 259 establishes the following penalties in relation to performing, procuring, aiding and abetting FGM:
[x] Anyone practising FGM, whether by traditional or modern methods, or promoting or participating in these practices in any way, is punishable by imprisonment for a minimum of three months up to two years or a fine of 500,000 to 2,000,000 Guinean francs (approximately US$55–220 6 ), or both.
[x] If the act was premeditated or if the victim was ambushed, the prison term is from two to five years or a fine of 1,000,000 to 3,000,000 Guinean francs (approximately US$110–330 7 ), or both.
[x] Parents of the child or any other person with authority over or custody of the child who procures or assists FGM will be subject to the same punishment as those who perform the excision.
[x] The maximum sentence shall be applied when FGM is practised in a public or private health structure and facilitated by a person belonging to the paramedical or medical staff, in particular, doctors, nurses, midwives and technicians.
In addition, under Article 260, if FGM leads to disability, the perpetrators shall be sentenced to five to ten years in prison or a fine of 1,000,000 to 3,000,000 Guinean francs (approximately US$110– 330 8 ), or both.
If the FGM results in death, under Article 261 the perpetrators will be punished with five to twenty years' imprisonment.
The Children's Code 2008 had previously set out the same penalties for FGM under Articles 407– 409 (with the exception of a smaller fine for practising FGM, which has subsequently been raised in the Criminal Code).
Failure to provide assistance to a person in danger or to prevent a crime or offence against the bodily integrity of a person generally is punishable under Article 298 of the Criminal Code 2016 by one to five years' imprisonment and a fine of 1,000,000 to 5,000,000 Guinean francs (approximately US$110–550 9 ).
Implementation of The Law
Cases
Evidence suggests that, despite the law, prosecutions against FGM are rare in Guinea. A few cases have been reported since 2010, but it appears that the courts were lenient, giving only suspended sentences and/or small fines. 10
Unfortunately, the numbers of cases referred to the tribunals do not reflect reality, because society is still ruled by customs and traditions that force women to submit, to remain silent . . .
~National Directorate for the Promotion of Women and Gender 11
Publicly available information on prosecutions is limited. The following has been noted by local counsel for the purposes of this research:
[x] In July 2014, the Court of First Instance in Conakry convicted a perpetrator of FGM (a woman aged 82) to a two-year suspended prison sentence and a fine of 1,000,000 Guinean francs for violating Articles 405, 406 and 407 of the Children's Code.
[x] In January 2015, the Court of First Instance in Faranah convicted a perpetrator of FGM to a oneyear suspended prison sentence and a fine of 500,000 Guinean francs for violating the Criminal Code and the Children's Code.
[x] In July 2015, the Justice of the Peace of Gueckedou convicted a perpetrator of FGM to a sixmonth suspended prison sentence and a fine of 500,000 Guinean francs for violating the Criminal Code and the Children's Code by performing FGM on a nine-year-old girl.
There is little evidence that any medical professionals have been prosecuted to date; only one case against a medical professional, in 2016, has been identified. The Local Council for Children and Families (Le Conseil local pour l'enfant et la famille – CLEF) reported a case where a state-registered nurse performed FGM on two young girls in the province of Korodou (District of the Urban Commune of Kissidougou). The Justice of the Peace of Kissidougou sentenced the nurse to a sixmonth suspended prison sentence and a fine of 500,000 Guinean francs.
The most recent report published by the UNFPA-UNICEF Joint Programme to Eliminate Female Genital Mutilation (UNJP) listed just 11 cases brought to court in 2016, with only 2 convictions recorded. 12
Relevant Government Authorities and Strategies.
Several government departments in Guinea are responsible for work to end FGM, including the Ministry of Social Affairs and Promotion of Women and Children and the Ministry of Education In 2011, a restructuring of the Office for the Protection of Gender, Children and Morals (OPROGEM) took place, which set up offices at the regional level to implement programmes and a national committee to coordinate efforts to end the practice – the Comité National pour la Promotion de l'Abandon des MGF/E. In 2012, a National Strategic Plan for the Abandonment of FGM (2012–2016) was launched by the Government, which included training for both the judiciary and medical personnel and awareness-raising campaigns with local authorities, traditional and religious leaders and schools. 13 Media has also been used, including television and radio advertising and poster campaigns.
In 2008, Guinea was one of the first countries to become part of the UNJP. It has supported a wide range of programmes and services, including community sensitisation, declarations of abandonment and training for religious leaders, health personnel, community social workers and youth. It has also supported the toll-free 116 telephone helpline to report FGM offences (managed by l'Association Guinéenne des Assistants Sociaux).
Regarding the law, the UNJP has supported the training of law-enforcement officers on the content of the legislation and the use of an SMS monitoring tool to report cases of FGM. 14 In August 2016, the prime minister of Guinea reaffirmed the Government's commitment to supporting the work to abandon FGM 15 and the UNJP reported that an updated National Strategic Action Plan is operational until 2018.
The General Secretariat of Religious Affairs has also issued a fatwa (religious ruling) prohibiting the practice of FGM in Guinea.
Civil Society Observations
As well as official bodies, there are a range of international and national non-governmental organisations (INGOs and NGOs) working to protect women's and girls' rights in Guinea. Despite various strategies being implemented to tackle FGM, including education and information campaigns and alternative-livelihood training for cutters, prevalence remains high in Guinea and support for the practice, according to some reports, has even been increasing.
Civil society notes many challenges to the implementation and enforcement of the law, including weaknesses in the judicial system and huge pressure from communities to continue the practice.
Knowledge of the content of the law is generally weak, and families often try to interfere in the judicial system at the local level. There has also reportedly been a move away from traditional community celebrations around FGM to more individual cases being performed as a way avoid the law.
The concerns of NGOs were reflected by the Office of the United Nations High Commissioner for Human Rights (UNCHR), which made the following observations about Guinea in 2016:
The persistence of FGM/E is in large part due to an absence of vigorous action by judicial authorities to ensure their prevention and eradication. Thousands of young girls are excised across the country every year, during school vacations, with the full knowledge of judicial personnel, including prosecutors and instructing magistrates. Generally speaking, legal texts prohibiting FGM/E are not respected. Excision practitioners are rarely subjected to legal proceedings . . . This is compounded by the fact that the Justice sector in Guinea is poorly funded, and several prefectures with more than 100,000 inhabitants can count on only two magistrates, one legal clerk and fewer than five police officers or gendarmes. When these personnel do seek to address FGM/E issues they are frequently subjected to serious pressures, including threats. On several occasions when alleged perpetrators have been arrested and charged, groups of women have burst into offices and threatened physical violence if they were not immediately released. 16
Civil society also points out that health professionals, particularly midwives, increasingly flout the law and will continue to do so until the legislation, and particularly the Reproductive Health law, are fully enforced.
Women and girls in Guinea who have not had FGM face verbal abuse from their communities and do not receive the social respect and acceptance that those who have been cut traditionally receive. This perpetuates the practice, and current legislation does not protect uncut women and girls from abusive language or exclusion from society.
Conclusions and Suggestions for Improvement
Conclusions
[x] The main law in Guinea criminalising and punishing the performance, procurement, aiding and abetting of FGM is the Criminal Code 2016. Other national legislation, such as the Children's Code 2008 and the Reproductive Health Law of 2000, also provide protection from the practice.
[x] Current legislation applies maximum penalties for FGM carried out by a member of the medical profession; despite this, medicalised FGM is increasing in Guinea.
[x] The law does not specifically criminalise and punish the failure to report FGM or instances of cross-border FGM.
[x] Laws in Guinea have not been adequately implemented and enforced to date; convictions are rare, and sentences are lenient. Knowledge of the law is weak, and its content generally disregarded by the judiciary due to intense pressure from the community to continue the practice.
[x] Strategies are in place to tackle FGM, but prevalence remains very high and support for the practice has reportedly increased. Women and girls still face immense pressure to be cut and are stigmatised if they do not submit.
Suggestions for Improvement
National Legislation
[x] The law should specifically criminalise and punish failure to report FGM to the relevant authorities, whether it has taken place, is taking place or is planned.
[x] The law also needs to criminalise and punish any movement across national borders for the purpose of FGM.
[x] The law needs to protect uncut women and girls (and their families) from both abusive language and actions that exclude them from society.
[x] Laws need to be made accessible to all members of society and easy to understand in all local languages.
Implementation of the Law
[x] Judges and local law enforcers need adequate support and training around the law and should be empowered to fully apply the sentences provided for by the legislation.
[x] Adequate monitoring and reporting of FGM cases in Guinea would improve efficiency and inform policy makers, the judiciary, the police, civil society and all those working to implement and enforce the law.
[x] Anti-FGM programmes should disseminate clear, easy-to-understand and accurate information around the law.
[x] Increased involvement of local and religious leaders in education around the law, including their responsibilities and the importance of the law in protecting women and girls in their communities, would also be beneficial.
[x] Tribunals could be encouraged to make sure any prosecutions relating to FGM are clearly reported, including through local media such as community radio.
[x] Increased support and protection for victims and witnesses in FGM cases is needed.
[x] All professions need training around the law and their responsibilities to respond to women and girls who are affected by or at risk of FGM.
[x] Where literacy rates are low, information around the law needs to be made available through different media channels and resources.
[x] Mandatory reporting of instances of FGM that come to the attention of medical staff in hospitals and health centres could be considered.
[x] Where these are currently unavailable and a need is identified, appropriate protection measures (for example, the provision of safe spaces) should be put in place for girls at risk of FGM.
Appendix I: International and Regional Treaties
'Signed': a treaty is signed by countries following negotiation and agreement of its contents.
'Ratified': once signed, most treaties and conventions must be ratified (i.e. approved through the standard national legislative procedure) to be legally effective in that country.
'Acceded': when a country ratifies a treaty that has already been negotiated by other states.
1 Guinea's Constitution of 2010 (2010) [English Translation by William S. Hein & Co., Inc.] Available at https://www.constituteproject.org/constitution/Guinea_2010.pdf?lang=en.
2 Law on the Criminal Code, 2016 [Loi No. 2016-059/AN portant Code Pénal] (2016) Available at https://ihldatabases.icrc.org/applic/ihl/ihl-nat.nsf/implementingLaws.xsp?documentId=D5E8B7179C215EA7C12580E40039F562&action= openDocument&xp_countrySelected=GN&xp_topicSelected=GVAL-992BU6&from=topic&SessionID=DXXUSTFWD8.
3 Children's Code of Guinea (L/2008/011/AN Act of August 19, 2008) [Code de l'enfant guineen (Loi L/2008/011/AN du 19 aout 2008)] (2008) Available at https://ihl-databases.icrc.org/applic/ihl/ihlnat.nsf/implementingLaws.xsp?documentId=AAC20477AF5D4B28C12576DC0039A4D7&action=openDocument &xp_countrySelected=GN&xp_topicSelected=GVAL-992BUG&from=state&SessionID=DZM89NQJK2.
4 Act No. L/010/2000/AN of 10 July 2000 (Female Genital Mutilation)
(2000) Available at http://evaw-global- database.unwomen.org/en/countries/africa/guinea/2000/act-no-l0102000an-of-10-july-2000.
5 DHS (2012), pp.329 & 335.
6 Currency conversion as at 31 December 2017 (http://www.xe.com).
7 Currency conversion as at 31 December 2017 (http://www.xe.com).
8 Currency conversion as at 31 December 2017 (http://www.xe.com).
9 Currency conversion as at 31 December 2017 (http://www.xe.com).
10 Cécile Barbière (2017) 'Guinean expert: "We need to target different people in our fight against FGM"', EURACTIV, 31 January. Available at https://www.euractiv.com/section/development-policy/interview/guineanexpert-we-need-to-target-different-people-in-our-fight-against-fgm/.
11 National Directorate for the Promotion of Women and Gender cited by UNICEF (2015) Child Notice Guinea: 2015, p.93. Available at https://www.unicef.be/content/uploads/2016/06/unc_rapport_child_notice_guinee_en_final_web1.pdf.
12 UNFPA-UNICEF Joint Programme on Female Genital Mutilation/Cutting (2017) 2016 Annual Report of the UNFPA-UNICEF Joint Programme on Female Genital Mutilation/Cutting: Accelerating Change, p.40. Available at https://reliefweb.int/sites/reliefweb.int/files/resources/UNFPA_UNICEF_FGM_16_Report_web.pdf.
13 Office of the United nations Commission for Human Rights (2016) Summary of the OHCHR Report on human rights and the practice of female genital mutilation and excision in Guinea. Available at http://www.ohchr.org/Documents/Countries/GN/SummaryReportGenitalMutilationGuinea_EN.docx.
14 UNFPA-UNICEF Joint Programme on Female Genital Mutilation/Cutting, op. cit., p.41.
15 Guinea Alumina Corporation (2016) Guinée : Mutilations Génitales Féminines, le gouvernement s'engage dans la lutte, 6 August. Available at https://www.guinee360.com/06/08/2016/mutilations-genitales/.
16 Office of the United nations Commission for Human Rights , op. cit., p.6.
Cover image:
UNMEER (2015) Reopening of schools in Guinea. Available at https://flic.kr/p/qPMC21, CCL: https://creativecommons.org/licenses/by-nd/2.0/.
Please note that the use of a photograph of any girl or woman in this report does not imply that she has, nor has not, undergone FGM.
This report was prepared in collaboration with TrustLaw, the Thomson Reuters Foundation's global, legal pro bono service that connects law firms and legal teams to NGOs and social enterprises that are working to create social and environmental change.
The information in this report has been compiled in cooperation with Cleary Gottlieb Steen & Hamilton LLP from documents that are publicly available and is for general information purposes only. It has been prepared as a work of legal research only and does not represent legal advice in respect of any of the laws of Guinea. It does not purport to be complete or to apply to any particular factual or legal circumstances. It does not constitute, and must not be relied or acted upon as, legal advice or create an attorney-client relationship with any person or entity. Neither 28 Too Many, Cleary Gottlieb Steen & Hamilton LLP, the Thomson Reuters Foundation nor any other contributor to this report accepts responsibility for losses that may arise from reliance upon the information contained herein, or any inaccuracies, including changes in the law since the research was completed in September 2018. No contributor to this report holds himself or herself out as being qualified to provide legal advice in respect of any jurisdiction as a result of his or her participation in this project or contribution to this report. Legal advice should be obtained from legal counsel qualified in the relevant jurisdiction/s when dealing with specific circumstances. It should be noted, furthermore, that in many countries there is a lack of legal precedent for the penalties laid out in the law, meaning that, in practice, lesser penalties may be applied.
Acknowledgements:
Cleary Gottlieb Steen & Hamilton LLP Anyray and Partners Les Mêmes Droits pour Tous (MDT) Tostan Guinea
10
|
Remembrance &
mourning
Booklet 5
Help in coping:
When someone dies in a road accident
Kristine Alilunas Rodgers
Kristine Alilunas Rodgers 1999, 2000
Australian Capital Territory Magistrates Court, Canberra, Australia
The NRMA - ACT Road Safety Trust provided funding for 'Help in Coping: When Someone Dies in a Road Accident' (a draft version of which was prepared in 1998 under the auspices of the National Association for Loss and Grief (ACT)).
Rodgers, Kristine Alilunas.
Remembrance & mourning. Booklet 5 of Help in Coping: When Someone Dies in a Road Accident.
ISBN 1 86331 471 7
In memory of Colin Rodgers.
To all those who have died on Canberra's roads.
For all those bereaved by a road accident in Canberra, and for those helping them.
ACKNOWLEDGMENTS
The assistance of the NRMA - ACT Road Safety Trust is gratefully acknowledged.
This booklet would not have been possible without the cooperation of many in the community. The assistance of the following persons and organisations is gratefully acknowledged, as is that of others who have also contributed information or comments, or preferred to remain anonymous:
John Allison/Monkhouse; Viki Fox, Kidscan; Barbara Miller, psychologist; M. H. O'Rourke; Meryl and John Turner, The Compassionate Friends.
Those acknowledged are not responsible for the contents of the booklet.
NOTE
The information in this booklet has been drawn from a number of sources. Some practices may vary within a religious community; many associated practices may have been omitted. No offence is intended to any religious community. The intention is to point out some of the common threads in religious practices, from many different cultural traditions, that can help people to grieve. It tries to do this in a way that acknowledges and affirms the wide variety of religious, spiritual and cultural beliefs and practices within the Canberra community.
USE OF THIS MATERIAL
Material in this booklet may be down loaded and copied for a non-profit purpose as long as you do not make any changes or additions and you include full publishing details (author, title, date, funding source, publisher and Web site).
THE IMPORTANCE OF MOURNING
This booklet is especially intended for those who may feel a need to develop their own mourning rituals.
Most cultures in the world have developed rituals to help the bereaved. These rituals provide social support and structure for emotions to be expressed. Some of these practices may go back thousands of years.
Such supports and structures may sometimes be lacking in our society nowadays; our Western culture has lost many traditional practices relating to death and mourning. (For example, many people no longer expect that those attending the funeral will wear black, or that close family members will wear black clothes for a period of time. The custom of wearing a black arm band has virtually disappeared. Although some may be glad that such customs are no longer expected, these were effective ways of alerting others to the special, vulnerable state of the bereaved.)
Our modern society provides for funeral customs and expressions of condolence, and many bereaved people arrange for formal acknowledgment of the anniversary of the death. But there is little provision made for the extended period of mourning that continues long after the funeral.
Because of this 'gap' in our society, you may find it helpful to draw on some of the rituals practised by traditional religions, both Western and non-Western. Many of these are carried out by various communities in Australia today. You can borrow from these and invent your own rituals to help you express and channel your grief, and carry them out either on your own, in total privacy, or in the company of close family members or friends.
Here are some examples of practices taken from Buddhism, Greek Orthodox Christianity, Hinduism, Islam and Judaism, with a few examples also from Anglicanism, Roman Catholicism and Sikhism, and Aboriginal Australian and Maori practices.
Some of these customs are also associated with taboos. In some societies close family members are sometimes not merely discouraged from doing certain activities or helped to do certain activities but are not allowed to do them (to touch food, for instance) because they are considered temporarily 'unclean'. An underlying taboo is perhaps universally associated with death, and a taboo or stigma (conscious or not) may be attached to a close association with a person who has died.
You may find at times that a similar sort of taboo or stigma is at work in some people's reactions to your circumstances, and in yourself. In our Western society, this may manifest itself in such ways as avoiding contact, keeping silent, denying grief.
Consciously or not, we all dread the prospect of our own death and that of someone we love. The prospect – and the reality – are 'off limits' to many of us; we simply don't want to think about it or know about it.
But a tragedy has happened and you have been thrown, unprepared, against the reality of death in your life. And yet somehow you must go on living.
At first the triggers, the reminders, the thoughts may be constant and the waves of intense grief overwhelming; you may be able to think of little else. And yet, some of the time at least, you will have to (and will be able to) temporarily 'put aside' your grief to do whatever tasks need to be done (in fact, you will probably be doing this from the very first, in all of the decisions you have had to make concerning the funeral, for example).
Later on, the pressures to 'get on with your life' become very strong. But your life has been changed by this tragedy; your intense grief over the loss you have experienced is still there, part of your new reality. It is futile to try and pretend it's not there or run away from it or 'get over it'; you must – and can – travel through it. Gradually, more and more of the time, you can have more control and choice, you can 'manage' your grief (although there will still be unexpected triggers that you may not be able to control). By accepting your grief, not denying it, you can allow it a place in your life, allow yourself time for it.
Allowing yourself the freedom to mourn (in a society that does not encourage it), developing your own mourning rituals, finding someone who will listen to you at least some of the time as you relive the experience and remember the person who died, seeking out support (possibly from new sources) may help you in surviving your loss and living with your grief.
RITUALS OF REMEMBRANCE
DEEP MOURNING
* seven days (no work, no cooking, etc.) (Hinduism)
* seven days (family stays at home, visitors come; candle or lamp burns; prayers and readings – 'shiva') (Judaism)
* ten days, followed by a ceremony (Sikhism).
Traditional practices of deep mourning can provide a structure that allows the family to focus their emotions and thoughts entirely on the person who died, to give physical expression to their grief, protected from outside pressures, and to talk endlessly about the person who died.
In our society, bereavement leave from work is intended to allow for the funeral; however, the standard three days' leave is hardly sufficient for deep mourning. You should not be expected (or expect yourself) to be 'operational' within so short a time. If you are employed, take as much leave as you can or feel that you need (both now and later on). Now is the time to allow yourself to weep (it's the body's natural way and allows certain chemicals to be released), wail, sob, scream, shout.
FREQUENT VISITS TO THE GR AV E A N D / O R A C E R E M O N Y O R S P E C I A L P R AY E R S
* during the first three days (Buddhism)
* on the third, ninth and fortieth days, and then after three, six (or nine) and twelve months (Greek Orthodox)
* on the third, seventh and fortieth days, and every week for the first 40 days (Islam)
* prayers for one or two weeks; on the seventh day: collect the ashes and hold a ceremony; one month after the death: scatter the ashes over a river or lake and hold a ceremony (Hinduism)
* mourning and ceremonies continue for two to six weeks (Aboriginal Australians)
* person's name included in prayers in a place of worship.
These traditions can help the family to let the reality of the death sink in, through frequent visits to the cemetery, and to channel and express their grief through regular ceremonies and prayers or time spent focusing on the person who died. After cremation takes place, for example, a ceremony may be held when collecting the person's ashes and when scattering (or interring) them.
MOURNING
* 30 days of gradual readjustment (Judaism)
* 40 days, followed by a ceremony (Greek Orthodox)
* seven weeks (49 days) (Buddhism)
* 100 days of mourning, followed by a ceremony (Buddhism)
* one year of grieving (healing, remembering, regular prayers) (Judaism).
These traditions of mourning recognise that a period of readjustment is needed while a bereaved person is gradually able to return to everyday activities. The person is allowed time, and encouraged, to grieve and begin to heal. Setting aside special time for regular prayers or meditation or times of focusing on the person who died can help in grieving. A ceremony at the end of an extended time can help to mark a transition to an increased level of activity and a renewed realisation of the reality of the death.
The equivalent in our society might be periods of leave from work, or part-time duties. You may be experiencing difficulties in concentrating at work or on other tasks. This can be a period when you may begin to function well some of the time but not all of the time, and when you need time just to be with your emotions. Grief is exhausting, and you may experience great fatigue. Some people may be able to take some time off to go to a quiet place out of town, or simply to take walks or work quietly in their own garden.
After a sudden and unexpected death, healing may take longer than when there has been some expectation and preparation. Your body may need a prolonged period of relative peace and calm to recover from the shock, just as it may take a long time for your mind to fully take in the reality of the death. Support is available (> see Contact information & resources (Booklet 8)).
The period of waiting to know the results of the coroner's investigation into the death can be very hard.
You may find that your grieving takes longer because it is delayed or interrupted by not knowing the full circumstances of the death until after the coroner's inquest is finalised, or by a heavy load of paperwork and worry involved in insurance claims, compensation or criminal matters or settling an estate. You may be forced to put your emotions on hold, so to speak, for a time.
If this happens, it can be very helpful not to allow these distractions from your grief to become permanent but to allow yourself time to refocus your emotions so that you can fully work through your grief. You may feel the need to take leave from work at a later stage, too.
It may also be helpful to treat the end of the inquest (or the settlement of a claim or other matter) as the end of a stage, and to mark this with a 'time-off' period of emotional release and commemoration.
There is no time table for grieving. However, after a period of some weeks or months, some people may expect you to be re-adjusting faster than you are. (You may expect this of yourself, too.) Support from other people is likely to diminish, and you need to be prepared for this to happen. It may help if you can tell yourself that someone else can't really imagine what it is like for you unless they have experienced something very similar to what you have experienced, or have already had close contact with someone who has, or are exceptionally compassionate and understanding people. (Could you have imagined yourself what it would be like before it happened?) The level of knowledge and understanding in the community is fairly low about bereavement generally and about sudden, unexpected deaths and coronial procedures in particular. (This was probably the case for you, too, before the death.)
This can be a difficult time of transition. It may be the right time to reach out to new sources of support, such as a bereavement self-help group (where you can meet other people who have experienced a similar loss), or counselling, or books about bereavement (> see Booklets 8 and 6). Or perhaps it's the right time to begin to work on a scrapbook of memories. Or to keep a journal where you write down your thoughts and feelings and struggles (this might even be in the form of letters to the person who has died). It can be helpful simply to give yourself permission to grieve in your own way and your own time, and you may find some of the traditional practices discussed here can help you in this.
SPECIAL PLACE OR SHRINE
A place at home for silent prayers and remembering, with photos, candles, flowers, and incense or crucifix or statues (many Roman Catholics, many Asian religions).
A special place or shrine can be very helpful in providing a concrete focus for your thoughts and emotions. You can hold 'conversations' with the person who has died and pour your heart out. You can light candles every day or on special days or whenever you feel the need.
FIRST ANNIVERSARY OF THE DE AT H
* erect headstone or plaque and unveil it in a service of remembrance (Judaism, Maoris)
* commemorative service (Roman Catholicism, Greek Orthodox).
Traditions commemorating the first anniversary of the person's death are still commonly practised in our society. Bereaved families frequently place a notice in the newspaper and take flowers to the grave or memorial site. Some people plant a tree.
It is very common to have a 'first anniversary reaction' about a year after the death and in the time leading up to it. The reality of the death may hit you again very hard and you may relive in your mind, in a very vivid way, the events connected with the death, almost as if they were happening again. This is a normal part of the attempts of your mind and emotions to deal with the reality of the death.
Again, give yourself permission to grieve in your own way. Writing down your feelings and talking to others can help, too. Preparing to commemorate the first anniversary of the death may help you to channel some of the anxiety and other emotions that you may be feeling.
YEARLY COMMEMOR AT I O N O F T H E A N N I V E R S A R Y O F T H E D E AT H
* special ceremony or offering in a place of worship (Greek Orthodox, Roman Catholicism, Buddhism)
* candles lit at home and memorial prayer in a place of worship (Judaism)
* person's name included in prayers in a place of worship (Roman Catholicism, Anglicanism).
Yearly commemoration of the anniversary of the death is still commonly practised in our society. Bereaved family members also frequently place newspaper notices and take flowers to the grave or memorial site. This can be a special time to remember the person who died and to reflect on the changes in your own life.
YEARLY COMMEMOR AT I O N O F T H E D E AD
The Christian church has traditionally celebrated All Saints' Day (November 1). All Souls' Day (November 2) is also celebrated by some branches of Christianity. These are special days for prayers in a place of worship and for tending the grave site and placing flowers.
In Canberra a yearly commemoration is held at Norwood Park on the first Sunday in November. Some funeral directors also hold an annual commemoration, often around Christmas time.
|
Financial Regulation in a Changing World:
Lessons from the Recent Crisis
Gerard Caprio, Jr.
Williams College
September, 2009
Abstract: The current crisis is leading many to re-think the role of finance and how it should be regulated. Yet many features of this crisis are decidedly not new. This paper reviews what was regarded as the conventional wisdom on financial regulation prior to the 2007 onset of the crisis, briefly recounts some of the main factors behind the events of the 2007-09 years, and then turns to lessons for regulatory reform. At some point in the 1990s, the financial systems of high-income countries seemed to be functioning well and withstood some significant shocks, yet by 2007 much had changed. However, the regulatory structure did not change in response, and in fact eased in such a way as to exacerbate the instability that was subsequently experienced. A key theme is that financial regulation needs to be more dynamic, taking account of financial innovations and how they affect the sector. No such approach to regulation seems possible without greater accountability for regulators and attention to the incentives for those in the sector and for those who regulate it.
Keywords: Financial crisis, Securitization, Regulation and Supervision, Safety Nets JEL Classification Codes: G21, G28, G32
Paper prepared for the VII Colloquium on "Financial Collapse: How are the Biggest Nations and Organizations Managing the Crisis?", Jointly organized by the Associazione Luiss-Guido Carli and Fondazione Cesifin "Alberto Predieri" in collaboration with the editors of the Journal of Financial Stability, October 2, 2009 – Ravenna. Comments from James Barth and Ross Levine are gratefully acknowledged, though responsibility for the views espoused here remains with the author.
I. Introduction
Money … is a machine for doing quickly and commodiously what would be done, though less quickly and commodiously, without it; and like many other kinds of machinery, it exerts a distinct and independent influence of its own only when it gets out of order.
John Stuart Mill, Principles of Political Economy, Book 3.7, 1848
The financial crisis that has engulfed most industrial and many emerging markets since mid2007 has been dubbed the most serious financial crisis since the Great Depression and has led many to observe that thinking about finance, and even the field of economics, or at least modern macroeconomics, needs to be reconsidered. Unfortunately, this reaction is hardly a surprise. The view that finance, in particular in normal times, is not very important, dates back to at least the time of John Stuart Mill (above). Consequently, it was natural, as economists moved to working with mathematical models and desperately sought simplifying assumptions, that one of the earliest favorites was to assume away the need to include the existence of money (and of course the financial sector). In an Arrow-Debreu world of complete markets, the return to financial intermediation was zero, so no intermediaries existed. Notwithstanding the contributions of economists such as Raymond Goldsmith, Gurley and Shaw, Kindleberger, and Minsky, finance and most notably the study of financial crises has remained a relatively fringe activity in economics. Even models that included money and even debt often ignored the financial intermediation process. Attention to finance and its regulation picks up in the aftermath of financial crises, but many economists in recent years have quickly returned to the safety of their dynamic stochastic general equilibrium models and assumptions of efficient markets. Similar to financial market participants, policy makers seemed to accept the market efficiency view, and also took comfort in the benign messages coming from standard microprudential assessments of risk.
As became painfully evident, and as Avinash Persaud (2000) pointed out so far in advance, the herd of risk takers might have been quite happy but they were in the process of riding off the cliff together. A number of financial innovations and changes in the shape of the financial sector had occurred, noted below in section III, which conspired to make old approaches to regulation as useful as was the Maginot line in protecting France in 1939. Together these developments dramatically altered the incentives in the financial sector and led to taking a high-risk position by many financial intermediaries. The Canadian case to the contrary notwithstanding, there was not much divergence in the success, or lack thereof, among regulatory systems. In addition to well-publicized failures in Iceland, Ireland, the United Kingdom, and the United States, many continental European systems are in grave distress; while some might have been slower to originate many of the bad loans and securities, financial intermediaries there were major purchasers of securitized paper. Curiously the U.S. system has been vilified for supplying much of this paper, yet foreign systems have received less attention for their role on the demand side.
With the maturing of the empirical finance literature, there is now excellent evidence, based on aggregate cross-country, industry-level, and firm-level studies, as well as in individual historical case studies, that finance plays a critical role in economic growth (see Levine, 1997 and 2004). And there also is strong support for the role of finance in ameliorating poverty (Demirguc-Kunt and Levine, 2009) and reducing income inequality (Levine, Levkov, and Rubenstein, 2008). Since finance is an important force for good, it is important to change the approach to regulation in order to maximize these benefits as well as to protect societies from the 'dark side' of this force. Moreover, the present crisis has demonstrated effectively what was known previously from developing country experience with rapid credit growth, namely that all financial deepening is not necessarily good. Ensuring healthy financial sector development should be the critical objective of the regulatory regimes that countries choose.
Section II of this paper will review the conventional wisdom regarding financial regulation prior to the onset of this crisis, including the critiques of this position. Section III then will provide a short review of the key factors in the crisis; those who know these issues well should feel free to skip this section, but ensuring that author and reader have the same diagnosis will reduce the disagreements as to the cures. The key problem in a nutshell: the sector changed, regulation did not, at least not in the right direction. In the mid-1990s, financial systems in industrial countries were relatively robust, withstanding shocks from crises in Mexico, East Asia, and the Russian/LTCM episode of 1998. To be sure, there were some weaknesses, as those very crises revealed, but a record setting financial crises was not inevitable at that time. However, a decade later, the landscape had changed fundamentally, and this section argues that the key factors were the rise of opacity and the skewing of incentives in favor of risktaking, while the regulatory approach had failed to adapt and even reinforced rather than mitigated these changes. In sum, financial systems experienced much innovation without a suitable adaptation of regulation. Section IV therefore argues in favor of moving to a more dynamic system of regulation, and takes some lessons from previous attempts to put rules rather than bright lines into regulations.
While a shift to greater attention on macroprudential regulation is desirable – and ensuring financial stability after all was the key reason why the Federal Reserve System was established -- before all of the checklists of variables to be monitored inevitably are rolled out, regulators need to be compelled to focus on the quality and availability of information and on the incentives in the sector. It is difficult to envisage a regulatory system that will adapt dynamically unless regulators are provided with financial incentives for the effective conduct of their responsibilities, an idea that is not yet receiving serious consideration in regulatory circles. Instead, debates on the number of regulators, or where regulatory responsibilities are housed have become popular, even though both unified (U.K.) and balkanized (U.S.) regulatory models failed miserably in this crisis. This paper argues that it is time instead to focus on the key factors behind the crisis and the regulatory failures behind it. Rather than inserting fingers into dikes, a broader look at the issues is needed, if not to prevent but at least to mitigate the next crisis. Regulatory reformers need to abandon the quest for the ideal Maginot Line and instead focus on building an adaptable system that will adapt to a changing financial system.
II. 'Known' Knowns? Pre-Crisis Views on Regulation
Prior to the beginning of the crisis in the summer of 2007, there seemed to be greater consensus on financial regulation in official policy making circles than had been seen in some decades, though not without academic and other critics. Industrial country authorities, joined by those in at least 80 emerging markets, on the eve of the crisis were in the process of moving at various speeds to Basel II, the revised Capital Accord of the Basel Committee on Bank Supervision to improve upon Basel I of 1988. 1 For sophisticated banks and countries, the first pillar of this Accord was to feature the use of internal ratings models of commercial banks, while for those lacking the data and skills for a model-based implementation of the accord, risk weights were to be set using the assessments of credit rating organizations (CROs). This move to rely more on models (of the banks and/or of the CROs) was part of what was described as a revolution in risk management in favor of greater quantification. Although some regulators and Basel Committee enthusiasts understandably took credit for helping along this process, as detailed by Tett (2009), it dated back to the efforts of the former Bankers Trust and JP Morgan in the early 1980s, thus predating the Basel Committee's foray in the area. Unfortunately, in implementing quantitative risk management models, many rushed to assume that risks were normally distributed even though the possibility of – and the historical evidence on – fat tails was
1 See the website of the Basel Committee (http://www.bis.org/bcbs/index.htm) for descriptions of their membership, work program, etc. Barth, Caprio, and Levine (2006) offer a brief description of the multi-pillar system and a short history of the Basel effort.
recognized. How far back in time should or could one go to estimate probabilities of defaults, loss given default, and exposure at default during rare market events was largely ignored, a fact the Basel Committee seemed to sanction by allowing 5 years of data to be sufficient for estimated credit default probabilities and losses. In the go-go days of the U.S. credit bubble, this short estimation period meant that no period of high default rates was included, much less a period in which real estate prices were falling. Disaster myopia (Guttentag and Herring, 1986) is commonplace in all bubbles, and certainly in the runup to the current crisis; the author recalls being told in 2005 by those caught up in the bubble that U.S. real estate prices might slow, but never fall – notwithstanding the factual error of that statement and the absence of any logical reason as to why it might be hold. As Kahnemann and Tversky (1981) described, this type of 'framing,' in which people judge prospects by a selective look at evidence, might be advantageous in some aspects of human behavior but is dangerous in finance.
Basel II was envisaged as a supervisory-led system, not surprisingly as bank supervisors largely shaped it. The Basel Committee's "Core Principles for Effective Banking Supervision" and supporting documents discuss all of the requirements for supervisors, including the information that banks need to make available to them, but are remarkably silent on the information that banks need to disclose to the public. The main document asserts that effective market discipline is a prerequisite for effective supervision, but says nothing about how the former can be expected to develop. It also lists 'sound and sustainable macro policies as another precondition, notes that this area is not in the domain of bank supervision, but that supervisors must react if they see a macro issue. 2
Overwhelmingly, supervision was focused at the microprudential level, concerned with the health of individual banks based on an analysis of individual institutions, neglecting systemic
2 "Sound macroeconomic policies must be the foundation of a stable financial system. This is not within the competence of banking supervisors. Supervisors will, however, need to react if they perceive that existing policies are undermining the safety and soundness of the banking system," Basel Committee, 2006, p. 6.
concerns. 3 This orientation made it plausible that as supervisors investigated individual banks that may have sold off some of their risky exposure, they were placated by its absence from the bank's balance sheet and did not address the issue of whether these risks could come back to the bank, much less its implications for the broader financial system.
This micro level approach permeated financial sector regulation. The history of the Bank-Fund Financial Sector Assessment Program (FSAP) sheds some light on the problem. In 1995-96, the World Bank was gradually ramping up its efforts to diagnose financial systems, having put together a diverse team of finance specialists (financial economists, bankers, bank supervisors, regulators – with market experience -- of capital markets, pension funds and insurance, accountants and lawyers) to discuss how this might best be achieved, and operationalized the approach with an investigation of an East Asian country. A hallmark of the approach taken was that the analysis of the banks, insurance companies, pension funds, etc. was not left to narrow specialists in each area, but rather was conducted and vetted by the broader group, with questioning on the implications of developments in one subsector for another and the entire system.
With the increase in developing country crises in 1997-98, the World Bank and IMF were encouraged to develop a formal assessment program. However, at the same time a variety of G-10 and other groups sponsored the creation of a wave of standards well beyond banking – from accounting and auditing to securities market regulation, payment systems, insurance and pension funds – I all covering a dozen specialist areas, leading to a total of hundreds of standards. 4 Thus the FSAP program became an umbrella for each of these specialists, and on most of the exercises, the entire time that the various specialists worked on a country, they did so exclusively or virtually only in their particular sub-discipline.
Although the overall assessment of the FSAP would attempt to synthesize results, much of
3 See Persaud, 2009 for more on the importance of macroprudential regulation.
4 One colleague quipped, with so many standards, one could instead inquire as to whether they had any!
the synergy to be gained from having specialists collaborate was lost. Attempting to harness the synergies of various specialists working together was one of the arguments in favor of the establishment of the U.K. Financial Services Authority (FSA), but also seems not to have worked out in practice. The various standards were promulgated by G-10 led groups operating under the assumption that their adoption by developing country authorities would render financial markets there developed and stable.
In banking, although Basel II was barely being implemented in advanced countries in the summer of 2007, still key features of the crisis (below) were the failure of models and the grossly overoptimistic ratings of the CROs, key components of pillar 1 of the new system. Interestingly, there have not been overt denials or halts in the movement to implement Basel II notwithstanding the failure of its key components. The official position of the Basel Committee (in remarks by the Karl Cordewener, the Deputy Secretary General of the Basel Committee, at the World Bank, May 2009), in addition to acknowledging these failures, seems to be to say that they must improve on the use of each, even though how these improvements will occur – or why if known corrective measures were not previously implemented -- is not clear.
Both in academia and in the financial sector, there was no shortage of Basel critics and the related standards and codes in other subsectors. Focusing just on Basel, one group of critics was the Shadow Financial Regulatory Committee, 5 first of the U.S. and later joined by those in Europe, Japan, and Latin America, composed mostly of financial economists, many with experience in policy advisory work or banking. Many of the members of the U.S. group (e.g., Kane, Calomiris, Herring, and Kaufman) had been involved analyzing and/or reforming bank regulation in the wake of the U.S. Savings and Loan (S&L) Crisis during the 1980s. Not surprisingly, the official regulatory community espoused the public interest view of regulation (Shleifer, 2005; Barth, Caprio, and Levine, 2006), which assumes the existence
5 For the various statements and papers by the Shadow Group, see http://www.aei.org/raProjectHome?rapId=15
of market failures but posits that government has the incentive and ability to correct them. Explicitly or implicitly, the Shadow groups' analysis was based on the private interest view of regulation, which also assumes the existence of market failures but argues that regulators will respond not just to the public interest but to their own private interests as well. Thus this school of thought recognizes the possibility of regulatory or political capture, and therefore the need for incentives to induce regulators to comply. This view also clearly recognized the incentives that bankers would have to exploit the safety net (Calomiris, 1997).
In the regulatory reform following the S&L crisis, the 'incentive' for regulators to take appropriate and timely action was a series of requirements that they intervene with increasingly severe measures as banks' net worth declined, with the goal of closing them while net worth was still positive. 6 However, not only was this system weakened in its implementation, compared with its original design, but also it relies on an accurate estimate of bank net worth. As noted below, securitization and the creation of off-balance sheet vehicles impaired the ability of creditors, bank supervisors, and even bank CEOs to understand their true exposure.
Another strand of the critique was based on cross-country empirical evidence, combined with a line of research showing the importance of the institutional environment in development broadly and finance in particular. Barth, Caprio and Levine (BCL, 2006) assembled a database for the World Bank on bank regulation around the world, and proceeded to construct indices of capital regulation, supervisory powers, private monitoring, and other variables, examining the extent to which these helped explain the development of the banking sector, its efficiency, its stability, the integrity (or its opposite, the extent of corruption) in banking, and the governance of banks. While not an evaluation of Basel II, which was not yet in operation, their first three independent variables correspond to the three pillars of Basel II. BCL found no robust influence of capital regulation or supervision
6 This legislation is referred to as the Federal Deposit Insurance Corporation Improvement Act, or FDICIA. See Kaufman and Litan, 1993.
on any of the dependent variables, except that supervision was linked with a less developed and more corrupt banking system – neither variable influenced stability. On the other hand, private monitoring was associated with a more developed, more efficient, less corrupt, and better-governed banking system. The only variables that influenced stability were moral hazard (or the generosity of deposit insurance) and activity restrictions, both of which were bad for stability, and diversification requirements (or loan concentration limits), which exerted a positive effect on stability. Similar findings in securities markets were established by La Porta, Lopez-de-Silanes, and Shleifer (2006).
BCL also found that political institutions matter greatly in determining the type of regulatory system that countries adopt. Closed, relatively uncontestable political systems are strongly associated with uncompetitive financial systems, an argument advanced conceptually and anecdotally by Rajan and Zingales (2004). BCL also explore the impact of the legal system and other factors that affect the contracting environment, and find that these institutions very much influence the way in which the same set of rules can operate in different countries. In short, in financial regulation one size does not fit all.
Notwithstanding these critics, the Basel movement in banking and the 'standards approach' in other areas of finance were very much in the lead in official circles at the IFIs, the BIS, Financial Stability Forum, and many governments. Although some in the regulatory community, notably Bill White and Claudio Borio at the BIS, and Ned Gramlich even earlier at the Fed, were actively warning of a buildup of problems well in advance of the crisis, active intervention into the financial system was not seen. Worse still, once the crisis began regulatory officials repeated on numerous occasions that it was merely a liquidity problem. Although regulators can usually be suspected of making statements to calm markets, this view, and not the problem that many banks had leveraged themselves to extremely high levels, seemed genuinely to be believed and was reiterated in private. The conclusion thus is that they believe that the Basel approach largely was working to keep the financial system
safe. Certainly some of the gaps in their knowledge was due to activities in the less regulated parts of the financial sector, but it later became clear to all that excessive leverage and risk taking were a problem in the commercial banking sector, the part that responsible regulatory authorities believed was fine, even overcapitalized! In truth, this sector was 'over-risked!'
III. Key Features of the Crisis
As a number of papers and books have examined the details behind the crisis that is officially dated as beginning in the summer of 2007, as well as some of the vulnerabilities that had been building up for several years, so this section will focus only briefly on the most important explanations, including some that have gotten short shrift. 7 First, consider the leading features behind the US crisis, beginning with the best known. As shown in Figure 1, housing prices had risen substantially relative to their long-term trend, as well as in comparison to incomes. This boom was accompanied by a large rise in the percent of mortgages that were securitized, as seen in the data for subprime mortgages (Figure 2), which was facilitated by an evisceration of down payment requirements – borrowers with no verifiable income and no assets could make a bet on the U.S. housing market with other people's money and without recourse. In other words, 'innovation' allowed people to make a bet in which their downside loss was limited and much of which could be passed back to the banks and/or holders of securities. Overall, the percentage of U.S. mortgages that were securitized rose from zero in 1952 to 60% in 2008, according to Barth, et al. (2009), reflecting at least in some cases banks' interest in getting high-risk loans off of their balance sheets.
7 See in particular Barth, et al (2009); Brunnermeier (2009); Caprio, Demirguc-Kunt and Kane (2008); Gorton (2008, 2009), and Greenlaw, Hatzius, Kashyup, and Stein (2008).
Sources: Barth, Li, Lu, Phumiwasana, and Yago (2009) and Shiller (2002). Note: The annualized growth rate is the geometric mean.
Sources: Barth, Li, Lu, Phumiwasana, and Yago (2009) and Inside Mortgage Finance. Note: Each bar represents the cumulative share of all subprime mortgage originations securitized starting in 1994 and continuing through the third quarter of 2008.
However, although it is common to speak of the current episode as a subprime or even a housing crisis, it is more accurate to say that it in an information and incentive crisis. Prior to the recent real estate boom, mortgage securities had been simpler instruments, and to the extent that they were held by banks, they were more likely to be held on balance sheet – especially before Basel I – as there was little use of risk weighting for capital ratios, and much less use of derivatives. Securitization was an important factor in the destruction or obscuring of information and the weakening of incentives in the banking sector; banks had less motivation to exert due diligence -- including even gathering information -- in the loan approval process to the extent that there was a higher probability that they would be selling loans almost immediately. 8 Indeed, no documentation loans, which are difficult to comprehend in the absence of securitization, represent a clear loss of information. Worse still, 'NINJA loans' or loans with no documentation of income, jobs, and assets promised that the banks would take the borrower's word for any information that they recorded – yet these were soon dubbed 'liar' loans, and were associated with a purported growth in the 6figure incomes of those with no apparent marketable skills. Also the use of loan brokers increased dramatically, and these institutions retained virtually none of the credit exposure and essentially were unregulated. Not surprisingly, many of the worst loans originated from such brokers, especially independent brokers with little reputational risk at stake. In short, there were a number of blatant warning signs that incentives had been perverted in favor of absurd risk-taking, yet few regulators were noticing, much less acting on these developments.
The complex nature of securitization, combined with the growth of off-balance sheet Structured Investment Vehicles (SIVs), which were invented to evade regulatory requirements), then contributed to a serious deterioration in the quality of information that was available. Mortgages and other securities were pooled together and then sliced and diced into various tranches in complex Collateralized Debt Obligations (CDOs), best
8 It is important to note that securitization had been in existence literally for millennia – with evidence in Goetzmann (2009) that loans were bought and sold as early as around 2000 B.C.
summarized here in Figure 3 (from Barth, et al, 2009), in which even the presence of securities of dubious quality do not prevent a high rating. Indeed, the CROs were
Note: The equity tranche absorbs approximately the first 3 percent of credit losses in a portfolio. Losses then affect the mezzanine tranches; the first of these commonly covers the next 3 percent of losses up to 6 percent. Additional tranches can also be created to cover losses up to 12 percent, beyond which the losses begin to hit senior, AAA-rated tranches. Both first and second mortgages can be securitized in a similar fashion.
functioning as consultants in the packaging process, notwithstanding a clear conflict of interest. Conveniently (at the time), their models did not take account of the change in the population of borrowers – home ownership was expanding to a record high, and many had never owned a home previously. Nor did the CROs account for the fact that many of the underlying mortgages were adjustable rate instruments, that many had artificially low initial (or 'teaser') rates, and that with interest rates at or near record lows, the market risk born by borrowers would be converted into a highly correlated credit risk as and when interest rates rose. Yet for many borrowers, significant interest rate increases were guaranteed, and likely to be substantial, which explains the high rates of default among relative new loans (Greenlaw, et al 2008). Thus securitized packages of these new types of mortgages, rather than diversifying risk the way a diversified bundle of corporate securities would, instead they manage to hide and concentrate systemic risk. 9 Some suggest that these were oversights or mistakes by the CROs. However, that they were being paid incredibly well for these mistakes, and that employees were told not to raise objections (Lowenstein 2008) suggests that it was incentives and not ignorance that is blameworthy.
Purchasers of these complex securities were mollified by their often-high ratings, and asked few questions about the underlying assets. The ebullient atmosphere pervading credit markets up until late 2006/early 2007, combined with the sanctioning of the CROs by the SEC (their status as Nationally Recognized Statistical Readings Organizations, or NRSROs), led many purchasers to acquire the securities without asking questions about their quality. As the quality of subprime, and later alt-A and even prime mortgages began to be doubted, it proved virtually impossible to sell the securities, or to determine their proper valuation. Even without delving into the complex nature of financial markets, replete with complicated securities and derivatives, the loss of information became painfully evident when the crisis broke out, as interbank markets essentially shut down. In past crises, including during the Great Depression, runs on banks for the most part were selective; except for the brief period in early 1933 when the run essentially was on the dollar, it was the riskiest banks that suffered from the runs (Calomiris and Mason, 2003). In recent decades, ' plain-vanilla' local banks generally were able to get access to the interbank market, as they were known overwhelmingly to be holding local mortgages and auto loans – so as long as the local market was not seeing a sharp rise in defaults, these institutions were expected to be in good condition. However with derivatives and securitization, in the current crisis, it was difficult for anyone to be sure exactly what their exposure was, much less how to value it, so when risk premia rose in 2007 and subsequently reached all-time high in September 2008 virtually all banks were cut off from their hitherto dependable sources of liquidity. Although banks
9 See Coval, Jurek, and Stafford for an excellent overview of structured finance and in particular their discussion as to how even slight imprecision in the estimates of the properties of AAA-rated CDOs can lead to a greater than expected likelihood of default.
used to hold liquid assets on their balance sheets, competition for funds and for shareholder returns had long since led to a much greater dependence for liquidity on market sources. The informational collapse guaranteed a retrenchment of lending and a severe crisis, yet as the standard macro models did not model well this process, not surprisingly they missed the turning point and the depth of the recession.
Dramatic changes in compensation in financial services, which were evident in the large percentage increase in financial services in GDP, contributed as well to the boom in securitization on the supply and demand sides (Table 1). As noted at a number of the elite colleges and universities, some of the best students of the last 10-15 years increasingly were taking jobs in finance as a result of the generous compensation packages. Not included in these data are the legions of real estate brokers earning 6- and even 7-figure incomes by pushing sophisticated financial products on relatively unsophisticated borrowers. Nor does it include the significant sums of money accruing to the CROs. Moreover, Philipon and Reshef (2009) show that looking over the 1909-2006 period, U.S. financial services went from a high wage, high skilled sector in 1909-1933 to an average wage sector from the latter date until 1980 and then moved back to its earlier standing. They even argue that the regulatory failures of the 1930s and the current crisis could not have been helped,
Table 1. Value-Added, Finance and Insurance (% of GDP)
| | 1981 | 1985 | 2001 | 2006 |
|---|---|---|---|---|
| Finance and Insurance | 4.9 | 5.4 | 7.7 | 8.1 |
Source: U.S. Department of Commerce Bureau of Economic Analysis
in that the financial services industry opened up a significant skill gap compared with the regulatory community. Goldin and Katz (2008) support the anecdotal evidence that
increasing numbers of talented undergraduates at elite universities were responding to increasing wages by moving to the financial sector with a more formal study. Indeed, one can tell a story in which an increase in financial innovation led to a shift of more talented and skilled people to the financial services industry, increasing the skill gap compared with the regulators, and that eventually innovation went from a net positive, improving resource allocation and growth, to a negative form. Michalopoulos, Laeven, and Levine (2009) have a nice model of financial innovation that lends itself to such a view, as financial innovation in their framework occurs with a monopoly on information by the innovators. Protecting information about their products also can facilitate risk-taking, so if 'bad' financial innovation is better compensated than 'good' innovation, more of the former will be produced.
In commercial and investment banks, as well as insurers like AIG, compensation in some units was tilted heavily in favor of current returns, with less attention paid to risk. As Rajan (2005) presciently argued, managers increasingly were being paid for 'alpha,' a return that they were supposedly earning over the risk-free rate of interest, but in fact they were really taking on more market risk that they disguised as alpha. To be sure, Fahlenbrach and Stulz (2009) find that bank CEO incentives cannot be blamed for the credit crisis, as their incentives seemed to be aligned with the interests of their shareholders. However, this research, and the widely noted example that the CEO of Lehman suffered a $1 billion loss when that firm failed, only consider the incentives of CEOs, and fail to examine those of the many people who were authorized to take risks on behalf of the various intermediaries. A similar example is the case of Enron: although the former CEO, Kenneth Lay, suffered substantial financial losses when that firm failed, he had been overseeing a system of compensation that was systematically rewarding short-term risk-taking. Although many employees ultimately suffered, a handful made absolutely phenomenal sums of money, passing the risks onto others. The former head of the financial products group at AIG
appears to have done the same in the current crisis. Theory suggests that officers of firms with declining or negative net worth will cut back on their effort, which was consistent with the behavior of the CEO of Bear Stearns, who apparently spent the week before that firms' closure at a bridge tournament. Loan brokers and securitizers were earning high fees for generating and packaging mortgages without regard to risk, and fund managers in institutions around the world, thanks to pay packages that rewarded them on the basis of the return on their portfolios, were eager to buy them. The fact that rates of return on CDOs were above those on similarly rated securities should have been a red light, indicating that the securities entailed higher risks, but decidedly few were paying attention.
Higher consumption was popular, even among those without the incomes to support it. Although it is common to describe this crisis in the United States with the label, 'subprime,' in fact it was a generalized bubble; subprime and alt-A mortgages only peaked at one-third of total originations. As seen in Figure 4, there was a general explosion of debt, as
(% of GDP)
Source: Federal Reserve Flow of Funds Data consumers increasingly use their supposed gains in housing wealth as collateral to finance a consumption boom. This was done both with home equity loans, and by refinancing at
seemingly attractive interest rates. Amazingly, former Fed Chairman Greenspan recommended adjustable rate mortgages when interest rates were at or near historical lows ("Federal Reserve Chairman Alan Greenspan said Monday that Americans' preference for long-term, fixed-rate mortgages means many are paying more than necessary for their homes and suggested consumers would benefit if lenders offered more alternatives." USA Today, February 23. 2004). The slight downturn in household debt in 2008, which was more than offset by an expansion in government debt, is the beginning of a deleveraging process that likely will take years and will act as a drag on the U.S. economy.
Another aspect of the boom was the growth in leverage in the financial sector, with major commercial and investment banks attaining peak leverage ratios (total assets/shareholder equity) of 13 to 34 (according to Barth, et al, 2009). However, even these high figures do not include the significant 'assets' and slight amounts of equity that banks held in their SIVs, which likely would have most boosted the leverage ratios of the commercial banks. The latter's on-balance sheet leverage ratio peaked at the low end of this range (13 to 19), as they faced differential risk weights, as a result of Basel I, that induced them to securitize and move off their balance sheet mortgages and other higher-risk weighted assets. From 1975-2003, investment banks were limited in their ability to leverage themselves (a debt to net capital limit of 12 to 1), but this was repealed by the SEC in 2004, allowing the top 5 investment banks to increase their leverage to 30 or 40 to 1.
This last issue reveals yet another key feature of U.S. regulation, namely its uneven features. For example, commercial and investment banks were competing against each other in certain business lines, but were regulated differently by different entities. Commercial banks could shop for a regulator of their choice, within some limits, they could be regulated by the state, by the Federal Reserve as a state bank or as a member of the Federal Reserve,
or by the Office of the Comptroller of the Currency. 10 The easier regulation of investment banks, moreover, allowed them to grow certain businesses faster in the boom economy, earn greater profits, and pay higher compensation, which in turn put pressure on compensation in commercial banks. And hedge funds, facing essentially no regulation, contributed to these pressures as well. Moreover, to some extent some financial firms were allowed to shop for their regulator, as in the case of AIG, which owned an S&L and thus at the federal level was only supervised by The Office Thrift Supervision – in effect, the supervisory agency with the least skill on complex financial products was supervising credit default swaps (CDS). 11 Regulatory loopholes also could emerge as financial innovation proceeded while regulation remained static. Thus as banks began forming SIVs to hold securitized instruments, U.S. regulators apparently accepted that the banks did not stand behind their SIVs and regarded them as independent entities as long as they met certain tests (having small direct ownership links, independent corporate officers, etc), even though it was regarded as conventional wisdom in the markets that 'the only securitization that a bank does not stand behind is its last.' Interestingly, Canadian authorities did not give their banks capital relief for moving assets off their balance sheets in this form, which likely was an important factor in explaining the relative health of the Canadian system. Canadian borrowers also faced full recourse for the mortgage loans, meaning that they could not easily walk away from their housing debt, and down payments of less than 20-25% entailed taking out expensive mortgage insurance. 12
10 Thus Colonial Bank, expected to become the largest bank failure of 2009, deliberately expanded into rapidly growing areas, and by 2006 had 41% of its portfolio in construction, and 28% in commercial real estate, with much of both in Florida, among the worst hit states in the housing crisis. Colonial had moved from being a state-regulated entity in 2003 to the federal level, given the then prevailing deregulatory environment, only to switch back to the state level in 2008, presumably as federal regulators finally became concerned.
11 The 'plain vanilla' insurance business of AIG was supervised at the state level. 12 Some maintain that Canadian bankers, operating in a less competitive environment, as less innovative and/or more conservative. Also, Ratnovski and Huang (2009) show that Canadian banks enjoyed a greater reliance on funding with deposits (itself perhaps due to a less competitive financial services industry) and higher liquidity, which help them weather the crisis.
Government officials contributed to the crisis by encouraging subprime lending in a variety of ways. First, it was the policy of several administrations and Congress to encourage home ownership, via the tax deductibility of mortgage interest and the policies of Fannie Mae and Freddie Mac (both Government Sponsored Entities, or GSEs) in buying mortgages and mortgage securities. However, it is important to note that these institutions pulled back from lending in 2004 due to regulatory concerns about their accounting practices, and expansions in their holdings was restrained. Their retreat from this market and the interest by the large banks in stepping up their securitization activities (partly in preparation for Basel II), led them rapidly to expand their activities. Moreover, while the GSEs could not purchase subprime mortgages, they were allowed to purchase highly-rated mortgage-backed securities, a loophole that the banks exploited, and were themselves required to meet specific goals for funding housing in low and moderate income and underserved areas. Second, and perhaps most disturbingly, although it is understandable that elected officials were encouraging housing and easy lending standards, even the Federal Reserve System was on record, in an otherwise reasonable attempt to ensure equality across races and classes in access to credit, as suggesting that banks needed to be innovative in their support of housing. Consider these examples from one of their reports (Federal Reserve Bank of Boston, 1996, 2003):
o "Special consideration could be given to applicants with relatively high obligation ratios who have demonstrated an ability to cover high housing expenses in the past. Many lower–income households are accustomed to allocating a large percentage of their income toward rent. While it is important to ensure that the borrower is not assuming an unreasonable level of debt, it should be noted that the secondary market is willing to consider ratios above the standard 28/36." (p. 13)
o "Policies regarding applicants with no credit history or problem credit history should be reviewed. Lack of credit history should not be seen as a negative factor. Certain cultures encourage people to "pay as you go" and avoid debt." (p. 14)
o "Management should be aware that Fannie Mae and Freddie Mac have issued statements to the effect that they understand urban areas require different appraisal methods. Accordingly, it may be advantageous to use the services of appraisers with experience in conducting appraisals in minority and lower–income neighborhoods. Management should consider having all appraisal reports that would cause an
application to be denied reviewed by another experienced appraiser." (p. 22)
o "Management should be aware of any differences in standards used by private mortgage insurance companies. If a private mortgage insurance company refuses to issue insurance on a particular loan, the financial institution may wish to have another reputable company review the application. Lenders should question any differences that arise from the review process and consider the results when determining which private mortgage insurance companies they use. In addition, financial institutions may wish to work with private mortgage insurance companies that have demonstrated a commitment to minority and lower–income applicants." (p. 22-23)
Coming from the regulator, these statements certainly could be interpreted as encouraging banks to be aggressive in their mortgage lending, a position that no regulator should take – and if taken, clearly should be abandoned when debt/income levels are setting records! Yet the document containing these statements remains available on the Federal Reserve Bank of Boston's website.
In sum, the story of the U.S. crisis was of a regulatory system that was functioning well in the mid-1990s and surviving some significant shocks. By the early- to mid-2000s, significant financial innovation, record compensation, troubling debt levels and substantially higher housing prices were all part of a long boom that were interrupted only by a mild recession, supporting a belief that the central bank would not allow a significant downturn. Rather than an appropriate adaptation of regulation, the U.S saw a relaxation of regulation and its enforcement.
In addition to the aforementioned factors behind the boom and bust in the U.S., the current crisis was international in scope, not just as a result of foreign institutions buying up CDOs – and over half of U.S. mortgages were held abroad, as of 2007, so this effect was not insignificant – but also through reckless lending and housing and asset bubbles of their own. Interestingly, countries such as Iceland, Ireland, Spain, and a number of Eastern European countries, notably Latvia, Estonia, and Lithuania, did not see a boom in securitization, but they did experience significant asset bubbles and a fundamental change in incentives in the financial sector that rewarded risk taking. These diverse countries shared a generalized
bubble environment, in which liquidity was available for long periods of time and allowed the funding of a number of risky bets – from mortgages in foreign currency in some Eastern European countries to 100% or greater loan to value mortgages in Ireland, Iceland, and other places. As Hyman Minsky would have put it, the most important fact that these diverse countries shared is his theory that stability breeds instability – precisely by an explosion of new ways to take on risk. The lessons for regulation, to which we now turn, similarly should have much in common.
IV. Towards more dynamic regulation
"If you entrench yourself behind strong fortifications, you compel the enemy to seek a solution elsewhere." von Clausewitz
Good news always is refreshing after its opposite. So after the bad news of the last section, it is refreshing to be able to say that the fiscal cost of the crisis of 2007-2009 must be zero, at least in the United States. No, this is not an efficient markets hypothesis (EMH) argument that bubbles do not exist and therefore they cannot burst, ergo no cost. Rather it is an appeal to the fact that the U.S. already had a regulatory framework -- prompt, corrective action and structured early intervention -- embedded in the FDICIA legislation requiring that supervisors would have to intervene with increasing severity as banks' net capital position decline to below 10% of assets, and ultimately that banks would be closed when net capital dropped to 2%. Consequently, the US government must have intervened while banks' net worth was positive, and therefore the fiscal cost of the crisis must be zero as conventionally measured. In fact, thanks to FDICIA, apparently the last 2+ years were just a figment of our imagination!
The purpose of this argument is not to convince the reader that the author was using a controlled substance while writing the above paragraph, but rather to underline the importance, in ANY discussion of regulatory reform, of asking the question: what happened to the FDICIA legislation? Why did it breakdown? If the reasons for its failure are not fully understood, then any reforms might be insufficient or even counterproductive. One early criticism of the system of structured, early intervention, at least for developing countries, was that it required a sufficiently strong information environment and sufficiently skilled, independent supervisors operating in a regulatory system characterized by a low degree of corruption, so that banks' net capital position could be observed in a timely fashion AND that supervisors would intervene while net worth was still positive (Caprio, 1997). What we apparently discovered in the most recent crisis is that the information and incentive system in U.S. regulation became as flawed as that in many developing countries during the 1980s and 1990s. The rationale for prompt, corrective action was to remove the discretion that supervisors used to delay confronting the U.S. Savings and Loan crisis. Yet it should be evident in this crisis that the forces for inaction are much stronger. The public does not know what regulators knew and when they knew it. For example, did Federal Reserve supervisors believe that the assets sitting in Citibank's SIVs genuinely were off-balance sheet, ignoring both outright guarantees and reputational risk? Did they not consider whether securitized assets could come back onto Citi's balance sheet? Why did supervisors ignore this off-balance sheet risk? Are Philipon and Reshef (2009) correct that the private sector had built up a skill advantage, so that regulators did not understand the risks – in effect that their skills were built for an earlier era and not suited to understanding complex securities? Or were they sounding alarms that were being ignored? It is clear from a number of examples (e.g., AIG, Colonial Bank) 13 that regulatory loopholes, including the ability of entities to choose their regulator, were one part of the crisis in the United States. However, it should be noted that the crisis was severe in countries such as Ireland and the United
13 In the case of AIG, its most financial products group, which was actively writing credit default swaps, was regulated by the Office of Thrift Supervision, with its narrower insurance business under the authority of state regulators. See the above mention of the regulatory arbitrage practiced by Colonial Bank.
Kingdom, which did not suffer from the abundance of regulatory authorities seen in the U.S. Moreover, the history of regulation, beginning with prohibition of charging interest and the ensuing creation of bills of exchange (a clever way to pay interest, among other features), has been characterized by regulatory arbitrage, or the boundary problem (where regulated activities are constrained within a boundary, they tend to move outside that boundary, whether geographical or sectoral).
Consequently, regulatory reformers need to recognize that the financial system changed significantly since the mid-1990s and that the regulatory system, which had proved adequate to cope with the shocks of the 1990s, failed to adjust. As argued above, the quality of available information declined markedly and incentives change dramatically from that earlier time. Consequently, several elements of a regulatory reform program stand out. First, there needs to be a way to ensure that the regulatory system will be dynamic, that is, that it will respond to changes in the financial sector, as static regulation confronting a changing financial system is a recipe for periodic crises. Since it is too difficult in a democracy to get serious reconsideration of financial regulation (and legislative bodies and the public exhibit a low degree of financial literacy), rather than to rely on periodic reconsiderations of the legislative framework, there needs to be a way to ensure some adaptability of the regulatory system. Second, an overall focus of regulation should be on the information environment and incentives, both of market participants and regulators. The information that is available to the public, meaning both shareholders and current and potential creditors, is paramount. Supervision, at least in most countries with the exception of New Zealand, has been cast as the first line of defense against unsafe and unsound banking practices, and therefore has concentrated on the types of information that banks need to make available to supervisors. In many countries there are legal restrictions on the information that supervisors in turn can divulge to the public.
This orientation needs to be turned around completely for several reasons. First, information asymmetries between bank management and all other actors -- shareholders, depositors and other creditors, and supervisors – are severe, and bankers (and apparently supervisors as well) have every incentive to keep information as private as possible. Second, supervisors have had no financial incentives, or other effective inducements, to ensure that they would act in society's best interest. Even if supervisors are given better financial incentives, as recommended below, due to the severity of the information problem they still need as many allies as possible in the battle to see through to the risks that banks are taking. Third, there is little hope of holding supervisors accountable if adequate information about the banking system is unavailable; in short the public needs to know what supervisors know. It would be useful to debate whether any information should be withheld by the supervisor; it is difficult to see how accountability would operate if some information is restricted under exceptional circumstances, because exceptional circumstances can always be invoked.
Thus, rather than argue for the superiority of markets or official supervision, the current crisis demonstrates that both failed and society should want improvements in both areas, as the costs of failure are so large. BCL's recommendation was to emphasize the potential complementarities between official supervision and market discipline, with supervisors focusing on bank entry, information disclosure, and exit, and markets being given the information and incentives to monitor banks effectively. This approach is very different from that taken by the Basel Committee, which envisages giving supervisors more powers (pillar 1) and more discretion (pillar 2) to take the lead in banking system oversight. Yet most industrial countries have been on a path to the ever-increasing reach of supervisors for some time in the commercial banking system and still were hit by the worst crisis in decades. A change of strategy is in order, and certainly, given both the BCL finding on the lack of any positive impact of supervisory powers and performance in the crisis, a reconsideration of the knee-jerk reaction to increase supervisory powers is in order.
The most radical part of this change is the use of financial incentives for regulators. To be sure, experimentation with bureaucratic incentives and requirements might be useful notwithstanding the failure of FDICIA. However, financial incentives are the most straightforward way to align supervisory incentives with those of the public whose welfare is to be protected. More generous and better structured compensation would help avoid the occurrence of the skill gaps between regultors and reglatees, noted above. As was characteristic of the Suffolk Banking system in 19 th century New England (Calomiris and Kahn, 1996), and as argued in the Becker-Stigler approach to compensating law enforcement officials, supervisors should receive a good basic pay package but an especially generous 'bonus,' or deferred compensation package, such as a pension, that would be paid after employment as a supervisor ceased and which could be reduced to the extent that supervisors did not adequately do their job. In this model, their job would be simpler than it is now, as just noted, so it would presumably be easier to see ex post if they were concealing information that should have been disclosed. Supervisors' lack of response to market signals (a rise in the cost of funding for banks taking on more risk) would be evident contemporaneously.
The difficulty with this solution is that, following unprecedented extensions of the government safety net supporting the financial system, market participants would need to be convinced that governments would not bail out creditors, including uninsured depositors. It may be that the burdensome levels of public sector debt being taken on in some countries will help make a change in policy more credible, but it will not be easy, for the usual time consistency reasons. Perhaps the most convincing way to implement a change would be to remove the greatest temptation to intervention, namely the too big to fail policy that has been apparent. An increasing tax on the size of financial intermediaries is one way to accomplish this, though extending this policy as intermediation activities spread to other sectors will be a challenge.
An alternative to these recommendations could be to scrap the financial safety net entirely and thereby strengthen market forces in the financial system (Hetzel, 2009). In addition to the usual arguments about the ability of the unsophisticated to protect themselves (an argument that will be made more strongly thanks to the losses sustained by small shareholders and pensioners in the current crisis), such a move seems entirely out of the realm of the possible in high-income countries today. However, continuing on the road to Basel, with commitments to do better coupled with more supervisory powers, surely is not the way to reform financial sector regulation. Military strategists, recognizing the wisdom of von Clausewitz's quote above, have abandoned fixed and 'impregnable' lines of defense for a more dynamic approach. Is it not time for financial sector reformers to do the same?
References
Basel Committee on Bank Supervision, 2006. "Core Principles for Effective Banking Supervision," Bank for International Settlements, http://www.bis.org/publ/bcbs129.pdf?noframes=1.
______________________________, 2006a. " Core Principles Methodology," Bank for International Settlements, http://www.bis.org/publ/bcbs130.pdf?noframes=1.
Barth, James R., with Tong Li, Wengling Li, Triphon Phumiwasana, and Glenn Yago, 2009. The Rise and fall of the US Mortgage and Credit Markets: A Comprehensive Analysis of the Market Meltdown, New York: John Wiley and Sons.
___________, Gerard Caprio, Jr., and Ross Levine. 2006. Rethinking Bank Regulation: Till Angels Govern. New York: Cambridge University Press.
Becker, Gary S. and Stigler, George J., (1974) "Law Enforcement, Malfeasance, and Compensation of Enforcers," Journal of Legal Studies 3: 1 – 18.
Brunnermeier, Markus, K, 2009. "Deciphering the Liquidity and Credit Crunch 2007-2008," Journal of Economic Perspectives, Winter, Vol. 23, Number 1.
_________________, Andrew Crockett, Charles Goodhart, Avinash Persuad, and Hyun Shin, 2009. "The Fundamental Principles of Financial Regulation," Geneva Reports on the World Economy, 11.
Calomiris, Charles, 1997. The Postmodern Bank Safety Net: Lessons from Developed and Developing Economies, The AEI Press, Washington, D.C.
___________ and Charles Kahn, 1996. "The Efficiency of Self-Regulated Payments Systems: Learning from the Suffolk System," Journal of Money, Credit and Banking, Blackwell Publishing, vol. 28(4), pages 766-97, November.
Calomiris, Charles, and Joseph Mason, 2003. "Consequences of Bank Distress During the Great Depression, American Economic Review, 93:3, June, 937-947.
Caprio, Gerard, 1997. "Safe and Sound Banking in Developing Countries: We're Not in Kansas Anymore," in George Kaufman, editor, FDICIA: Bank Reform Five Years Later and Five Years Ahead, Greenwich, Connecticut: JAI Press, December 1997.
____________, 2009. "Safe and Sound Banking: A Role for Countercyclical Regulatory Requirements?" mimeo, Williams College.
Caprio, Gerard, Asli Demirguc-Kunt, and Edward Kane, 2008. "The 2007 Meltdown in Structured Securitization: Searching for Lessons not Scapegoats," World Bank Policy Research Working Paper 4756, November.
Demirguc-Kunt, Asli, and Ross Levine, 2009, "Finance and Inequality: Theory and Evidence," Annual Review of Financial Economics 1, Palo Alto, CA, forthcoming.
Fahlenbrach, Rudiger, and Rene Stulz, 2009. "Bank CEO Incentives and the Credit Crisis," mimeo, http://www.cob.ohio-state.edu/fin/faculty/stulz/.
Federal Reserve Bank of Boston, 1996, 2003. "Closing the Gap: A Guide to Equal Opportunity Lending, http://www.bos.frb.org/commdev/commaff/closingt.pdf.
Goetzmann, William, 2009. "Financing Civilization," mimeo, Yale University, http://viking.som.yale.edu/will/finciv/chapter1.htm.
Goldin, C., and L. F. Katz, 2008. "Transitions: Career and Family Lifecycles of the Educational Elite," AEA Papers and Proceedings.
Gorton, Gary, 2009. "Slapped in the Face by the Invisible Hand: Banking and the Panic of 2007," Paper prepared for the Federal Reserve Bank of Atlanta's 2009 Financial Markets Conference: Financial Innovation and Crisis, May 11-13, 2009, mimeo.
__________, 2008. "The Panic of 2007," mimeo,
Greenlaw, David, Jan Hatzius, Anil K Kashyap, Hyun Song Shin, 2008. "Leveraged Losses: Lessons from the Mortgage Market Meltdown," paper prepared for US Monetary Policy Forum Conference," February.
Guttentag, J.M. and R.J. Herring. 1986. "Disaster Myopia in International Banking." Princeton Essays in International Finance, No. 164, September.
Hetzel, Robert, 2009. "Should Increased Regulation of Bank Risk-taking Come from Regulators or from the Market?" Federal Reserve Bank of Richmond Economic Quarterly, Vol 95, Spring, 161-200.
Kaufman, George, and Robert Litan, 1993. "Introduction and Summary," in Kaufman and Litan, eds., Assessing Bank Reform: FDICIA One Year Later, The Brookings Institution.
LaPorta, Rafael, Florencio Lopez-de-Silanes, and Andrei Shleifer, 2006. "What Works in Securities Laws?" The Journal of Finance, Vol. LXI, February.
Levine, Ross. 1997. "Financial Development and Economic Growth: Views and Agenda." Journal of Economic Literature, 35, pp. 688–726.
Levine, Ross. 2004. "Napoleon, Bourses, and Growth: with a Focus on Latin America," in Market Augmenting Government: Essays in Honor of Mancur Olson. Azfar Omar and Charles A. Cadwell, eds. Ann Arbor, MI: University of Michigan Press.
________, Alexey Levkov, and Yona Rubenstein, 2009. "Racial Discrimination and Competition," mimeo, Brown University, http://www.econ.brown.edu/fac/Ross_Levine/Publications.htm.
Lowenstein, Roger, 2008. "Triple-A Failure. New York Times, April 27.
Persaud, Avinash, 2000. "Sending the Herd off the Cliff Edge." World Economics 1(4): 15-26.
_____________, 2009. "The rise and apparent fall of macro-prudential regulation," VoxEU, http://www.voxeu.org/index.php?q=node/3694.
Industry, 1909-2006," NBER Working Paper 14644, January.
Rajan, Raghuram, 2005. "Has Financial Development Made the World Riskier?," Federal Reserve Bank of Kansas City, Proceedings of the Jackson Hole Conference, http://www.kansascityfed.org/publicat/sympos/2005/sym05prg.htm.
Ratnovski, Lev, and Rocco Huang, 2009. "What Are Canadian Banks More Resilient?" IMF Working Paper WP/09/152.
Reinhart, Carmen, and Kenneth Rogoff, 2008. "This Time is Different: A Panoramic View of Eight Centuries of Financial Crises," mimeo, http://www.economics.harvard.edu/files/faculty/51_This_Time_Is_Different.pdf
Rogoff, Kenneth, 2009. "Why we need to regulate banks sooner, not later," Op-ed, The Financial Times, August 18, http://www.ft.com/cms/s/0/c2d523c0-8c21-11de-b14f00144feabdc0,dwp_uuid=81377dd2-0733-11de-9294-000077b07658.html.
Shleifer, Andrei, 2005. "Understanding Regulation," European Financial Management, Vol 11., No. 4., 439-451.
Tett, Gillian, 2009. Fool's Gold: How the Bold Dream of a Small Tribe at J.P. Morgan Was Corrupted by Wall Street Greed and Unleashed a Catastrophe, New York: Simon and Schuster.
Tversky, Amos and Daniel Kahneman, 1981. "The Framing of Decisions and the Psychology of Choice," Science, New Series, Vol. 211, No. 4481, pp. 453-458.
_________ and Luigi Zingales, 2004. Saving Capitalism from the Capitalists: Unleashing the Power of Financial Markets To Create Wealth and Spread Opportunity, Princeton: Princeton University Press.
|
Fall 2016 Ver.
BA IN HUMAN SERVICES NAME_____________________________ID_________
DEGREE PLAN
(Fall 2016 version)
ADVISOR______________________________
SGU INSTITIONAL LEARNING GOALS: 1. Effective & competent communicator. 2. Critical & creative thinker. 3. Appreciate & demonstrate Lakol Wicoun. 4. Competent professional; knowledge, skills, disposition in chosen career.
MISSION STATEMENT: The HS Department will provide students and graduates a rigorous academic experience reflective of contemporary education and Sicangu Lakota knowledge and values. Graduates will be competent & skilled assistants (AA level); professional helpers (BA level). Graduates will be fully prepared to serve in helping positions or go on to successfully complete graduate studies (BA level). Graduates will also have an appreciation of the Lakota way of life, weaving the Wolakota philosophy into both professional and personal domains. Graduates will also be active critical thinkers and self-starters, and be productive and contributing citizens. Lastly, graduates will be personally committed to healthy, responsible lifestyles.
Important: Classes are offered in a regular and predictable sequence. In order to graduate in a timely way, the student needs to take and successfully complete classes when advised and appropriate. Also, the student is required to see his/her assigned advisor for approval to register or change classes.
Advising Acknowledgment: I have been informed of the degree requirements and understand them.
Student signature________________________________________________date_________________
AA, ASSOCIATE OF ARTS LIST
I. NECESSARY CAMPUS-WIDE COURSES:
Cr Done X Grade Year Misc./ Transfers
| COMMUN- ICATIONS | EN 101 Freshman English I (C required) | | 3 |
|---|---|---|---|
| | EN 102 Freshman English II (C required) | | 3 |
| | SP 100 Speech | | 3 |
| MATH | MA 150 College Algebra | | 4 |
| | MA 270 Statistics | | 3 |
| COMPUTERS | | choose one: DP 107, CS 101, or ED 201 | 3 |
| HUMANITIES | | choose one: AI 111, AI 101, AI 201, AS 141, AS 142, AI 115, AI 116, AI 255, MU 130, EN 210, TA 155, EN 201, EN 250, EN 251, CW 241, CW 242, CW 261, CW271, EN 260, LS 270 | 3 |
| SOCIAL SCIENCES: | Choose one: SO 100, AN 200, or PS 100 | | 3 |
| | PY 100 General Psychology | | 3 |
| SCIENCES | Biology, choose one: BI 101 or BI 151 | | 4 |
| | 2nd Science, choose one: BI 151, BI 152, ESC 101, ESC 121, SC 201, SC 202, CH 151, LS 118 | | 3-4 |
| LL 101 Lakota Language I | | | 4 |
| LS 253 Lakota History & Culture | | | 3 |
***Advisory: Most preparatory courses above will be completed before enrolling in the below ***
II. HUMAN MAJOR-SPECIFIC COURSES
| HS 103 Personal Health & Wellness | | 3 |
|---|---|---|
| IS 230 Tribal Law, Treaties, & Government | | 3 |
| Fall typically | RH 200 Fund. of Rehabilitation | 3 |
| | HS 200 Fund. of the Helping Profession | 3 |
| Spring typically | CJ 200 Fund. of Criminal Justice | 3 |
| | HS 290 Service-Learning I (capstone) | 3 |
Fall 2016 Ver.
BA IN HUMAN SERVICESNAME____________________________________ ID_________
DEGREE PLAN(Fall 2016 version) ADVISOR______________________________
I. JUNIOR/SENIOR YEARS CORE COURSES~ REQUIRED
*Eligibility: Students will have junior standing, substantially finished HS-AA degree, before taking below. Important to meet all prerequisites. Cannot double-count classes. WC tag means course with significant writing component.
Cr Done X Grade Year Misc./ Transfers
| ADVANCED ENGLISH: EN 301 Research Writing (C in EN 102 required) *Pre/Co-requisite for all Advanced Human Services Electives below* | | | 3 |
|---|---|---|---|
| LAKOTA STUDIES ADVANCED CLASSES | | LS 320 Lakota Teachings & Health | 3 |
| | | Elective, choose one: IS 380, IS 400, LS 321, LS 360, LS 399, LS 405, LS 410, LS 454, LS 458, LS 470 | 3 |
| LAKOTA LEADERSHIP/MANAGEMENT–RELATED ELECTIVE, choose one: BA 345, BA 360, BA 462, BA 475, BA 479, BA 481, EC 405, ED 339 | | | 3 |
| RELEVANT ELECTIVES, choose two from: “Lakota Studies Advanced Classes” group above, “Lakota Leadership/Management-Related Elective” group above, or “Advanced Human Services Electives” group below. | | | 3 |
| | | | 3 |
| Fall typically | PY 301 Counseling Methods: Foundation Skills | | 3 |
| | HS 399 Ethics, Legal Issues, Professionalism | | 3 |
| | SO 413 Methods of Social Research | | 3 |
| Spring typically | HS 405 Case Management | | 3 |
| | SW 315 Child/Family Social Policy | | 3 |
| | HS 390 Service-Learning II: Lakota-Culture Specific | | 3 |
.
II. ADVANCED HUMAN SERVICES ELECTIVES - CHOOSE ONE TRACK
****Consult advisor for guidance and approval****
A.___ General Track: Complete minimum 18 credits overall, spanning all THREE areas (PY, CJ, CD); 1 HS prefix class allowed on any topic. <OR>
B.___ Concentration Track: Complete minimum 18 credits overall, with minimum 15 credits in one Concentration Track (PY, CJ, CD); 1 HS class allowed if topic closely related to concentration and approved by advisor. All classes C or higher required.
| | MENTAL HEALTH/PSYCHOLOGY | | CRIMINAL JUSTICE | | CHEMICAL DEPENDENCY |
|---|---|---|---|---|---|
| PY 356 | | CJ 417 | | | |
| PY 408 | | CJ 427 | | | |
| PY 418 | | CJ 437 | | | |
| PY 428 | | CJ 447 | | | |
| PY 448 | | CJ 457 | | | |
| PY 468 | | SOBA Classes | | BA 475 | |
| | | | | BA 479 | |
| | | | | BA 491 | |
All of the Advanced Electives are WC, significant writing component classes. All grades will be C or higher to count. Classes typically offered once/year, based on student count and Dept. resources. 3) See p. 3 for detailed list of full titles, etc.
III. SENIOR CAPSTONE COURSES
| HS 490 Service-Learning III: Advanced | 3 |
|---|---|
| HS 460 Human Services Capstone | 3 |
Fall 2016 Ver.
IV. HUMAN SERVICES JUNIOR/SENIOR ADVANCED ELECTIVES
* Elective choices based on student career interests; see Advisor for consultation and approval.
* Advanced English class must either be pre or co-requisite with Advanced HS Electives. As such, all Advanced HS Electives are WC, significant writing component, classes.
* All Advanced Electives require junior standing minimum; some more.
* All require C or higher grade.
* Classes offered typically on an annual rotation, based on student interest and department resources.
* Complete a minimum of 18 credit hours; more is very desirable and beneficial.
THREE CONCENTRATION AREAS:
1. MENTAL HEALTH/PSYCHOLOGY
PY 356 Group Theories and Practices
PY 408 Psychology of Human Development
PY 418 Counseling Methods II: Intermediate Skills
PY 428 Crisis Intervention: Theories & Practice
PY 448 Psychology of Abnormal Behavior
PY 468 Native & Modern Perspectives in Psychology
2. CRIMINAL JUSTICE
CJ 417 Juvenile Theory, Delinquency & Justice
CJ 427 Correctional Theory & Practice
CJ 437 Law Enforcement Organization, Operations, & Issues
CJ 447 Criminal Law
CJ 457 Criminal Prosecution & Defense
Sicangu Oyate Bar Association (SOBA) Classes: BA 475 Federal Indian Law
BA 479 Civil & Criminal Jurisdiction in Indian Country BA 491 Sicangu Oyate Bar Association (SOBA) Bar Examination & Tribal Court Practice Methods I
3. CHEMICAL DEPENDENCY
*SD Board of Addiction and Prevention Professionals Certified Addiction Counselor Classes - approved
CD 411 Alcohol Use, Abuse, & Depend (CD 211 version is elective only on AA page)
CD 421 Drugs: Licit & Illicit (CD 221 version is elective only on AA page)
CD 431 CD's Impact on Diverse Populations
CD 441 Foundations of Alcohol & Drug Prevention
CD 451 Alcohol & Drug Treatment Continuum
CD 461 Counseling Families with Alcohol or Other Drug Issues
PY 356 Group Theories and Practices
OTHER ADVANCED ELECTIVES, Issues and Independent Study
* Can take on a limited basis classes from below, with Advisor approval.
HS 316 Topics in HS _________________________________________________(varied credit - junior/senior level)
HS 395 Independent Study: ____________________________________________(varied credit – junior/senior level)
HS 416 Topics in HS ________________________________________(varied credit – advanced senior/graduate level)
|
www.proligno.ro pp. 257-263
UTILIZATION OF SILICA FUME IN MANUFACTURING OF CEMENT BONDED PARTICLEBOARDS
Husnu YEL
Artvin Coruh University, Faculty of Forestry, Dept. of Forest Industrial Engineering, Artvin, Turkey Tel: +90 466 2151000, Fax: +90 466 2151055, E-mail: email@example.com
Hulya KALAYCIOGLU
E-mail:
Karadeniz Technical University, Faculty of Forestry, Dep. of Wood Industrial Engineering, Trabzon, Turkey firstname.lastname@example.org
Ugur ARAS
Karadenzi Technical University, Faculty of Forestry, Dep. of Wood Industrial Engineering, Trabzon, Turkey
E-mail: email@example.com
Abstract:
Silica fume, which is a highly reactive pozzolanic byproduct of producing silicon metal or ferrosilicon alloys, is known to improve both the mechanical characteristics and durability of concrete. This study investigates the effect of using silica fume as cement replacement materials on some properties of cement bonded particleboard from Douglas fir woods [Abies mordmanniana (Stev.) Spach. Subsp. Nordmanniana]. For this purpose, the three-layer cement bonded particleboards [CBPBs] with 1200kg/m 3 target density and 1/2 - 1/3 wood-cement ratios were produced by replacing cement with different percentages of silica fume (10, 15, 20%). As cement curing accelerator, CaCl2 was used at 5% ratio (based on cement weight) for all the boards. The CBPBs produced were tested, according to the related EN Standards, to determine their mechanical and physical properties including modulus of rupture, modules of elasticity, internal bond strength, screw withdrawal strength, density, moisture content, water absorption and thickness swelling. The modulus of rupture values ranged from 9 MPa to 13.6MPa, while the modulus of elasticity values ranged from 5000MPa to 6500MPa. The internal bond strength values ranged from 1.05MPa to 1.95MPa. It was recorded that silica fume performed the improvements up to 20% at modulus of rupture and up to 40% at internal bond strength of the CBPBs. The mechanical properties of all the board types were over the requirements by EN 634-2 standard. Silica fume provided an improvement up to 50% at the thickness swelling values of the CBPBs. The results demonstrated that silica fume had a significant effect on the properties of CBPBs.
Key words: cement bonded particleboards; nordmann fir; silica fume; technological properties.
INTRODUCTION
Most researches have been focused on understanding the inhibitory properties of wood species, the compatibility of wood when mixed cement and water and improving the compatibility between wood and cement. However, because CBPBs is used mainly for building applications, it appears logical to pay more attention to the relation between the hydration process of wood-cement-water mixtures and the strength development of board (Wei et al. 2000).
Cement bonded particleboards (CBPBs) have been rapidly accepted and used in many countries for application in the building industry, because they possess a lot of outstanding merits including water, fire, decay, moisture and weather resistance, low cost, no health hazards, high stiffness, high durability and simple production processes ect., compared to conventional wood-based building materials (Wei et al. 2004; Maail et al. 2011). However, there are some problems impeding the development of the CBPBs. The most important one of them is that alkali-and water soluble sugars and extractive in wood inhibite the hydration reaction of cement, resulting in low strength value of wood-cement composites. Some methods such as NaOH, hot and cold water extractions, addition of effective chemicals, CO2 Injection have been applied to improve the compatibility and to overcome this problem between wood and cement. Wood-cement ratio, water-cement ratio, cement type, addition type and amount, wood particle geometry and harvesting season, pressing conditions, in addition to wood species, also have influence on the quality of wood-cement composites.
Ordinary Portland cement is more expensive than wood materials. Therefore, it is a costly component and is responsible for a high proportion of the raw material cost (Wei et al. 2000). The application and use of mineral admixtures in concrete and wood-cement composites have been widely studied in recent decades to
www.proligno.ro pp. 257-263
improve the resistance and durability of their composites and reduce the cement consumption (Kanning et al. 2014).
Silica fume is known to enhance both the mechanical characteristics and durability of concrete. Effects of silica fume on mechanical and durability of concrete were investigated by many researchers (Amudhavalli et al. 2012; Ajay et al. 2012; Ghutke and Bhandari 2014; Srivastava et al. 2014) and they reported the inclusion of silica fume up to 15% replacement level with cement in concrete have improved the bond strength, the bond strength of silica fume concrete increased in the range of 37 - 43% as compared to the referral concrete. In addition, it was reported that silica fume also decrease the voids, capillary, absorption and porosity of concrete because fine particles of silica fume reacts with lime present in cement.
Silica fume is a byproduct resulting from the reduction of high – purity quartz with coal or coke and wood chips in an electric arc furnace during the production of silicon metal or silicon alloys. It is a material which may be a reason of air pollution. It is much cheaper than cement. Therefore, it is very important in terms of economical point of view (Rasol 2015). Hydration of cement primarily involves the reaction of calcium silicates C3S and C2S with water (H) to produce calcium silicate hydrate (C-S-H) and calcium hydroxide [Ca(OH)2] (Young et al. 1974). The silica fume reacts with this Ca(OH)2 in cement paste to form calcium silicate hydrate gel (C-S-H).
Although many studies related to usage of silica fume as cement replacement materials in concrete have been carried out, there is no a comprehensive study about usage of silica fume as cement replacement materials in wood-cement composites and its effects on properties of the boards. Therefore, this study will be useful in terms of utilise of silica fume in wood-cement composite industry and thus, increasing its economic value
OBJECTIVE
The objectives of this study were to investigate the effect of silica fume on physical and mechanical properties of cement bonded particleboards from douglas fir woods, to determine the optimal silica fume usage ratio, to reduce its harmful effects to the environment and to increase its economic value by expanding the usage areas of silica fume. Therefore, the CBPB panels were produced using two woodcement ratios (1/2 and 1/3) and three silica fume ratios of 10, 15 and 20% as a substitute for cement. The mechanical and physical properties, including modulus of rupture (MOR), modules of elasticity (MOE), internal bond strength (IB), screw withdrawal strength (SW), density (D), moisture content (MC), water absoption (WA) and thickness swelling (TS), of CBPBs, respectively, were determined according to the related standards.
MATERIAL, METHOD, EQUIPMENT
Sawmill wastes were firstly chipped by means of a drum chipper and then grinded into smaller particles in a knife ring flaker. Then, the wood particles were classified in a laboratory type screen machine. The particles that remained between 3–1.5mm sieve and 1.5–0.5mm sieve were utilized in the core and outer layers, respectively. The shelling ratio (core layer/outer layers) was selected as 65/35% for all the board groups. The wood-cement ratios were 1/3 and 1/2, based on the oven dry weight for the three-layer CBPB manufacture. The amount of distilled water was adjusted by means of the formula below, founded by Simatumpang (1979),
The Douglas fir woods [Abies mordmanniana (Stev.) Spach. Subsp. Nordmanniana] used in the this study were supplied as sawmill wastes by Trabzon Organized Industrial Zone, Turkey. Used as binder, ordinary Portland cement, CEM II B-M (P-LL) 32.5 R type was purchased from Askale Cement Co. in Turkey. In order to mitigate any adverse effects of water- and alkali-soluble products in wood, calcium chloride (CaCl2), which purchased as solid state from Tetra Chemicals Europe AB in Sweden, was used as 5 wt. % based on weight of cement for all the board groups. Silica fume, supplied by Antalya Eti Elektrometalurji Co. in Turkey, was replaced with cement at ratios of 10, 15 and 20%.
where: C is the cement weight (kg), MC is moisture content (oven dry basis) of wood particles, and W is oven dry wood particle weight (kg). Experimental design is given in Table 1.
Experimantel design
Table 1
| Board types | Silica fume (%) |
|---|---|
| A | 0 |
| B | 10 |
| C | 15 |
| D | 20 |
| A1 | 0 |
| B1 | 10 |
| C1 | 15 |
| D1 | 20 |
The wood–cement-water mixes were mat formed as three layers on an aluminum plate inside a compact laminated mould. Hand-formed mats were compressed in a laboratory type hot press using a pressure of 18-20kg/cm 3 for 24 hrs. In the first 8 hours of the pressing process, a temperature of 60°C was applied and then pressing was continued for 16 hrs in ambient temperature. All the boards were produced at a dimension of 450x450x10mm and a target density of 1200kg/m 3 .To complete hydration of cement, the boards after pressing were conditioned in a climate room with a temperature of 20°C and a relative humidity of 65% for 28 days and then cut into test samples according to the requirements stated in the European Standards.
Physical and mechanical properties including density, moisture content, water absorption, thickness swelling, modulus of rupture, modulus of elasticity, internal bond strength and screw withdrawal strength, of the boards were determined according to EN 323 (1993), EN 322 (1993), ASTM D1037 (2006), EN 317 (1993), EN 310 (1993), EN 319 (1993) and EN 320 (2011), repectively.
RESULTS AND DISCUSSION Mechanical Properties
The averaged measured values of MOR and MOE were plotted against wood and silica fume amounts in Fig. 1. It can be observed that MOR values were improved with increasing the wood content (wood/cement ratio from 1/3 to 1/2) in the boards in contrast to MOE. Papadopoulos et al [2006] and Ashori et al [2012] obtained the similar results. An increase in the amount of wood up to a certain amount enhanced the compression factor in the boards due to that wood is lighter than cement and this led to increase the contact surface area between the particles and the distribution of load applied on the boards. This resulted in more strength of the boards. Moslemi and Pfister (1987) explained the stuation with smilar expressions. However, MOE values decreased with increasing wood content due to fact that wood has less elasticity modulus than concrete.
MOR and MOE values of all the boards met the requirements for ordinary Portland cement bonded particleboards for use in dry, humid and external conditions stated in EN 634-2 (2007). The highest values were obtained from the boards with 15% silica fume among the boards with 1/3 wood-cement ratios.The figure showed that adding silica fume up to 15% significantly improved MOR values of the boards with 1/3 wood-cement ratios and MOE values of the boards with 1/2 wood-cement ratios.
The averaged measured values of IB and SW were given in Fig. 2. Contrary to MOR values, IB values decreased with increasing wood content. The highest IB and SW values were obtained from the B and B1 groups including %10 silica fume while the lowest values were obtained from the referance boards (A and A1) including no silica fume. IB values of all the boards were over the minimum values required for ordinary Portland cement bonded particleboards for use in dry, humid and external conditions stated in EN 634-2 (2007).
*
This standard requirement is valid only for IB values
Hydration of cement produces calcium hydroxide [Ca(OH)2] and calcium silicate hydrate [C–S–H gel]. C-S-H gel is the main product of the hydration of Portland cement and is primarily responsible for the strength in cement based materials. Ca(OH)2 is is a by-product which is unresistant, water-soluble and noncontributing to the strength of cement based products. Silica fume reacts with Ca(OH)2 and generates C-S-H gel (Metha 1987). This leads to an increase in the strength of cement bonded particleboards. The reason of the improvement in mechanical properties of the boards with silica fume may be that the amount of calcium silicate hydrate in the boards increased due to fact that silica fume reacted with Ca(OH)2.
Silica fume, wood-cement ratio and interaction of both had a significant effect on mechanical properties (MOR, MOE, IB and SW) based on the results of statistical analysis at 99% confidence level. The results of homogenous subsets of the board were given in Table 2.
Homogenous subsets for mechanical properties of WCPB
Table 2
| Board Types | MOR | MOE | IB | SW | Board Types | MOR | MOE | IB | SW |
|---|---|---|---|---|---|---|---|---|---|
| A | c | a | b | b | A1 | a | c | d | b |
| B | b | b | a | b | B1 | b | a | a | a |
| C | a | c | a | a | C1 | c | b | b | bc |
| D | d | d | b | c | D1 | d | d | c | c |
www.proligno.ro pp. 257-263
Physical Properties
Thickness swelling and water absorption in wood-cement composites mainly depend on wood-cement ratio and hydration reaction of cement. Fig. 3 showed the averaged thisckness swelling values of the boards soaked for 2 and 24 hours. The boards with 1/3 wood-cement ratio had much lower thickness swelling values than that of tha boards with1/2 wood cement ratio. In additon, it was observed that silica fume significantly improved the thickness swelling values of the boards. All the boards with 1/3 wood-cement ratio met the requirements (<1.5%) stated in EN 624-2 (2007).
Physical properties of the boards including density, mositure content, water absorption and thickness swelling were given in Table 3. Moisture content (ranged from 9.4% to 11.9%) of all the boards met the requirement (MC: 9-12%) stated in EN 634-1 [2007]. Using silica fume up to 15% in manufacturing of the boards decreased WA and TS values of the boards. Particle size of silica fume is approximately 100 time smaller than that of Portland cement (Xu and Chung 2000). Therefore, silica fume may have created a tighter structure by filling the voids in the board. This may be the reason why the boards containing silica fume had the less TS and WA values. In addition, the increased hydration products (C-S-H) and the improved strength values also may have led to the lesser WA and TS values of the boards than the others.
Physical properties of the boards
Table 3
| Board Types | Density (kg/m3) | Moisture Content(%) | Water Absorption (%) | | Thickness Swelling (%) | |
|---|---|---|---|---|---|---|
| | | | 2 h | 24 h | 2 h | 24 h |
| A | 1.28 | 9.4 | 10.1 c | 14.2 c | 1.0 c | 1.2 b |
| B | 1.27 | 11.1 | 8.7 b | 12.9 b | 0.7 a | 1.0 a |
| C | 1.19 | 11.9 | 7.2 a | 11.8 a | 0.8 b | 1.2 b |
| D | 1.20 | 10.3 | 14.3 d | 17.8 d | 0.8 b | 1.2 b |
| A1 | 1.22 | 9.7 | 15.8 c | 20.4 b | 3.3 d | 4.3 c |
| B1 | 1.14 | 11 | 13.1 b | 18.9 a | 2.3 b | 2.8 a |
| C1 | 1.17 | 11 | 11.1 a | 18.9 a | 1.6 a | 2.8 a |
| D1 | 1.13 | 10.4 | 16.1 d | 21.3 c | 2.7 c | 3.6 b |
It was founded that the boards with 1/2 wood-cement ratio had more WA ratio than that of the boards with 1/3 wood-cement ratio because the wood content increased. Zhou and Kamdem (2002), Ashori et al. (2012) and Sudin and Swamy (2006) reported the similar results. Homogenity subsets for WA and TS values of the boards were also shown in Table 3. According to the results of statistical analysis (p:0.0001), silica fume and wood-cement ratio and interaction of both had a significant effect on WA and TS values of the boards.
www.proligno.ro pp. 257-263
CONCLUSIONS
The results obtained in this study investigated the effect of silica fume on physical and mechanical properties of cement bonded particleboards from Douglas fir woods, demonstrated that using silica fume up to 15% in manufacturing of wood-cement composites significantly improved their physical and mechanical properties. In addition, it was observed that silica fume had more effect on the boards with 1/3 wood-cement ratio than the boards with 1/2 wood-cement ratio. Using silica fume as cement replacement in manufacturing of wood cement composites will provide: 1) producing high strength and durability of wood-cement composites, 2) increasing the econamical value of silica fume, 3) decreasing the cost of wood-cement composites because silica fume is much cheaper than cement and 4) decreasing the air pollution caused by silica fume.
ACKNOWLEDGEMENT
The authors are thankful to Eti Metalurji (Antalya) and Sozenler Forest Products (Trabzon) Companies for supplying silica fume and Douglas fir sawmill wastes.
REFERENCES
Amudhavalli NK, Mathew J (2012) Effect of silica fume on strength and durability parameters of concrete, International Journal of Engineering Sciences & Emerging Technologies, 3(1):28-35.
Ashori A, Tabarsa T, Amos F (2012) Evaluation of using waste timber railway sleepers in wood-cement composite materials, Construction and Building Materials 27:126-129.
Ashori A, Tabarsa T, Sepahvand S (2012) Cement-bonded composite boards made from poplar strands, Construction and Building Materials 26:131–134.
Ajay V, Rajeev C, Yadav RK (2012) Effect of micro silica on the strength of concrete with ordinary Portland cement, Research Journal of Engineering Sciences, 1(3):1-4.
EN 323 (1993) Wood-based panels-Determination of density, European Committee for Standardization, Brussels, Belgium.
EN 322 (1993) European Standard. Wood-based panels-Determination of moisture content, European Committee for Standardization, Brussels, Belgium.
ASTM D1037 (2006) Standard Test Method for Evaluating Properties of Wood-Based Fibres and Particle Panel Materials, USA.
EN 317 (1993) Particleboards and fibreboards-determination of swelling in thickness after immersion in water, Brussels, Belgium, 1993.
EN 310 (1993) Wood-based panels, determination of modulus of elasticity in bending and bending strength, Brussels, Belgium.
EN 319 (1993) Particleboards and fiberboards, determination of tensile strength perpendicular to plane of the board. European Committee for Standardization, Brussels, Belgium.
EN 320 (2011) Particleboards and fibreboards - Determination of resistance to axial withdrawal of screws,
Brussels, Belgium.
EN 634-1 (2007), Cement-bonded particleboards - Specifications - Part 1: General requirements, European Committee for Standardization (EN), Brussels, Belgium.
EN 634-2 (2007) Cement-bonded particleboards - Specifications - Part 2: Requirements for OPC bonded particleboards for use in dry, humid and external conditions, European Committee for Standardization (EN), Brussels, Belgium.
Ghutke, VS, Bhandari PS (2014) Influence of silica fume on concrete, IOSR Journal of Mechanical and Civil Engineering (IOSR-JMCE), pp. 44-47.
Kanning RC, Portella KF, Braganca MOGP, Bonato, MM, Santos JCM (2014) Banana leaves ashes as pozzolan for concrete and mortar of Portland cement, Construction and Building Materials 54:460–465.
Maail RS, Umemura K, Aizawa H, Kawai S (2011) Curing and degradation processes of cement-bonded particleboard by supercritical CO2 treatment, Journal of Wood Science 57:302–307.
Metha PK (1987) Natural pozzolans, In:Molhotra, VM Suplementary cementing materials for comcrete, Minister of Supply and Services, Canada, pp. 3-31.
PRO LIGNO Vol. 13 N° 4 2017 www.proligno.ro pp. 257-263
Moslemi AA, Pfister SC (1987) The Influence of cement –wood ratio and cement type on bending strength and dimensional stability of wood-cement composite panels, Wood Fiber Science, 19:165-175.
Papadopoulos, AN, Ntalos, GA, Kakaras I (2006) Mechanical and physical properties of cement-bonded OSB, European Journal of Wood and Wood Products, 64:517-518.
Rasol MA (2015) Effect of silica fume on concrete properties and advantages for Kurdistan Region, Iraq, International Journal of Scientific & Engineering Research, 5(1):170-173.
Srivastava V, Harison A, Mehta PK, Atul, Kumar R (2014) Effect of Silica Fume in Concrete, International Journal of Innovative Research in Science, Engineering and Technology, 3(4):254-259.
Sudin R, Swamy N (2006) Bamboo and wood fibre cement composites for sustainable infrastructure regeneration, Journal of Materials Science, 41:6917-6924.
Simatupang MH (1979) Water requirement for the production of cement-bonded particleboard, Holz Roh-und Werkstoff, 37:379-382.
Young JF, Berger RL, Breese J (1974) Accelerated curing of compacted calcium silicate mortars on exposure to CO2. Journal of the American Ceramic Society. 57(9):394–397.
Zhou Y, Kamdem DP (2002) Effect of cement/wood ratio on the properties of cement bonded particleboard using CCA-treated wood removed from service, Forest Products Journal, 52(3):77-81.
Xu Y, Chung DDL (2000) Improving silica fume cement by using silane, Cement and Concrete Research, 30:1305-1311.
Wei YM, Fujii T, Hiramatsu Y, Miyatake A, Yoshinaga S, Fujii T, Tomita B (2004) A preliminary investigation on microstructural characteristics of interfacial zone between cement and exploded wood fiber strand by using SEM-EDS, Journal of Wood Science, 50:327–336.
Wei YM, Zhou YG, Tomita B (2000) Study of hydration behavior of wood cement-based composite II: effect of chemical additives on the hydration characteristics and strengths of wood cement composites, Journal of Wood Science 46:444-451.
|
Annual Report and Form 10-K Fiscal Year 2009
2
To our Shareholders:
In fiscal 2009, due principally to the continuation of the global economic downturn, SIFCO Industries, Inc. ("SIFCO") experienced some softening in the demand for our products and services as reflected in a 7.4 % reduction in our net sales levels in fiscal 2009. However, during these challenging times we (i) continued to proactively manage the scale of our business units and (ii) optimized our related operating cost structures, thereby once again achieving our objective of sustained profitability. Our pretax income from continuing operations, after adjusting for the effect of LIFO accounting, improved modestly from $10.5 million in fiscal 2008 to $10.7 million in fiscal 2009.
Our company's businesses are divided into the following operating groups:
Aerospace Component Manufacturing ("ACM") Group – this is our largest business segment with sales in fiscal 2009 of $69 million. The ACM Group provides forged components primarily for a wide variety of aerospace applications. The ACM Group's forged components can be found on a variety of commercial airliners, business and military jets, and helicopters, all of which are produced by manufacturers such as Boeing, Airbus, Embraer, Cessna, Lockheed Martin, Northrop Grumman, Sikorsky and Bell. In addition, the ACM Group is excited to be a supplier of forged components for newer programs from Boeing (787 Dreamliner), Bell/Boeing (V22 tilt-rotor), and Lockheed Martin (F35 joint strike fighter).
The ACM Group is feeling the effects of the global economic downturn. Softening of commercial aviation demand in particular has been seen in fiscal 2009 and the ACM group expects this to continue into fiscal 2010. The softening in commercial aviation demand was partially offset by stable to modestly increased military aviation demand. Based on the ACM Group's view of the marketplace, it believes the prospects for the aerospace and defense market are healthy for the foreseeable future. As a result, the ACM Group will be significantly adding to its capability and flexibility in fiscal 2010 with the addition of a new 35,000 pound forging hammer cell. This addition will not only add capacity, it will also expand our product offering to customers. The ACM Group continues to realize significant benefits through the further implementation of its lean initiatives known as SMART (Streamlined Manufacturing Activities to Reduce Time/Cost). The major goals of these initiatives include: improved on-time delivery, manufacturing cycle-time reductions and more efficient operations, all of which will continue to improve the ACM Group's competitiveness.
Turbine Component Services and Repair ("Repair") Group – this business segment consists of a turbine engine component repair operation in Minneapolis, Minnesota that serves the market for small turbine engine component repairs. This operation is aligned with original equipment manufacturers to develop repairs for small turbine engines used to power aircraft with less than 100 passengers as well as a wide range of helicopters. The Repair Group's operation possesses a full range of repair capabilities including super-alloy brazing, thermal spraying, and advanced coating for high temperature applications.
The Repair Group's operating performance improved in fiscal 2009 despite 20% lower sales compared to fiscal 2008. In addition to the poor economic conditions causing a reduction in the demand for turbine engine component repairs in general, net sales volume and operating results were negatively impacted by the cancellation of a significant turbine engine component repair program by a major customer due to a redesign of the component. Throughout the year, the Repair
Group concentrated on improving its operational efficiency with the intended goal of (i) optimizing its operating cost structure and (ii) improving its on-time delivery to be in line with more acceptable performance standards. Key operational performance measures of "turn-around-time" and "on-time delivery" improved for the Repair Group in fiscal 2009. New component repair and coating processes were developed and launched during the year to bolster our capabilities and, along with the improved cost structure, position the Repair Group for a recovery to a more acceptable operating performance level as the economy improves.
Applied Surface Concepts ("ASC") Group – this business segment provides a unique tank-less plating process to selectively plate surfaces on a wide variety of items. We believe our ASC Group is the world's largest supplier in the selective plating market segment and has a global footprint with operations in North America and Europe and a world-wide network of independent distributors.
The ASC Group's coating capabilities can be found on a variety of applications such as coating of drills used to explore for new oil deposits on deep sea platforms and coating of landing gear for both helicopter and fixed wing commercial and military aircraft. The general weakness in the economy, coupled with a decline in oil and gas exploration activity, negatively impacted the Group throughout fiscal 2009. Net sales for the ASC Group declined 9% in fiscal 2009 compared with fiscal 2008, while net sales to the oil and gas industry segment declined 13%. In fiscal 2009, the ASC Group implemented cost containment measures, while at the same time continuing to invest in its core technical talent and capabilities to enhance its strategic position relative to its competition in both North America and Europe. In fiscal 2009, its research and development team introduced exciting new selective plating technologies such as Plating on Titanium and a Cobalt ChromiumCarbide Metal Matrix Composite. We believe that our ASC Group is poised for a relatively quick recovery when the industrial economic climate improves.
During fiscal 2009, we continued to improve the strength of our balance sheet. At September 30, 2009, we had almost $20 million of cash on hand. In addition to building our cash reserves during fiscal 2009, we experienced growth in working capital (and our related current ratio), total assets, and shareholders' equity - with no increase in our outstanding borrowings, which are essentially zero. Given our strong financial position, we believe that we continue to be well positioned to take advantage of strategic opportunities that may be available in our marketplace.
We recognize that the challenges inherent in the current global economic downturn will likely continue for at least the near term. However, we are confident that our financial strength as well as our operational efficiency and effectiveness will enable us to overcome the challenges that may present themselves, with the clear objective of exiting this economic downturn stronger than we entered it. We again thank our dedicated employees for their service, our valued customers for their business and encouragement, and our loyal shareholders for their support.
Jeffrey P. Gotschall Chairman of the Board
Michael S. Lipscomb
President and Chief Executive Officer
/X/
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended September 30, 2009
or
/ / TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF
1934
For the transition period from _________________ to _____________________
Commission file number 1-5978
SIFCO Industries, Inc.
(Exact name of registrant as specified in its charter)
Ohio
34-0553950
(State or other jurisdiction of incorporation or organization)
(I.R.S. Employer Identification No.)
970 East 64th Street, Cleveland Ohio
44103
(Address of principal executive offices)
(Zip Code)
(216) 881-8600
(Registrant's telephone number, including area code)
Securities Registered Pursuant to Section 12(b) of the Act:
Common Shares, $1 Par Value
NYSE AMEX
(Title of each class)
(Name of each exchange on which registered)
Securities registered pursuant to Section 12(g) of the Securities Exchange Act: None.
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Exchange Act.
Yes [ ] No [ X ]
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Securities Exchange Act. Yes [ ] No [ X ]
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes [ X ] No [ ]
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes [ ] No [ ]
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. [ ]
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company (as defined in Rule 12b-2 of the Securities Exchange Act).
large accelerated filer [ ] accelerated filer [ ] non-accelerated filer [ ] smaller reporting company [ X ]
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).
Yes [ ] No [ X ]
The aggregate market value of the voting and non-voting common equity held by non-affiliates computed by reference to the price at which the common equity was last sold, as of the last business day of the registrant’s most recently completed second fiscal quarter is $18,995,824.
The number of the Registrant's Common Shares outstanding at October 31, 2009 was 5,299,966.
Documents incorporated by reference: Portions of the definitive Proxy Statement for the Annual Meeting of Shareholders to be held on January 26, 2010 (Part III).
Item 1. Business
A. The Company
SIFCO Industries, Inc. ("SIFCO" or "Company"), an Ohio corporation, was incorporated in 1916. The executive offices of the Company are located at 970 East 64th Street, Cleveland, Ohio 44103, and its telephone number is (216) 881-8600.
The Company is engaged in the production and sale of a variety of metalworking processes, services and products produced primarily to the specific design requirements of its customers. The processes and services include forging, heat-treating, coating, welding, machining, and selective electrochemical finishing. The products include forged components, machined forged parts and other machined metal components, remanufactured component parts for aerospace turbine engines, and selective electrochemical finishing solutions and equipment. The Company's operations are conducted in three business segments: (i) Aerospace Component Manufacturing Group, (ii) Turbine Component Services and Repair Group and (iii) Applied Surface Concepts Group.
B. Principal Products and Services
1. Aerospace Component Manufacturing Group
The Aerospace Component Manufacturing Group ("ACM Group") has a single operation in Cleveland, Ohio. This segment of the Company's business consists principally of the manufacture of forged components for aerospace applications. As a part of the ACM Group's manufacturing process, the business performs forging, heat-treating and precision component machining.
Operations
The Company's ACM Group is a manufacturer of forged components ranging in size from 2 to 500 pounds (depending on configuration and alloy), primarily in various steel and titanium alloys, utilizing a variety of processes for applications principally in the aerospace industry. The ACM Group's forged products include: original equipment manufacturers ("OEM") and aftermarket components for aircraft and land-based turbine engines; structural airframe components; aircraft landing gear components; wheels and brakes; critical rotating components for helicopters; and commercial/industrial products. The ACM Group also provides heat-treatment, surface-treatment, non-destructive testing and select machining of forged components.
The ACM Group generally has multiple sources for its raw materials, which consist primarily of high quality metals essential to this business. Suppliers of such materials are located throughout North and South America and Europe. The ACM Group generally does not depend on a single source for the supply of its materials. Due to the scarcity of certain raw materials, some material is provided by a limited number of suppliers; however, the ACM Group believes that its sources are adequate for its business. The business is ISO 9001:2000 registered and AS 9100:2001 certified. In addition, the ACM Group's chemical etching/milling, non-destructive testing, and heat-treating facilities are NADCAP (National Aerospace and Defense Contractors Accreditation Program) accredited.
Industry
The performance of the domestic and international air transport industry directly and significantly impacts the performance of the ACM Group. The air transport industry's long-term outlook is for continued, steady growth. Such outlook suggests the need for additional aircraft and, therefore, growth in the requirement for airframe and turbine engine components. Although the air transport industry has recently benefited from several favorable trends, including: (i) projected growth in air traffic, (ii) the major replacement and refurbishment cycles driven by the desire for more fuel efficient aircraft and fleet commonality and (iii) the increased use of wide-body aircraft, this is changing. The current global economic downturn has created significant reductions in available capital and liquidity from banks and other providers of credit. Therefore, this downturn has adversely affected the ability of the ACM Group's customers to fulfill their purchase commitments on a timely basis and, consequently, the level of the ACM Group's business. Certain ACM Group customers have recently extended/delayed their required delivery schedules, in particular those customers in the commercial sector of the market. It is difficult to determine at this time what the long-term impact of these factors may be on the demand for products provided by the ACM Group. However, a continued deterioration in the global economy could result in further reduced demand for the products and services that it provides. The ACM Group also supplies new and spare components for military aircraft. As a result of continued military initiatives, there has been increased demand for both new and spare components for military customers. The ACM Group's current outlook for the air transport industry is cautiously optimistic while the military segment remains stable. Further, the ACM Group does believe that it is poised to take advantage of improvement in order demand from the commercial airframe and engine manufacturers if and when it may occur.
PART I
Competition
While there has been some consolidation in the forging industry, the ACM Group believes there is limited opportunity to increase prices, other than for the pass-through of raw material steel and titanium alloys price increases. The ACM Group believes, however, that its demonstrated aerospace expertise along with focus on quality, customer service, SMART (Streamlined Manufacturing Activities to Reduce Time/Cost) initiatives, as well as offering a broad range of capabilities provide it with an advantage in the primary markets it serves. The ACM Group competes with both U.S. and non-U.S. suppliers of forgings, some of which are significantly larger than the ACM Group. As customers establish new facilities throughout the world, the ACM Group will continue to encounter non-U.S. competition. The ACM Group believes it can expand its markets by (i) broadening its product lines through investment in equipment that expands its manufacturing capabilities and (ii) developing new customers in markets whose participants require similar technical competence and service (as the aerospace industry) and are willing to pay a premium for quality.
Customers
During fiscal 2009, the ACM Group had two customers, various business units of Rolls-Royce Corporation and United Technologies Corporation, which accounted for 18% and 13%, respectively, of the ACM Group's net sales. The net sales to these two customers, and the direct subcontractors to these two customers, accounted for 57% of the ACM Group's net sales in 2009. The ACM Group believes that the loss of sales to such customers would result in a materially adverse impact on the business and income of the ACM Group. However, the ACM Group has maintained a business relationship with these customers for well over ten years and is currently conducting business with some of them under multi-year agreements. Although there is no assurance that this will continue, historically as one or more major customers have reduced their purchases, the ACM Group has generally been successful in replacing such reduced purchases, thereby avoiding a material adverse impact on the ACM Group. The ACM Group attempts to rely on its ability to adapt its services and operations to changing requirements of the market in general and its customers in particular. No material part of the ACM Group's business is seasonal.
Backlog of Orders
The ACM Group's backlog as of September 30, 2009 decreased to $70.6 million, of which $52.1 million is scheduled for delivery during fiscal 2010, compared with $76.6 million as of September 30, 2008, of which $63.8 million was scheduled for delivery during fiscal 2009. All orders are subject to modification or cancellation by the customer with limited charges. It is important to note that the delivery lead times for certain raw materials (e.g. aerospace grades of steel and titanium alloys) have continued to shorten and the ACM Group believes that such lead time reduction may have resulted in a fundamental shift in the ordering pattern of its customers. The ACM Group believes that a likely consequence of such a shift is that customers are not placing orders as far in advance as they previously did, which results in a reduction, relative to comparable prior periods, in the ACM Group's backlog. Accordingly, such backlog reduction is not necessarily completely indicative of actual sales expected for any succeeding period. During fiscal 2009, the ACM Group experienced a decrease in orders for products that principally support commercial aircraft.
2. Turbine Component Services and Repair Group
The Company's Turbine Component Services and Repair Group ("Repair Group") has a single operation in Minneapolis, Minnesota. This segment of the Company's business consists principally of the repair and remanufacture of small aerospace turbine engine components. As a part of the repair and remanufacture process, the business performs precision component machining and applies high temperature-resistant coatings to turbine engine components.
Operations
The Repair Group requires the procurement of licenses/authority, which certifies that the Group has obtained approval to perform certain proprietary repair processes. Such approvals are generally specific to an engine and its components, a repair process, and a repair facility/location. Without possession of such approvals, a company would be precluded from competing in the aerospace turbine engine component repair business. Approvals are issued by either the original equipment manufacturers ("OEM") of aerospace turbine engines or the Federal Aviation Administration ("FAA").
In general, the Company considers aerospace turbine engines that (i) possess a thrust of less than 17,500 pounds and/or (ii) are used to power aircraft that carry fewer than 100 passengers to be small aerospace turbine engines. Historically, the Repair Group has elected to procure approvals primarily from the OEMs and currently maintains proprietary repair process approvals issued by certain of the primary small engine OEMs (e.g. Pratt & Whitney, Rolls-Royce, Turbomeca, and Hamilton Sundstrand). In exchange for being granted an OEM approval, the Repair Group is obligated, in most cases, to pay royalties to the OEM for each type of component repair that it performs utilizing the OEM-approved proprietary repair process. The Repair Group continues to be successful in procuring FAA repair process approvals. There is generally no royalty payment obligation associated with the use of a repair process approved by the FAA. To procure an OEM or FAA approval, the Repair Group is required to demonstrate its technical competence in the process of repairing such turbine engine components.
The development of remanufacturing and repair processes is an ordinary part of the Repair Group's business. The Repair Group continues to invest time and money on research and development activities. The Company's research and development activities in repair processes and high temperature-resistant coatings applied to super-alloy materials have applications in the small aerospace turbine engine markets. Operating costs related to such activities are expensed during the period in which they are incurred. The Group's research and development expense was $0.4 million and $0.5 million in fiscal 2009 and 2008, respectively.
The Repair Group generally has multiple sources for its raw materials, which consist primarily of investment castings and industrial coating materials essential to this business. Certain items are procured directly from the OEM, or from OEMcertified suppliers, to satisfy repair process requirements. Suppliers of such materials are located throughout North America and Europe. Although certain raw materials may be provided by a limited number of suppliers, the Repair Group generally does not depend on a single source for the supply of its materials and management believes that its sources are adequate for its business.
Industry
The performance of the air transport industry directly and significantly impacts the performance of the Repair Group. The air transport industry's long-term outlook is for continued, steady growth. Such outlook suggests the need for additional aircraft and, therefore, growth in the requirement for aerospace turbine engines and related engine repairs. Although the air transport industry has recently benefited from several favorable trends, including: (i) projected growth in air traffic, (ii) the beginning of major replacement and refurbishment cycles driven by the desire for more fuel efficient aircraft and fleet commonality, and (iii) the increased use of regional aircraft, this is changing. The current global economic downturn has created significant reductions in available capital and liquidity from banks and other providers of credit. It is difficult to determine at this time what the long-term impact of these factors may be on air travel and the demand for products and services provided by the Repair Group. However, a continued deterioration in the global economy could result in further reduced demand for the products and services that the Repair Group provides. Management's current outlook for the air transport industry continues to remain cautiously optimistic in the near term.
Competition
In recent years, while the absolute number of competitors has decreased as a result of industry consolidation and vertical integration, competition in the turbine engine component repair business has nevertheless increased, principally due to the increased direct involvement of the aerospace turbine engine manufacturers in the turbine engine overhaul and component repair businesses. With the presence of the OEMs in the market, there has been a general reluctance on the part of the OEMs to issue, to independent component repair companies, approvals for the repair of their newer model engines and related components. The Company believes that the Repair Group will, more likely than not, become more dependent in the future on (i) its ability to successfully procure and market FAA approved licenses and related repair processes and/or (ii) close collaboration with engine manufacturers.
Customers
The identity and ranking of the Repair Group's principal customers can vary from year to year. The Repair Group attempts to rely on its ability to adapt its services and operations to changing requirements of the market in general and its customers in particular, rather than relying on high volume production of a particular item or group of items for a particular customer or customers. During fiscal 2009, the Repair Group had three customers, consisting of various business units of United Technologies Corporation, Safran Group and Rolls-Royce Corporation, which accounted for 37%, 16% and 14%, respectively, of the Repair Group's net sales. Although there is no assurance that this will continue, historically as one or more major customers have reduced their purchases, the business has generally been successful in replacing such reduced purchases, thereby avoiding a material adverse impact on the business. No material part of the Repair Group's business is seasonal.
Backlog of Orders
The Repair Group's backlog from continuing operations as of September 30, 2009 decreased to $3.4 million, of which $2.3 million is scheduled for delivery during fiscal 2010 and $1.1 million is on hold, compared with $4.5 million as of September
30, 2008, of which $2.3 million was scheduled for delivery during fiscal 2009 and $2.2 million was on hold. All orders are subject to modification or cancellation by the customer with limited charges. The Repair Group believes that the backlog may not necessarily be indicative of actual sales for any succeeding period.
3. Applied Surface Concepts Group
The Company's Applied Surface Concepts Group ("ASC Group") provides surface enhancement technologies principally related to selective electrochemical finishing and anodizing. Principal product offerings include (i) the sale of metal plating solutions and equipment required for selective electrochemical finishing and (ii) providing selective electrochemical finishing contract services.
Operations
Selective electrochemical finishing of a component is done without the use of an immersion tank. A wide variety of pure metals and alloys, principally determined by the customer's design requirements, can be used for applications including corrosion protection, wear resistance, anti-galling, increased lubricity, increased hardness, increased electrical conductivity, and re-sizing. SIFCO Process ® metal solutions include: cadmium, cobalt, copper, nickel, tin and zinc. In addition, precious metal solutions such as gold, iridium, palladium, platinum, rhodium, and silver are also provided to customers. The ASC Group has also developed a number of alloy-plating solutions such as nickel-cobalt solutions that can be used as a more environmentally friendly replacement for a chrome plating solution, or a zinc-nickel solution that can be used as a more environmentally friendly replacement for a cadmium plating solution. In fiscal 2009, the ASC Group completed development of new selective plating technologies: (i) plating on titanium and (ii) plating with a cobalt chromium carbide metal matrix composite.
The ASC Group can either (i) supply selective electrochemical finishing chemicals and equipment to customers desiring to perform selective electrochemical finishing in-house or (ii) provide manual or semi-automated contract selective electrochemical finishing services at either the customer's site or at one of the Group's facilities. The Group operates four U.S. facilities in geographic areas strategically located in proximity to its major customers (Cleveland, Ohio / Hartford, Connecticut / Norfolk, Virginia / Houston, Texas) and three in Europe (Birmingham, England / Paris, France / Rattvik, Sweden). The scope of selective electrochemical finishing work includes part salvage and repair, part refurbishment, and new part enhancement. Selective electrochemical finishing solutions are produced in the Cleveland, Ohio and Birmingham, England facilities.
The ASC Group generally has multiple sources for its raw materials, which consist primarily of industrial chemicals and metal salts and, therefore, does not depend on a single source for the supply of key raw materials. Management believes that its sources of raw materials are adequate to support its business.
The ASC Group sells its products and services under recognized industry brand names including: SIFCO Process ® , Dalic ® , USDL ® and Selectron ® , all of which are specified in military and industrial specifications. The ASC Group's manufacturing operations have ISO 9001:2001 and AS 9100A certifications. In addition, two of its facilities are NADCAP (National Aerospace and Defense Contractors Accreditation Program) certified. Two of the service centers are FAA approved repair shops. Other ASC Group approvals include ABS (American Bureau of Ships), ARR (American Railroad Registry), JRS (Japan Registry of Shipping), and KRS (Korean Registry of Shipping).
Industry
Selective electrochemical finishing occupies a niche within the broader metal finishing industry. The ASC Group's selective electrochemical finishing process is used to provide functional, engineered finishes rather than decorative finishes, and it serves many markets including aerospace, medical, electric power generation, and oil and gas. In its planning and decision making processes, management of the ASC Group monitors and evaluates precious metal prices, global manufacturing activity, internal labor capacity, technological developments in surface enhancement, and the exploration and production activities relative to oil and gas products. The diversity of industries served helps to mitigate the impact of economic cycles on the ASC Group.
Competition
Although the Company believes that the ASC Group is the world's largest selective electrochemical finishing company, there are several companies globally that manufacture and sell selective electrochemical finishing solutions and equipment and/or provide contract selective electrochemical finishing services. The ASC Group seeks to differentiate itself through its
technical support and research and development capabilities. The ASC Group also competes with other surface enhancement technologies such as welding and metal spray.
Customers
The ASC Group has a customer base of over 1,000 customers. However, approximately 10 customers, who operate in a variety of industries, accounted for approximately 31% the Group's fiscal 2009 net sales. No material part of the ASC Group's business is seasonal.
Backlog of Orders
Due to the nature of its business (i.e. shorter lead times for its products and services) the ASC Group had no material backlog at September 30, 2009 and 2008.
4. General
For financial information concerning the Company's reportable segments see Management's Discussion and Analysis of Financial Condition and Results of Operations included in Item 7 and Note 11 to consolidated financial statements included in Item 8.
C. Environmental Regulations
In common with other companies engaged in similar businesses, the Company is required to comply with various laws and regulations relating to the protection of the environment. The costs of such compliance have not had, and are not presently expected to have, a material effect on the capital expenditures, earnings or competitive position of the Company and its subsidiaries under existing regulations and interpretations.
D. Employees
The number of the Company's employees decreased from approximately 360 at the beginning of fiscal year 2009 to approximately 310 employees at the end of fiscal 2009. The decrease was principally the result of reductions in employment levels in all of the Company's businesses due to the general economic downturn. The Company is party to a collective bargaining agreement with certain employees located at its ACM Group's Cleveland, Ohio facility. The ACM Group's union contract expires in May 2010 (effective since May 2005). The Repair Group's union contract expired in July 2009 and was extended for 60 days until September 2009. As of September 30, 2009 the Repair Group is operating without a collective bargaining agreement. Management considers its relations with the Company's employees to be good.
E. Non-U.S. Operations
The Company's products and services are distributed and performed in U.S. as well as non-U.S. markets. The Company commenced its operations in Ireland in 1981 and ceased such operations in 2007. The Company commenced its operations in the United Kingdom and France as a result of an acquisition of a business in 1992. The Company commenced its operations in Sweden as a result of an acquisition of a business in 2006. Wholly-owned subsidiaries operate the Company's service and distribution facilities in the United Kingdom, France and Sweden.
Financial information about the Company's U.S. and non-U.S. operations is set forth in Note 11 to the consolidated financial statements included in Item 8.
As of September 30, 2009, a portion of the Company's cash and cash equivalents are in the possession of its non-U.S. subsidiaries and relate to undistributed earnings of these non-U.S. subsidiaries. Distributions from the Company's non-U.S. subsidiaries to the Company may be subject to statutory restrictions, adverse tax consequences or other limitations.
Item 2. Properties
The Company's property, plant and equipment include the facilities described below and a substantial quantity of machinery and equipment, most of which consists of industry specific machinery and equipment using special jigs, tools and fixtures and in many instances having automatic control features and special adaptations. In general, the Company's property, plant and equipment are in good operating condition, are well maintained and substantially all of its facilities are in regular use. The Company considers its investment in property, plant and equipment as of September 30, 2009 suitable and adequate given the current product offerings for the respective business segments' operations in the current business environment. The square footage numbers set forth in the following paragraphs are approximations:
* The Turbine Component Services and Repair Group operates a single, owned facility in Minneapolis, Minnesota with a total of 59,000 square feet and that is involved in the repair and remanufacture of small aerospace turbine engine components.
* The Aerospace Component Manufacturing Group operates in a single, owned 240,000 square foot facility located in Cleveland, Ohio. This facility is also the site of the Company's corporate headquarters.
* The Applied Surface Concepts Group is headquartered in an owned 34,000 square foot facility in Cleveland, Ohio. The Group leases space aggregating 52,000 square feet for sales offices and/or for its contract selective electrochemical finishing services in Norfolk, Virginia; Hartford, Connecticut; Houston, Texas; Paris, France; and Birmingham, England. The Group also operates in an owned 3,000 square foot facility in Rattvik, Sweden.
* The Company owns a building located in Cork, Ireland (59,000 square feet) that (i) is subject to a long-term lease arrangement with the acquirer of the Repair Group's industrial turbine engine component repair business that was sold in fiscal 2007, and (ii) is being marketed for sale as of September 30, 2009.
Item 3. Legal Proceedings
In the normal course of business, the Company may be involved in ordinary, routine legal actions. The Company cannot reasonably estimate future costs, if any, related to these matters and does not believe any such matters are material to its financial condition or results of operations. The Company maintains various liability insurance coverages to protect its assets from losses arising out of or involving activities associated with ongoing and normal business operations; however, it is possible that the Company's future operating results could be affected by future cost of litigation.
Item 4. Submission of Matters to a Vote of Security Holders
No matters were submitted to a vote of security holders during the fourth quarter of the Company's 2009 fiscal year.
PART II
Item 5. Market for Registrant's Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities
Prior to October 1, 2008, the Company's Common Shares were traded on the American Stock Exchange (AMEX) under the symbol "SIF". NYSE Euronext acquired the AMEX on October 1, 2008. Post merger, the AMEX equities business was rebranded to NYSE AMEX Equities (NYSE AMEX). The Company's Common Shares are now traded on the NYSE AMEX under the symbol "SIF". The following table sets forth, for the periods indicated, the high and low closing sales price for the Company's Common Shares.
Performance Graph
Set forth below is a graph comparing the returns to shareholders of the Company's Common Shares to the returns to shareholders of the S&P Composite – 500 Stock Index and the S&P Aerospace/Defense Index. The graph assumes (i) that the value of the investment in the Company's Common Shares, the S&P Composite – 500 Stock Index and the S&P Aerospace/Defense Index was $100 on September 30, 2004 and (ii) the reinvestment of dividends.
Comparison of Five-Year Return Performance of SIFCO Industries, Inc., the S&P 500 Index and the S&P Aerospace/Defense Index
Dividends and Shares Outstanding
The Company declared a special cash dividend of $0.10 per Common Share in fiscal 2009 but does not necessarily anticipate paying further dividends in the foreseeable future. The Company currently intends to retain all of its earnings for the operation and growth of its businesses. The Company's ability to declare or pay cash dividends is limited by its credit agreement covenants. At October 31, 2009, there were approximately 689 shareholders of record of the Company's Common Shares, as reported by Computershare, Inc., the Company's Transfer Agent and Registrar, which maintains its U.S. corporate offices at 250 Royall Street, Canton, MA 02021.
Item 6. Selected Financial Data
The following table sets forth selected consolidated financial data of the Company. The data presented below should be read in conjunction with the audited consolidated financial statements and notes to consolidated financial statements included in Item 8.
Years Ended September 30,
Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations
This Form 10-K, including Management's Discussion and Analysis of Financial Condition and Results of Operations, may contain various forward-looking statements and includes assumptions concerning the Company's operations, future results and prospects. These forward-looking statements are based on current expectations and are subject to risk and uncertainties. In connection with the "safe harbor" provisions of the Private Securities Litigation Reform Act of 1995, the Company provides this cautionary statement identifying important economic, political and technological factors, among others, the absence or effect of which could cause the actual results or events to differ materially from those set forth in or implied by the forward-looking statements and related assumptions. Such factors include the following: (1) the impact on business conditions, and on the demand for product in the aerospace industry in particular, of the global economic downturn, including the reduction in available capital and liquidity from banks and other providers of credit; (2) future business environment, including capital and consumer spending; (3) competitive factors, including the ability to replace business which may be lost; (4) successful development of turbine component repair processes and/or procurement of new repair process licenses from turbine engine manufacturers and/or the Federal Aviation Administration; (5) metals and commodities price increases and the Company's ability to recover such price increases; (6) successful development and market introduction of new products and services (7) regressive pricing pressures on the Company's products and services, with productivity improvements as the primary means to maintain margins; (8) continued reliance on consumer acceptance of regional and business aircraft powered by more fuel efficient turboprop engines; (9) continued reliance on several major customers for revenues; (10) the Company's ability to continue to have access to its revolving credit facility; (11) the impact on future contributions to the Company's defined benefit pension plans due to changes in actuarial assumptions and the market value of plan assets; and (12) stable governments, business conditions, laws, regulations and taxes in economies where business is conducted.
The Company and its subsidiaries engage in the production and sale of a variety of metalworking processes, services and products produced primarily to the specific design requirements of its customers. The processes and services include forging, heat-treating, coating, welding, machining, and selective electrochemical finishing. The products include forged components, machined forged parts and other machined metal components, remanufactured component parts for turbine engines, and selective electrochemical finishing solutions and equipment. The Company's operations are conducted in three business segments: (1) Aerospace Component Manufacturing Group, (2) Turbine Component Services and Repair Group, and (3) Applied Surface Concepts Group. The Company endeavors to plan and evaluate its businesses' operations while taking into consideration certain factors including the following – (i) the projected build rate for commercial, business and military aircraft as well as the engines that power such aircraft, (ii) the projected maintenance, repair and overhaul schedules for commercial, business and military aircraft as well as the engines that power such aircraft, and (iii) anticipated exploration and production activities relative to oil and gas products, etc.
A. Results of Operations
1. Fiscal Year 2009 Compared with Fiscal Year 2008
Net sales in fiscal 2009 decreased 7.4% to $93.9 million, compared with $101.4 million in fiscal 2008.
Income from continuing operations in fiscal 2009 was $7.8 million, compared with $5.5 million in fiscal 2008. Included in the $7.8 million of income from continuing operations in fiscal 2009 was LIFO income of $1.6 million. Included in the $5.5 million of income from continuing operations in fiscal 2008 was (i) $0.5 million of expense related to an amicable business settlement of a product dispute that originated in fiscal 2007, (ii) $0.8 million of expense related to the impairment of a long-lived asset and (iii) LIFO expense of $1.7 million. Income from discontinued operations, net of tax, was $0.2 million in fiscal 2009, compared with $0.3 million in fiscal 2008. Net income in fiscal 2009 was $8.0 million, compared with $5.8 million in fiscal 2008.
Aerospace Component Manufacturing Group ("ACM Group")
Net sales in fiscal 2009 decreased 4.6% to $68.6 million, compared with $72.0 million in fiscal 2008. For purposes of the following discussion, the ACM Group considers aircraft that can accommodate less than 100 passengers to be small aircraft and those that can accommodate 100 or more passengers to be large aircraft. Net sales of airframe components for small aircraft increased $0.3 million to $38.5 million in fiscal 2009, compared with $38.2 million in fiscal 2008. Net sales of turbine engine components for small aircraft, which consist primarily of business and regional jets, as well as military transport and surveillance aircraft, increased $1.1 million to $21.0 million in fiscal 2009, compared with $19.9 million in fiscal 2008. Net sales of airframe components for large aircraft decreased $3.0 million to $4.6 million in fiscal 2009, compared with $7.6 million in fiscal 2008. Net sales of turbine engine components for large aircraft decreased $0.8 million to $2.2 million in fiscal 2009, compared with $3.0 million in fiscal 2008. Commercial product sales and other revenues were $2.3 million and $3.3 million in fiscal 2009 and 2008, respectively. The decline in net sales of airframe and turbine engine components for large aircraft is primarily attributable to the overall weak global economic conditions and the related impact such conditions have had on commercial aviation.
The ACM Group's airframe and turbine engine component products have both military and commercial applications. Net sales of airframe and turbine engine components that solely have military applications were $35.0 million in fiscal 2009, compared with $33.6 million in fiscal 2008. This increase is attributable in part to increased military spending due to ongoing wartime demand such as for additional military helicopters and related replacement components.
The ACM Group's selling, general and administrative expenses decreased $0.7 million to $4.2 million, or 6.1% of net sales, in fiscal 2009, compared with $4.9 million, or 6.8% of net sales, in fiscal 2008. Included in selling, general and administrative expenses in fiscal 2008 was $0.5 million related to the payment to a customer that (i) was made to achieve an amicable business settlement of a product dispute and (ii) that the Company agreed to make as a business gesture of good faith and cooperation without admission of liability. The remaining selling, general and administrative expenses in fiscal 2008 were $4.4 million, or 6.1% of net sales. The remaining $0.2 million decrease in selling, general and administrative expenses in fiscal 2009 compared with fiscal 2008 was principally due to a $0.1 million decrease in variable selling cost principally due to the decrease in net sales.
During the fourth quarter of fiscal 2008, the ACM group recorded $0.8 million of expense related the impairment of a longlived asset.
The ACM Group's operating income in fiscal 2009 was $13.4 million, compared with $9.9 million in fiscal 2008. Operating results in fiscal 2009 were favorably impacted by (i) an approximate $3.3 million reduction in the LIFO expense in fiscal 2009, compared with fiscal 2008, (ii) lower expenditures for natural gas principally due to lower consumption and (iii) the negative impact in fiscal 2008, of the aforementioned $0.5 million settlement expense and $0.8 million impairment expense. These improvements were partially offset by the negative impact of (i) higher manufacturing labor and benefits expense due to higher average levels of employment and (ii) an increase in other manufacturing overhead costs incurred in fiscal 2009, compared with fiscal 2008.
Turbine Component Services and Repair Group ("Repair Group")
During fiscal 2009, net sales, which consist principally of component repair services (including precision component machining and industrial coating) for small aerospace turbine engines, decreased 19.6% to $11.5 million, compared with $14.3 million in fiscal 2008. The Repair Group's decrease in net sales is primarily due to the overall weak global economic conditions.
During fiscal 2009, the Repair Group's selling, general and administrative expenses were $1.3 million, or 11.0% of net sales, compared with $1.3 million, or 9.2% of net sales, in fiscal 2008.
The Repair Group's operating income in fiscal 2009 was $0.1 million, compared with an operating loss of $0.3 million in fiscal 2008. Operating results in fiscal 2009 were positively impacted principally by (i) an increase in selling prices, (ii) $0.1 million of income related to the favorable settlements of certain obligations and (iii) the improved management of operating expenses, principally labor costs. Although sales volumes were higher in fiscal 2008, operating results were negatively impacted in fiscal 2008 by startup costs related to the production launch of a new component repair program.
As discussed in the Company's Form 8-K filed on January 20, 2009, the Company is exploring strategic alternatives for the Repair Group for the purpose of enhancing shareholder value. The Company is conducting an orderly and comprehensive review and evaluation of strategic alternatives available to it, including a divestiture of the Repair Group.
Applied Surface Concepts Group ("ASC Group")
Net sales decreased 9.0% to $13.7 million in fiscal 2009, compared with $15.1 million in fiscal 2008. In fiscal 2009, product net sales, consisting of selective electrochemical metal finishing equipment and solutions, decreased $0.4 million to $7.1 million, compared with $7.5 million in fiscal 2008. In fiscal 2009, customized selective electrochemical metal finishing contract service net sales decreased $0.9 million to $6.5 million, compared with $7.4 million in fiscal 2008. The overall weak global economic conditions, particularly in the oil and gas industry, negatively impacted the ASC Group's net sales in fiscal 2009. A portion of the ASC Group's business is conducted in Europe and is denominated in local European currencies, which have weakened in relation to the US dollar, resulting in an unfavorable currency impact on net sales in fiscal 2009 of approximately $1.0 million.
The ASC Group's selling, general and administrative expenses decreased $0.2 million to $4.1 million, or 30.3% of net sales, in fiscal 2009, compared with $4.3 million, or 28.7% of net sales, in fiscal 2008. The decrease in selling, general and administrative expenses in fiscal 2009 was principally due to a reduction in compensation and benefit related expenses attributable to the elimination of certain positions and the temporary reduction of employee compensation.
The ASC Group's operating income in fiscal 2009 was $0.8 million, compared with $1.3 million in fiscal 2008. This decrease in operating income was principally due to the effect of lower net sales without a corresponding decrease in operating expenses.
Corporate Unallocated Expenses
Corporate unallocated expenses, consisting of corporate salaries and benefits, legal and professional and other corporate expenses, were $1.9 million in fiscal 2009, compared with $2.0 million in fiscal 2008. The $0.1 million net decrease in fiscal 2009 is principally due to a $0.4 million decrease in legal and professional expenses in fiscal 2009, compared with fiscal 2008. This decrease was partially offset by $0.2 million of depreciation expense recorded in the fourth quarter of fiscal 2009 related to an asset that was classified as held for sale, beginning in fiscal 2008 and through the third quarter of fiscal 2009, for which no depreciation expense was required to be recorded while it was classified as held for sale. See Note 9 to the consolidated financial statements for further discussion regarding this asset and its related classification.
Other/General
Interest expense from continuing operations was $0.1 million in both fiscal 2009 and 2008. The following table sets forth the weighted average interest rates and weighted average outstanding balances under the Company's revolving credit agreement in fiscal years 2009 and 2008.
The Company believes that inflation did not materially affect its results of operations in either fiscal 2009 or 2008, and does not expect inflation to be a significant factor in fiscal 2010.
2. Fiscal Year 2008 Compared with Fiscal Year 2007
Net sales from continuing operations in fiscal 2008 increased 16.2% to $101.4 million, compared with $87.3 million in fiscal 2007.
Income from continuing operations before income taxes in fiscal 2008 was $8.8 million, compared with $10.3 million in fiscal 2007. Included in the $8.8 million of income from continuing operations before income taxes in fiscal 2008 was (i) $0.5 million of expense related to the amicable business settlement of a product dispute that originated in fiscal 2007, (ii) $0.8 million of expense related to the impairment of a long-lived asset, and (iii) a LIFO provision of $1.7 million. Included in the $10.3 million of income from continuing operations before income taxes in fiscal 2007 was (i) $0.1 million of expense related to the amicable business settlement of a product dispute that originated in fiscal 2007 and (ii) a LIFO provision of $0.3 million.
Income (loss) from discontinued operations, net of tax, which includes both the industrial turbine repair business that was sold in fiscal 2007 and the large aerospace turbine engine component repair business that was sold in fiscal 2006, was income of $0.3 million in fiscal 2008, compared with a $2.0 million loss in fiscal 2007. Included in the $2.0 million loss from discontinued operations in fiscal 2007 were (i) grant income of $2.1 million and (ii) a loss of approximately $0.8 million from the divestiture in fiscal 2007 of a business and certain related assets, as explained more fully in Notes 4 and 9, respectively, to the consolidated financial statements.
Net income in fiscal 2008 was $5.8 million, compared with $6.7 million in fiscal 2007.
Aerospace Component Manufacturing Group ("ACM Group")
Net sales in fiscal 2008 increased 20.0% to $72.0 million, compared with $60.0 million in fiscal 2007. For purposes of the following discussion, the ACM Group considers aircraft that can accommodate less than 100 passengers to be small aircraft and those that can accommodate 100 or more passengers to be large aircraft. Net sales of airframe components for small aircraft increased $7.6 million to $38.2 million in fiscal 2008, compared with $30.6 million in fiscal 2007. Net sales of turbine engine components for small aircraft, which consist primarily of business and regional jets, as well as military transport and surveillance aircraft, increased $1.8 million to $19.9 million in fiscal 2008, compared with $18.1 million in fiscal 2007. Net sales of airframe components for large aircraft increased $0.5 million to $7.6 million in fiscal 2008, compared with $7.1 million in fiscal 2007. Net sales of turbine engine components for large aircraft increased $1.3 million to $3.0 million in fiscal 2008, compared with $1.7 million in fiscal 2007. Commercial product sales and other revenues were $3.3 million and $2.5 million in fiscal 2008 and 2007, respectively.
The ACM Group's airframe and turbine engine component products have both military and commercial applications. Net sales of airframe and turbine engine components that solely have military applications were $33.4 million in fiscal 2008, compared with $25.7 million in fiscal 2007. This increase is attributable in part to increased military spending due to ongoing wartime demand such as for additional military helicopters and related replacement components.
The ACM Group's selling, general and administrative expenses increased $1.2 million to $4.9 million, or 6.8% of net sales, in fiscal 2008, compared with $3.7 million, or 6.1% of net sales, in fiscal 2007. The $1.2 million increase in selling, general and administrative expenses in fiscal 2008 was principally due to a $0.6 million payment to a customer that was made to achieve an amicable business settlement of a product dispute that originated in fiscal 2007, of which $0.1 million was expensed in fiscal 2007, and that the Company agreed to make as a business gesture of good faith and cooperation without admission of liability. The remaining selling, general and administrative expenses in fiscal 2008 and 2007 were $4.4 million, or 6.1% of net sales, and $3.6 million, or 6.0% of net sales, respectively. The remaining $0.8 million increase in selling, general and administrative expenses in fiscal 2008 compared to fiscal 2007 was principally due to (i) a $0.3 million increase in variable selling cost principally due to the increase in net sales, (ii) a $0.2 million increase in compensation and related expenses, and (iii) a $0.1 million increase in bad debt expense.
During the fourth quarter of fiscal 2008, the ACM group recorded $0.8 million of expense related the impairment of a long- lived asset.
The ACM Group's operating income in fiscal 2008 was $9.9 million, compared with $10.3 million in fiscal 2007. Included in the $9.9 million of operating income in fiscal 2008 were the aforementioned $1.3 million of expenses related to the amicable business settlement of a product dispute and the impairment of a long-lived asset. The $11.2 million of operating income in fiscal 2008, before these $1.3 million of expenses, reflected an improvement relative to fiscal 2007 principally due to the positive impact on margins resulting from higher production and sales volumes in the fiscal 2008, which allowed the ACM Group to leverage its fixed operating cost structure over more units of production and sales. The positive impact of the improved leverage of its fixed operating cost were partially offset by the negative impact of (i) a $1.4 million increase in the LIFO provision and (ii) higher variable labor costs recognized in fiscal 2008, compared to fiscal 2007.
Turbine Component Services and Repair Group ("Repair Group")
During fiscal 2008, net sales, which consist principally of component repair services (including precision component machining and industrial coating) for small aerospace turbine engines, increased 10.8% to $14.3 million, compared with $12.9 million in fiscal 2007.
During fiscal 2008, the Repair Group's selling, general and administrative expenses from continuing operations were $1.3 million, or 9.2% of net sales, compared with $1.4 million, or 10.5% of net sales, in fiscal 2007. Included in selling, general and administrative expenses during both fiscal 2008 and 2007 was $0.1 million of bad debt recoveries and, therefore, the remaining selling, general and administrative expenses were $1.4 million, or 9.9% of net sales, and $1.5 million, or 11.2% of net sales, during such periods, respectively.
The Repair Group's operating results from continuing operations were a loss of $0.3 million in fiscal 2008, compared with income of $0.7 million in fiscal 2007. Included in the $0.3 million operating loss during fiscal 2008 were (i) the aforementioned $0.1 million of bad debt recovery, (ii) $0.1 million of income from the sale of previously reserved inventory, and (iii) $0.1 million of income related to the renegotiation of a vendor obligation. Despite these favorable items, the reason that operating results did not improve with the higher volumes during fiscal 2008 is due principally to startup costs related to the production launch of a new component repair program and a change in product sales mix to less favorable margin products.
Applied Surface Concepts Group ("ASC Group")
Net sales increased 5.3% to $15.1 million, compared with $14.3 million in fiscal 2007. In fiscal 2008, product net sales, consisting of selective electrochemical metal finishing equipment and solutions, increased $0.4 million to $7.5 million, compared with $7.1 million in fiscal 2007. In fiscal 2008, customized selective electrochemical metal finishing contract service net sales increased $0.3 million to $7.4 million, compared with $7.1 million in fiscal 2007. A portion of the ASC Group's business is conducted in Europe and is denominated in local European currencies, which have strengthened in relation to the US dollar resulting in a favorable currency impact on net sales in fiscal 2008 of approximately $0.3 million.
The ASC Group's selling, general and administrative expenses decreased $0.1 million to $4.3 million, or 28.7% of net sales, in fiscal 2008, compared with $4.4 million, or 31.0% of net sales, in fiscal 2007. The $0.1 million decrease in selling, general and administrative expenses in fiscal 2008 was principally due to a reduction in compensation and benefit related expenses attributable to certain salaried support positions that have either been eliminated or, if not eliminated, have not yet been replaced.
The ASC Group's operating income in fiscal 2008 was $1.3 million, compared with $1.0 million in fiscal 2007. This $0.3 million increase in operating income is principally due to (i) a decrease in selling, general and administrative expenses discussed above and (ii) improved operating margins due to higher sales. These gains were partially offset by (i) rising precious metals commodity costs that could not be fully passed on to customers and (ii) higher compensation expense due to the hiring of additional operations personnel.
Corporate Unallocated Expenses
Corporate unallocated expenses, consisting of corporate salaries and benefits, legal and professional and other corporate expenses, were $2.0 million in fiscal 2008, compared with $1.7 million in fiscal 2007. The $0.3 million increase in fiscal 2008 is principally due to an increase in legal and professional expenses related to (i) the Company's long-term strategic planning efforts, including its incentive compensation planning, (ii) its efforts required to achieve initial Sarbanes-Oxley compliance in fiscal 2008, and (iii) professional tax consulting services. These increases were partially offset by a decrease in incentive expense.
Other/General
Interest expense from continuing operations was $0.1 million and $0.2 million in fiscal 2008 and 2007, respectively. The following table sets forth the weighted average interest rates and weighted average outstanding balances under the Company's revolving credit agreement in fiscal years 2008 and 2007.
The Company believes that inflation did not materially affect its results of operations in fiscal 2008 or fiscal 2007, and does not expect inflation to be a significant factor in fiscal 2009.
B. Liquidity and Capital Resources
Cash and cash equivalents increased to $19.9 million at September 30, 2009, compared with $10.4 million at September 30, 2008. At September 30, 2009, $5.8 million of the Company's cash and cash equivalents are in the possession of its nonU.S. subsidiaries. Distributions from the Company's non-U.S. subsidiaries to the Company may be subject to statutory restriction, adverse tax consequences or other limitations.
The Company's operating activities provided $15.1 million of cash (of which $15.3 million was provided by continuing operations) in fiscal 2009, compared with $9.7 million of cash provided by operating activities (of which $9.8 million was provided by continuing operations) in fiscal 2008. The $15.1 million of cash provided by operating activities in fiscal 2009 was primarily due to (i) $8.0 million of net income, (ii) the impact of such non-cash items as depreciation expense, deferred taxes and LIFO income; (iii) a $5.7 million decrease in inventory; (iv) a $2.1 million decrease in accounts receivable; and (v) a $0.4 million decrease in refundable income taxes. These sources of cash were offset principally by (i) a $1.0 million decrease in accounts payable and accrued liabilities and (ii) a $0.6 million decrease in other long-term liabilities. The changes in the components of working capital were due to factors resulting from normal business conditions of the Company, including (i) the ACM Group's successful efforts to further improve the optimization of its inventory levels, (ii) the relative timing of collections from customers being impacted by the current global economic climate and (iii) the relative timing of payments to suppliers and tax authorities. The change in other long-term liabilities is principally attributable to pension contributions for U.S. defined benefit pension plans.
Capital expenditures were $5.3 million in fiscal 2009 compared with $2.0 in fiscal 2008. Capital expenditures during fiscal 2009 consist of $4.4 million by the ACM Group, $0.6 million by the ASC Group and $0.3 million by the Repair Group. Included in the $5.3 million is $0.9 million for the initial implementation of a new company-wide management information system. In addition to the $5.3 million expended during fiscal 2009, $2.1 million has been committed as of September 30,
2009, which includes $0.2 million for the further implementation of the new company-wide management information system. The Company anticipates that capital expenditures will be within the range of $5.5 to $6.5 million in fiscal 2010 to support the projected growth in the Company's businesses.
At September 30, 2009, the Company had an $8.0 million revolving credit agreement with a bank, subject to sufficiency of collateral, which expires on October 1, 2010 and bears interest at the bank's base rate. The interest rate was 3.25% at September 30, 2009. A 0.35% commitment fee is incurred on the unused balance of the revolving credit agreement. At September 30, 2009, no amount was outstanding and the Company had $7.9 million available under its $8.0 million revolving credit agreement. The Company's revolving credit agreement is secured by substantially all of the Company's assets located in the U.S. and a guarantee by its U.S. subsidiaries. Under its revolving credit agreement with the bank, the Company is subject to certain customary covenants. These include, without limitation, covenants (as defined) that require maintenance of certain specified financial ratios, including a minimum tangible net worth level and a minimum EBITDA level. The Company was in compliance with all applicable covenants at September 30, 2009.
The Company believes that cash flows from its operations together with existing cash reserves and the funds available under its revolving credit agreement will be sufficient to meet its working capital requirements through the end of fiscal year 2010.
C. Off-Balance Sheet Arrangements
The Company does not have any obligations that meet the definition of an off-balance sheet arrangement that have had, or are reasonably likely to have, a material effect on the Company's financial condition or results of operations.
D. Other Contractual Obligations
The following table summarizes the Company's outstanding contractual obligations and other commercial commitments at September 30, 2009 and the effect such obligations are expected to have on liquidity and cash flow in future periods.
Payments Due by Period (Amounts in thousands)
Excluded from the foregoing Other Contractual Obligations table are open purchase orders at September 30, 2009 for raw materials and supplies required in the normal course of business. Excluded from the foregoing Other Contractual Obligations table is a $59 liability for uncertain tax positions as the Company is unable to determine at this time if and/or when this amount, or any portion thereof, will be settled. Included in other long-term liabilities in the Company's consolidated balance sheet as of September 30, 2009 is $5.4 million of liabilities related to the Company's defined benefit pension plans. The Company is expected to fund approximately $0.8 million of pension obligations in fiscal 2010.
E. Outlook
The Company's Repair and ACM Groups' businesses continue to be heavily dependent upon the strength of the commercial airlines as well as aircraft and related engine manufacturers. Consequently, the performance of the domestic and international air transport industry directly and significantly impacts the performance of the Repair and ACM Groups' businesses.
The financial condition of many airlines in the U.S. and throughout the world, while showing improvement, continues to be weak. Some airlines have received U.S. government assistance and/or have proceeded through the bankruptcy reorganization process, while others continue to pursue major restructuring initiatives, all of which appear to have had some positive impact on operating results in recent periods. Modest improvements in the commercial airlines and the relatively stable to slightly declining demand in the commercial aircraft and related engine industries have been complemented by relatively strong U.S. military spending for aircraft and related components. The air transport industry's long-term outlook is for continued, steady growth. Such longer-term outlook suggests the need for additional aircraft and, therefore, growth in the requirement for airframe and engine components as well as aerospace turbine engine repairs. Although the air transport industry has recently benefited from several favorable trends, including: (i) projected growth in air traffic, (ii) major replacement and refurbishment cycles driven by the desire for more fuel efficient aircraft and fleet commonality, and (iii) the increased use of wide-body aircraft, this is changing. The current global economic downturn has created significant reductions in available capital and liquidity from banks and other providers of credit. Therefore, this downturn has adversely affected the ability of the Company's customers to fulfill their purchase commitments on a timely basis and, as such, the level of the Company's business. Certain of the Company's customers have recently extended/delayed their required delivery schedules, in particular those customers in the commercial sector of the market. A continued deterioration in the global economy could result in further reduced demand for the products and services that the Company provides. The Company supplies new and spare components for military aircraft. As a result of continued military initiatives, there has been increased demand for both new and spare components for military customers. The Company's current outlook for the air transport industry is cautiously optimistic while the military segment remains stable, and the Company does believe that it is poised to take advantage of the resulting improvement in order demand from the commercial airframe and engine manufacturers if and when it may occur.
It is difficult to determine, at this time, the potential long-term impact that the aforementioned factors may have on air travel and the demand for the products and services provided by the Company. Lack of continued improvement could result in credit risk associated with serving the financially troubled airlines and/or their suppliers. All of these consequences, to the extent that they may occur, could negatively impact the Company's net sales, operating profits and cash flows. However, in light of the current business environment, the Company believes that cash on-hand, funds available under its revolving credit agreement, and anticipated funds generated from operations will be adequate to meet its liquidity needs through the foreseeable future.
F. Critical Accounting Policies and Estimates
Allowances for Doubtful Accounts
The Company maintains allowances for doubtful accounts for estimated losses resulting from the inability of certain customers to make required payments. The Company evaluates the adequacy of its allowances for doubtful accounts each quarter based on the customers' credit-worthiness, current economic trends or market conditions, past collection history, aging of outstanding accounts receivable and specific identified risks. As these factors change, the Company's allowances for doubtful accounts may change in subsequent periods. Historically, losses have been within management's expectations and have not been significant.
Inventories
The Company maintains allowances for obsolete and excess inventory. The Company evaluates its allowances for obsolete and excess inventory each quarter. Each business segment maintains formal policies, which require at a minimum that reserves be established based on an analysis of the age of the inventory. In addition, if the Company learns of specific obsolescence, other than that identified by the aging criteria, an additional reserve will be recognized as well. Specific obsolescence may arise due to a technological or market change, or based on cancellation of an order. Management's judgment is necessary in determining the realizable value of these products to arrive at the proper allowance for obsolete and excess inventory.
Impairment of Long-Lived Assets
The Company reviews the carrying value of its long-lived assets, including property, plant and equipment, at least annually or when events and circumstances warrant such a review. This review involves judgment and is performed using estimates of future undiscounted cash flows, which include proceeds from disposal of assets and which the Company considers a critical accounting estimate. If the carrying value of a long-lived asset is greater than the estimated undiscounted future cash flows, and if such excess carrying value is determined to be permanent, then the long-lived asset is considered impaired and an impairment charge is recorded for the amount by which the carrying value of the long-lived asset exceeds its fair value.
In projecting future undiscounted cash flows, the Company relies on internal budgets and forecasts, and projected proceeds upon disposal of long-lived assets. The Company's budgets and forecasts are based on historical results and anticipated future market conditions, such as the general business climate and the effectiveness of competition. The Company believes that its estimates of future undiscounted cash flows and fair value are reasonable; however, changes in estimates of such undiscounted cash flows and fair value could change the Company's estimates of fair value, which could result in future impairment charges.
Defined Benefit Pension Plan Expense
The Company maintains three defined benefit pension plans in accordance with the requirements of the Employee Retirement Income Security Act of 1974 ("ERISA"). The amounts recognized in the consolidated financial statements for pension benefits under these three defined benefit pension plans are determined on an actuarial basis utilizing various assumptions. The discussion that follows provides information on the significant assumptions/elements associated with these defined benefit pension plans.
One significant assumption in determining net pension expense is the expected return on plan assets. The Company determines the expected return on plan assets principally based on (i) the expected return for the various asset classes in the respective plans' investment portfolios and (ii) the targeted allocation of the respective plans' assets. The expected return on plan assets is developed using historical asset return performance as well as current and anticipated market conditions such as inflation, interest rates and market performance. Should the actual rate of return differ materially from the assumed/expected rate, the Company could experience a material adverse effect on the funded status of its plans and, accordingly, on its related future net pension expense.
Another significant assumption in determining the net pension expense is the discount rate. The discount rate for each plan is determined, as of the fiscal year end measurement date, using prevailing market spot-rates (from an appropriate yield curve) with maturities corresponding to the expected timing/date of the future defined benefit payment amounts for each of the respective plans. Such corresponding spot-rates are used to discount future years' projected defined benefit payment amounts back to the fiscal year end measurement date as a present value. A composite discount rate is then developed for each plan by determining the single rate of discount that will produce the same present value as that obtained by applying the annual spot-rates. The discount rate may be further revised if the market environment indicates that the above methodology generates a discount rate that does not accurately reflect the prevailing interest rates as of the fiscal year end measurement date
Deferred Tax Valuation Allowance
The Company accounts for deferred taxes in accordance with the provisions of the Financial Accounting Standards Board ("FASB") guidance related to accounting for income taxes, whereby the Company recognizes an income tax benefit related to its consolidated net losses and other temporary differences between financial reporting basis and tax reporting basis. At September 30, 2009 and 2008, the Company's net deferred tax liability before any valuation allowance was a nominal amount and $1.3 million, respectively.
G. Impact of Newly Issued Accounting Standards
In September 2009, the FASB issued Accounting Standards Update ("ASU") No. 2009-06, Income Taxes, which provided implementation guidance on the accounting for uncertainty in income taxes and disclosure amendments for nonpublic entities. The adoption of the implementation guidance will not have an impact on the Company's consolidated financial statements and disclosures.
In July 2009, the FASB issued ASU No. 2009-01, Generally Accepted Accounting Principles ("GAAP"), which launched the Accounting Standards Codification ("Codification"), which established a two-level GAAP hierarchy for nongovernmental entities: authoritative guidance and non-authoritative guidance. The Codification is now the single source of authoritative accounting principles recognized by the FASB to be applied by nongovernmental entities in the preparation of financial statements in accordance with GAAP in the United States. All guidance in the Codification carries an equal level of authority. Rules and interpretive releases of the United States Securities and Exchange Commission ("SEC") under authority of federal securities laws are also sources of authoritative GAAP for SEC registrants. Subsequent revisions to GAAP will be incorporated into the Codification through Accounting Standards Updates. Other than the manner in which new accounting guidance is referenced, the adoption of these changes had no impact to the financial statements of the Company.
In May 2009, the FASB issued guidance related to changes to accounting for and disclosure of events that occur after the balance sheet date but before financial statements are issued or are available to be issued, otherwise known as "subsequent events". In particular, these changes set forth (i) the period after the balance sheet date during which management of a reporting entity should evaluate events or transactions that may occur, (ii) the circumstances under which an entity should recognize events or transactions occurring after the balance sheet date and (iii) the disclosures that an entity should make about events or transactions that occurred after the balance sheet date. This guidance introduces the concept of financial statements being available to be issued. It requires the disclosure of (i) the date through which an entity has evaluated subsequent events and (ii) the basis for that date, that is, whether that date represents the date the financial statements were issued or were available to be issued. This guidance should not result in significant changes in the subsequent events that an entity reports in its financial statements and does not apply to subsequent events or transactions that are within the scope of other applicable generally accepted accounting principles that provide different guidance on the accounting treatment for subsequent events or transactions. The adoption of these changes had no significant impact to the financial statements of the Company.
In December 2008, the FASB issued guidance related to employers' disclosure about postretirement benefit plan assets. Such disclosures should provide users of financial statements with an understanding of (i) how investment allocation decisions are made, (ii) major categories of plan assets, (iii) how fair value of plan assets are measured, (iv) the effect of fair value measurements on changes in plan assets during a period and (v) significant concentrations of risk within plan assets. The requirements of this new disclosure about plan assets shall be provided for fiscal years ending after December 15, 2009.
Item 7A. Quantitative and Qualitative Disclosures about Market Risk
In the ordinary course of business, the Company is subject to foreign currency and interest rate risk. The risks primarily relate to the sale of the Company's products in transactions denominated in non-U.S. dollar currencies (the Euro, Pound Sterling and the Swedish Krona); the payment in local currency of wages and other costs related to the Company's nonU.S. operations; and changes in interest rates on the Company's long-term debt obligations. The Company does not hold or issue financial instruments for trading purposes.
A. Foreign Currency Risk
The U.S. dollar is the functional currency for all of the Company's U.S. operations. For these operations, all gains and losses from completed currency transactions are included in income currently. For the Company's non-U.S. subsidiaries, the functional currency is the local currency. Assets and liabilities are translated into U.S. dollars at the rate of exchange at the end of the period and revenues and expenses are translated using average rates of exchange. Foreign currency translation adjustments are reported as a component of accumulated other comprehensive loss.
Historically, the Company has been able to mitigate the impact of foreign currency risk by means of hedging such risk through the use of foreign currency exchange contracts, which typically expire within one year. However, such risk is mitigated only for the periods for which the Company has foreign currency exchange contracts in effect, and only to the extent of the U.S. dollar amounts of such contracts. At September 30, 2009, the Company had no forward exchange contracts outstanding. The Company will continue to evaluate its foreign currency risk, if any, and the effectiveness of using similar hedges in the future to mitigate such risk.
At September 30, 2009, the Company's assets and liabilities denominated in the Pound Sterling, the Euro and Swedish Krona were as follows (amounts in thousands):
Pound Sterling Euro Swedish Krona
B. Interest Rate Risk
The Company's primary interest rate risk exposure results from the variable interest rate mechanisms associated with the Company's long-term debt consisting of a revolving credit agreement with a bank. If interest rates were to increase or decrease 100 basis points (1%) from the September 30, 2009 rate, and assuming no change in the amount outstanding under the revolving credit agreement, annual interest expense to the Company would be nominally impacted. The Company's sensitivity analyses of the effects of changes in interest rates do not consider the impact of a potential change in the level of variable rate borrowings or derivative instruments outstanding that could take place if these hypothetical conditions prevail. At September 30, 2009, the Company is not a party to any hedging or other interest rate risk management agreements.
Item 8. Financial Statements and Supplementary Data
Report of Independent Registered Public Accounting Firm
To the Board of Directors and Shareholders of SIFCO Industries, Inc. and Subsidiaries:
We have audited the accompanying consolidated balance sheets of SIFCO Industries, Inc. (an Ohio Corporation) and Subsidiaries as of September 30, 2009 and 2008, and the related consolidated statements of operations, shareholders' equity and cash flows for each of the three years in the period ended September 30, 2009. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audits.
We conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. The Company is not required to have, nor were we engaged to perform an audit of its internal control over financial reporting. Our audit included consideration of internal control over financial reporting as a basis for designing audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Company's internal control over financial reporting. Accordingly, we express no such opinion. An audit also includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.
In our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the financial position of SIFCO Industries, Inc. and Subsidiaries as of September 30, 2009 and 2008, and the results of their operations and their cash flows for each of the three years in the period ended September 30, 2009 in conformity with accounting principles generally accepted in the United States of America.
Our audit was conducted for the purpose of forming an opinion on the basic financial statements taken as a whole. Schedule II is presented for purposes of additional analysis and is not a required part of the basic financial statements. This schedule has been subjected to the auditing procedures applied in the audit of the basic financial statements and, in our opinion, is fairly stated in all material respects in relation to the basic financial statements taken as a whole.
/s/ GRANT THORNTON LLP
Cleveland, Ohio December 15, 2009
SIFCO Industries, Inc. and Subsidiaries Consolidated Statements of Operations (Amounts in thousands, except per share data)
See notes to consolidated financial statements.
SIFCO Industries, Inc. and Subsidiaries Consolidated Balance Sheets (Amounts in thousands, except per share data)
September 30,
SIFCO Industries, Inc. and Subsidiaries
Consolidated Statements of Cash Flows (Amounts in thousands)
Years Ended September 30,
See notes to consolidated financial statements.
SIFCO Industries, Inc. and Subsidiaries Consolidated Statements of Shareholders' Equity (Amounts in thousands)
SIFCO Industries, Inc. and Subsidiaries Notes to Consolidated Financial Statements Years ended September 30, 2009, 2008 and 2007 (Dollars in thousands, except share and per share data)
1. Summary of Significant Accounting Policies
A. DESCRIPTION OF BUSINESS
SIFCO Industries, Inc. and Subsidiaries (the "Company") are engaged in the production and sale of a variety of metalworking processes, services and products produced primarily to the specific design requirements of its customers. The processes and services include forging, heat-treating, coating, welding, machining, and selective electrochemical finishing. The products include forged components, machined forged parts and other machined metal parts, remanufactured components for turbine engines, and selective electrochemical finishing solutions and equipment. The Company's operations are conducted in three business segments: (i) Aerospace Component Manufacturing Group, (ii) Turbine Component Services and Repair Group and (iii) Applied Surface Concepts Group.
B. PRINCIPLES OF CONSOLIDATION
The accompanying consolidated financial statements include the accounts of the Company and its wholly-owned subsidiaries. All significant intercompany accounts and transactions have been eliminated. The U.S. dollar is the functional currency for all the Company's U.S. operations. For these operations, all gains and losses from completed currency transactions are included in income currently. The functional currency for the Company's other non-U.S. subsidiaries is the local currency. Assets and liabilities are translated into U.S. dollars at the rates of exchange at the end of the period, and revenues and expenses are translated using average rates of exchange. Foreign currency translation adjustments are reported as a component of accumulated other comprehensive loss in the consolidated statements of shareholders' equity.
C. CASH EQUIVALENTS
The Company considers all highly liquid short-term investments with original maturities of three months or less to be cash equivalents.
D. CONCENTRATIONS OF CREDIT RISK
Receivables are presented net of allowance for doubtful accounts of $633 and $583 at September 30, 2009 and 2008, respectively. During fiscal 2009 and 2008, $141 and $257 of accounts receivable were written off against the allowance for doubtful accounts, respectively. Bad debt expense totaled $195, $254 and $147 in fiscal 2009, 2008 and 2007, respectively.
Most of the Company's receivables represent trade receivables due from manufacturers of turbine engines and aircraft components and turbine engine overhaul companies located throughout the world, including a significant concentration of U.S. based companies. Approximately 41% of the Company's net sales in fiscal 2009 were to four of its largest customers, with an additional 14% of combined net sales to various direct subcontractors to these customers. No other single group or customer represents greater than 5% of total net sales in fiscal 2009. The Company performs ongoing credit evaluations of its customers' financial conditions. The Company believes its allowance for doubtful accounts is sufficient based on the credit exposures outstanding at September 30, 2009.
E. INVENTORY VALUATION
Inventories are stated at the lower of cost or market. Cost is determined by the Company's ACM Group using the last-in, first-out ("LIFO") method for approximately 72% and 76% of the Company's inventories at September 30, 2009 and 2008, respectively. The first-in, first-out ("FIFO") method is used to value the remainder of the Company's inventories.
The Company maintains allowances for obsolete and excess inventory. The Company evaluates its allowances for obsolete and excess inventory each quarter. Each business segment maintains formal policies, which require at a minimum that reserves be established based on an analysis of the age of the inventory. In addition, if the Company identifies specific obsolescence, other than that identified by the aging criteria, an additional reserve will be recognized as well. Specific obsolescence may arise due to a technological or market change, or based on cancellation of an order. The Company's allowances for obsolete and excess inventory were $1,319 and $1,061 at September 30, 2009 and 2008, respectively.
F. PROPERTY, PLANT AND EQUIPMENT
Property, plant and equipment are stated at cost. Depreciation is generally computed using the straight-line and the double declining balance methods. Depreciation is provided in amounts sufficient to amortize the cost of the assets over their estimated useful lives. Depreciation provisions are based on estimated useful lives: (i) buildings, including building improvements - 5 to 50 years and (ii) machinery and equipment, including office and computer equipment - 3 to 30 years.
SIFCO Industries, Inc. and Subsidiaries
Notes to Consolidated Financial Statements – (Continued)
The Company reviews the carrying value of its long-lived assets, including property, plant and equipment, at least annually or when events and circumstances warrant such a review. This review is performed using estimates of future undiscounted cash flows, which include proceeds from disposal of assets. If the carrying value of a long-lived asset is greater than the estimated undiscounted future cash flows, and if such excess carrying value is determined to be permanent, then the longlived asset is considered impaired and an impairment charge is recorded for the amount by which the carrying value of the long-lived asset exceeds its fair value. Asset impairment charges of $757 were recorded in the fourth quarter of fiscal 2008 related to certain machinery and equipment of the Company's ACM Group. The machinery and equipment was determined to be permanently impaired and, therefore, the carrying value of such assets was reduced to its net realizable value.
G. NET INCOME PER SHARE
The Company's net income per basic share has been computed based on the weighted-average number of common shares outstanding. Net income per diluted share reflects the effect of the Company's outstanding stock options under the treasury stock method. However, during periods of operating losses, outstanding stock options are not included in the calculation of net loss per diluted share because such inclusion would be anti-dilutive.
H. REVENUE RECOGNITION
The Company recognizes revenue in accordance with the relevant portions of the guidance provided by the United States Securities and Exchange Commission ("SEC") related to revenue recognition in financial statements. Revenue is generally recognized when products are shipped or services are provided to customers.
I. IMPACT OF RECENTLY ADOPTED ACCOUNTING
In September 2009, the Financial Accounting Standards Board ("FASB") issued Accounting Standards Update No. 200906, Income Taxes, which provided implementation guidance on the accounting for uncertainty in income taxes and disclosure amendments for nonpublic entities. The adoption of the implementation guidance did not have an impact on the Company's consolidated financial statements and disclosures.
In July 2009, the FASB issued ASU No. 2009-01, Generally Accepted Accounting Principles ("GAAP"), which launched the Accounting Standards Codification ("Codification"), which established a two-level GAAP hierarchy for nongovernmental entities: authoritative guidance and non-authoritative guidance. The Codification is now the single source of authoritative accounting principles recognized by the FASB to be applied by nongovernmental entities in the preparation of financial statements in accordance with GAAP in the United States. All guidance in the Codification carries an equal level of authority. Rules and interpretive releases of the SEC under authority of federal securities laws are also sources of authoritative GAAP for SEC registrants. Subsequent revisions to GAAP will be incorporated into the Codification through Accounting Standards Updates ("ASU"). Other than the manner in which new accounting guidance is referenced, the adoption of these changes had no significant impact to the financial statements of the Company.
In May 2009, the FASB issued guidance related to changes to accounting for and disclosure of events that occur after the balance sheet date but before financial statements are issued or are available to be issued, otherwise known as "subsequent events". In particular, these changes set forth (i) the period after the balance sheet date during which management of a reporting entity should evaluate events or transactions that may occur, (ii) the circumstances under which an entity should recognize events or transactions occurring after the balance sheet date and (iii) the disclosures that an entity should make about events or transactions that occurred after the balance sheet date. This guidance introduces the concept of financial statements being available to be issued. It requires the disclosure of (i) the date through which an entity has evaluated subsequent events and (ii) the basis for that date, that is, whether that date represents the date the financial statements were issued or were available to be issued. This guidance should not result in significant changes in the subsequent events that an entity reports in its financial statements and does not apply to subsequent events or transactions that are within the scope of other applicable generally accepted accounting principles that provide different guidance on the accounting treatment for subsequent events or transactions. The adoption of these changes had no significant impact to the financial statements of the Company.
In September 2006, the FASB issued amended guidance related to employers' accounting for defined benefit pension and other postretirement plans. This amended guidance requires an employer to (i) recognize the overfunded or underfunded status of a defined benefit pension plan, measured as the difference between plan assets at fair value and the benefit obligation, as an asset or liability in its statement of financial position; (ii) recognize, through other comprehensive income, changes in the funded status in the year in which the changes occur; (iii) recognize as a component of other comprehensive income, net of tax, the gains or losses and prior service costs or credits that arise during the period, but that are not
SIFCO Industries, Inc. and Subsidiaries
Notes to Consolidated Financial Statements – (Continued)
recognized as components of net periodic benefit cost; and (iv) measure defined benefit plan assets and obligations as of the date of the employer's fiscal year end. The Company adopted the requirement to recognize the funded status of its defined benefit pension plans as an asset or liability in the consolidated balance sheet as of September 30, 2007. The Company adopted the requirement to measure plan assets and benefit obligations as of the date of the Company's fiscal year-end consolidated balance sheet on October 1, 2008, the impact of which was not material to the Company's financial statements.
J. IMPACT OF NEWLY ISSUED ACCOUNTING STANDARDS
In December 2008, the FASB issued guidance related to employers' disclosure about postretirement benefit plan assets. Such disclosures should provide users of financial statements with an understanding of (i) how investment allocation decisions are made, (ii) major categories of plan assets, (iii) how fair value of plan assets are measured, (iv) the effect of fair value measurements on changes in plan assets during a period and (v) significant concentrations of risk within plan assets. The requirements of this new disclosure about plan assets shall be provided for fiscal years ending after December 15, 2009.
K. USE OF ESTIMATES
GAAP in the United States requires management to make a number of estimates and assumptions relating to the reported amounts of assets and liabilities and the disclosure of contingent liabilities, at the date of the consolidated financial statements, and the reported amounts of revenues and expenses during the period in preparing these financial statements. Actual results could differ from those estimates.
L. DERIVATIVE FINANCIAL INSTRUMENTS
The Company has from time-to-time utilized foreign currency exchange contracts as part of the management of its foreign currency risk exposure. The Company has no financial instruments held for trading purposes. All financial instruments are put into place to hedge specific risk exposure. To qualify as a hedge, the item to be hedged must expose the Company to foreign currency risk and the hedging instrument must effectively reduce that risk. If the financial instrument is designated as a cash flow hedge, the effective portions of changes in the fair value of the financial instrument are recorded in accumulated other comprehensive loss in the shareholders' equity section of the consolidated balance sheets. Ineffective portions of changes in the fair value of the financial instrument, to the extent they may exist, are recognized in the consolidated statements of operations.
Historically, the Company has been able to mitigate the impact of foreign currency risk by means of hedging such risk through the use of foreign currency exchange contracts, which typically expire within one year. However, such risk is mitigated only for the periods for which the Company has foreign currency exchange contracts in effect, and only to the extent of the U.S. dollar amounts of such contracts. At September 30, 2009 and 2008, the Company had no forward exchange contracts outstanding.
M. RESEARCH AND DEVELOPMENT
Research and development costs from continuing operations are expensed as incurred. Research and development expense from continuing operations was approximately $705, $672 and $880 in fiscal 2009, 2008 and 2007, respectively.
N. ACCUMULATED OTHER COMPREHENSIVE LOSS
Comprehensive income is included on the consolidated statements of shareholders' equity. The components of accumulated other comprehensive loss as shown on the consolidated balance sheets at September 30 are as follows:
SIFCO Industries, Inc. and Subsidiaries Notes to Consolidated Financial Statements –
(Continued)
O. INCOME TAXES
The Company files a consolidated U.S. federal income tax return and tax returns in various state and local jurisdictions. The Company's non-U.S. subsidiaries also file tax returns in various jurisdictions, including the United Kingdom, France and Sweden. The Company has not provided U. S. deferred income taxes on certain cumulative earnings of non-U.S. subsidiaries that have been reinvested indefinitely. A U.S. deferred income tax provision has been made for the balance of the earnings of the non-U.S. subsidiaries.
The Company accounts for income taxes in accordance with the FASB's guidance related to accounting for income taxes, as amended. Deferred income taxes (i) are provided for the temporary difference between the financial reporting basis and tax basis of the Company's assets and liabilities and (ii) are measured using the enacted tax rates that are assumed to be in effect when the differences reverse. Deferred tax assets result principally from recording certain expenses in the financial statements in excess of amounts currently deductible for tax purposes. Deferred tax liabilities result principally from tax depreciation in excess of book depreciation and unremitted foreign earnings.
The Company maintains a valuation allowances against its deferred tax assets when management believes it is more likely than not that all or a portion of a deferred tax asset may not be realized. Changes in valuation allowances are included in the income tax provision in the period of change. In determining whether a valuation allowance is warranted, the Company evaluates factors such as prior earnings history, expected future earnings, carry-back and carry-forward periods and tax strategies that could potentially enhance the likelihood of the realization of a deferred tax asset.
P. RECLASSIFICATIONS
Certain amounts in prior years may have been reclassified to conform to the 2009 consolidated financial statement presentation.
Q. SUBSEQUENT EVENTS
Management has evaluated subsequent events through December 14, 2009, the day immediately prior to the date the financial statements were issued, and has determined there are no subsequent events to be reported.
2. Inventories
Inventories at September 30 consist of:
If the FIFO method had been used for the entire Company, inventories would have been $7,320 and $8,903 higher than reported at September 30, 2009 and 2008, respectively.
SIFCO Industries, Inc. and Subsidiaries Notes to Consolidated Financial Statements – (Continued)
3. Accrued Liabilities
Accrued liabilities at September 30 consist of:
4. Government Grants
The Company received grants from certain government entities as an incentive to invest in facilities, research and employees. The Company has historically elected to treat capital and employment grants as a contingent obligation and does not commence amortizing such grants into income until such time that it is more certain that the Company will not be required to repay a portion of these grants. Capital grants are amortized into income over the estimated useful lives of the related assets. Employment grants are amortized into income over five years.
Certain grants that were subject to repayment expired during fiscal 2007. Therefore, the Company will not be required to repay such grants and, accordingly, the Company recognized grant income of $2,143 in income (loss) from discontinued operations, net of tax, during fiscal 2007 in the accompanying consolidated statement of operations. The unamortized portion of deferred grant revenue is recorded in other long-term liabilities at September 30, 2009 and September 30, 2008, which amounted to $454 and $442, respectively. The majority of the Company's grants are denominated in Euros. The Company adjusts its deferred grant revenue balance in response to currency exchange rate fluctuations for as long as such grants are treated as obligations.
5. Long-Term Debt
Long-term debt at September 30 consists of:
At September 30, 2009, the Company had an $8,000 revolving credit agreement with a bank subject to sufficiency of collateral that expires on October 1, 2010 and bears interest at the bank's base rate. The interest rate was 3.25% and 5.00% at September 30, 2009 and 2008, respectively. The daily average balance outstanding against the revolving credit agreement was zero and $1,406 during 2009 and 2008, respectively. A commitment fee of 0.35% is incurred on the unused balance. At September 30, 2009 the Company had $7,955 available under its $8,000 revolving credit agreement. The Company's revolving credit agreement is secured by substantially all of the Company's assets located in the United States of America and a guarantee by its U.S. subsidiaries.
Under its revolving credit agreement with the bank, the Company is subject to certain customary covenants. These include, without limitation, covenants (as defined) that require maintenance of certain specified financial ratios, including a minimum tangible net worth level and a minimum EBITDA level. The Company was in compliance with all applicable covenants at September 30, 2009.
SIFCO Industries, Inc. and Subsidiaries
Notes to Consolidated Financial Statements – (Continued)
6. Income Taxes
The components of income from continuing operations before income tax provision are as follows:
The income tax provision consists of the following:
The income tax provision differs from amounts currently payable or refundable due to certain items reported for financial statement purposes in periods that differ from those in which they are reported for tax purposes. The income tax provision in the accompanying consolidated statements of operations differs from amounts determined by using the statutory rate as follows:
SIFCO Industries, Inc. and Subsidiaries Notes to Consolidated Financial Statements – (Continued)
Deferred tax assets and liabilities at September 30 consist of the following:
At September 30, 2009 the Company has non-U.S. tax loss carryforwards of approximately $6,032. The non-U.S. tax loss carryforwards do not expire.
During fiscal 2007, the Company recorded a decrease of $4,092 in the valuation allowance against its net deferred tax assets. In assessing the Company's ability to realize its net deferred tax assets, management considers whether it is more likely than not that some portion or all of its net deferred tax assets may not be realized. Management considered the scheduled reversal of deferred tax liabilities, projected future taxable income and tax planning strategies in making this assessment. Future reversal of the remaining valuation allowance may be achieved either when the tax benefit is realized or when it has been determined that it is more likely than not that the benefit will be realized through future taxable income. $2,999 of the valuation allowance reversal was recognized in the Company's fiscal 2007 income tax provision. $958 of the valuation allowance reversal related to the Company's pension liabilities and, therefore, was recognized through other comprehensive income. The Company recognized reductions of the valuation allowance against its net deferred tax assets in fiscal years 2009 and 2008 of $13 and $36, respectively.
Cumulative undistributed earnings of non-U.S. subsidiaries for which no U.S. deferred federal income tax liabilities have been established were approximately $2,088 at September 30, 2009. The incremental U.S. federal income tax related to any repatriation of these cumulative foreign earnings is indeterminable currently. The incremental foreign withholding taxes associated with a repatriation of all such earnings would approximate $58.
The Company has recorded a liability of $59 for uncertain tax positions and any related interest and penalties. The Company classifies interest on uncertain tax positions as interest expense and income tax penalties as selling, general and administrative expenses. The Company is subject to income taxes in the U.S. federal jurisdiction, and various state, local and non-U.S. jurisdictions. The Company's federal income tax return for fiscal 2007 is under review by the Internal Revenue Service, the outcome of which is not known at this time. Management believes that the Company has appropriate support for its 2007 federal income tax return. The Company is no longer subject to U.S. federal, state and local or nonU.S. income tax examinations for the years prior to fiscal year 2002.
SIFCO Industries, Inc. and Subsidiaries Notes to Consolidated Financial Statements – (Continued)
7. Retirement Benefit Plans
The Company and certain of its subsidiaries sponsor defined benefit pension plans covering most of its employees. The Company's funding policy for U.S. defined benefit pension plans is based on an actuarially determined cost method allowable under Internal Revenue Service regulations. One of the Company's U.S. defined benefit pension plans, which plan covers substantially all non-union employees of the Company's U.S. operations who were hired prior to March 1, 2003, was frozen in 2003. Consequently, although the plan otherwise continues, the plan ceased the accrual of additional pension benefits for service subsequent to March 1, 2003.
In 2006, the Company's Irish subsidiary advised the trustees of its two non-U.S. defined benefit pension plans that the Company would cease making contributions to such plans effective August 1, 2006. The trustees subsequently advised the Company that the trustees would wind-up both defined benefit pension plans, which wind-up process commenced in fiscal 2007 and concluded in fiscal 2008. As of September 30, 2008, the trustees advised the Company that the wind-up process for both such plans was complete with no further obligation on the part of the Company or its Irish subsidiary.
Prior to October 1, 2008, the Company used a July 1 measurement date for its U.S. defined benefit pension plans. For fiscal 2009, the measurement date changed from July 1 to September 30 as required under the amended guidance from the FASB related to employers' accounting for defined benefit pension and other postretirement plans. The Company previously adopted the amended guidance of the FASB related to the requirement to recognize the funded status of the Company's defined benefit pension plans as an asset or liability in the consolidated balance sheet. The net impact, as of October 1, 2008, of the measurement date change was a charge of $4 to retained earnings. As of September 30, 2009 and 2008, the Company's defined benefit pension plans had accumulated benefit obligations of $19,600 and $16,282, respectively. Net pension expense (income) for the Company-sponsored defined benefit pension plans consists of the following:
Years Ended September 30,
The status of all U.S. and non-U.S. defined benefit pension plans at September 30 is as follows:
SIFCO Industries, Inc. and Subsidiaries Notes to Consolidated Financial Statements – (Continued)
The amounts in accumulated other comprehensive loss that are expected to be recognized as components of net periodic benefit costs during fiscal 2010 are as follows:
SIFCO Industries, Inc. and Subsidiaries
Notes to Consolidated Financial Statements – (Continued)
Where applicable, the following weighted-average assumptions were used in developing the benefit obligation and the net pension expense for defined benefit pension plans:
The following table sets forth the asset allocation of the Company's defined benefit pension plan assets:
Investment objectives of the Company's defined benefit plans' assets are to (i) optimize the long-term return on the plans' assets while assuming an acceptable level of investment risk, (ii) maintain an appropriate diversification across asset classes and among investment managers, and (iii) maintain a careful monitoring of the risk level within each asset class. Asset allocation objectives are established to promote optimal expected returns and volatility characteristics given the long-term time horizon for fulfilling the obligations of the Company's defined benefit pension plans. Selection of the appropriate asset allocation for the plans' assets was based upon a review of the expected return and risk characteristics of each asset class.
External consultants assist the Company with monitoring the appropriateness of the investment strategy and the related asset mix and performance. To develop the expected long-term rate of return assumptions on plan assets, generally the Company uses long-term historical information for the target asset mix selected. Adjustments are made to the expected long-term rate of return assumptions when deemed necessary based upon revised expectations of future investment performance of the overall investments markets.
The Company expects to make contributions of approximately $800 to its defined benefit pension plans during fiscal 2010. The following defined benefit payment amounts are expected to be made in the future:
Projected
The Company also contributes to a U.S. multi-employer retirement plan for certain union employees. The Company's contributions to the plan in 2009, 2008 and 2007 were $57, $44 and $43, respectively.
SIFCO Industries, Inc. and Subsidiaries
Notes to Consolidated Financial Statements – (Continued)
Substantially all non-union U.S. employees of the Company and its U.S. subsidiaries are eligible to participate in the Company's U.S. defined contribution plan. The Company makes non-discretionary, regular matching contributions to this plan equal to an amount that represents up to 5% of eligible participant compensation. The Company's regular matching contribution expense for this defined contribution plan in 2009, 2008 and 2007 was $283, $273 and $229, respectively. This defined contribution plan provides that the Company may also make an additional discretionary matching contribution during those periods in which the Company achieves certain performance levels. The Company's additional discretionary matching contribution expense in 2009, 2008 and 2007 was $196, $211 and $158, respectively.
The Company's United Kingdom subsidiary sponsors a defined contribution plan for certain of its employees. The Company contributes annually 5% of eligible employees' compensation, as defined. Total contribution expense in 2009, 2008 and 2007 was $24, $19 and $24, respectively.
The Company's Swedish subsidiary sponsors three defined contribution plans for its employees. The Company contributes annually a percentage of eligible employees' compensation, as defined. Total contribution expense in 2009, 2008 and 2007 was $26, $24 and $21, respectively.
8. Stock-Based Compensation
The Company awarded stock options under its shareholder approved 1995 Stock Option Plan ("1995 Plan") and 1998 Long-term Incentive Plan ("1998 Plan"). Under the 1995 Plan, the initial aggregate number of stock options that were available to be granted was 200,000. The aggregate number of stock options that were available to be granted under the 1998 Plan in any fiscal year was limited to 1.5% of the total outstanding common shares of the Company as of September 30, 1998, up to a maximum of 5% of such total outstanding shares, subject to adjustment for forfeitures. At September 30, 2009, no further options may be granted under either the 1995 Plan or the 1998 Plan. Option exercise price is not less than fair market value on date of grant and options are exercisable no later than ten years from date of grant. Options issued under all plans generally vest at a rate of 25% per year.
Option activity is as follows:
As of September 30, 2009 and 2008, there was zero and $3, respectively, of total unrecognized compensation cost related to the unvested stock options granted under the Company's stock option plans.
SIFCO Industries, Inc. and Subsidiaries Notes to Consolidated Financial Statements – (Continued)
The following table provides additional information regarding options outstanding as of September 30, 2009:
Total compensation expense recognized in fiscal years 2009, 2008 and 2007 was $3, $12 and $32, respectively. No tax benefit was recognized for this compensation expense.
The Company has also awarded performance shares under its 2007 Long-Term Incentive Plan ("2007 Plan"). The Company adopted the 2007 Plan in the first quarter of fiscal 2008, which plan was approved by the Company's shareholders at its 2008 Annual Meeting on January 29, 2008. The aggregate number of shares that may be awarded under the 2007 Plan is 250,000, subject to an adjustment for the forfeiture of any issued shares. In addition, shares that may be awarded are subject to individual award limitations. The shares awarded under the 2007 Plan may be made in multiple forms including stock options, stock appreciation rights, restricted or unrestricted stock, and performance related shares. Any such awards are exercisable no later than ten years from date of grant.
The performance shares that have been awarded under the 2007 Plan generally provide for the issuance of the Company's common shares upon the Company achieving certain defined financial performance objectives during a period up to three years following the making of such award. The ultimate number of common shares of the Company that may be earned pursuant to an award will range from a minimum of no shares to a maximum of 150% of the initial number of performance shares awarded, depending on the level of the Company's achievement of its financial performance objectives.
Compensation expense is being accrued at (i) 0% to 50% of the target levels for recipients of the performance shares awarded during fiscal 2009 and (ii) 50% of the target levels for recipients of the performance shares awarded during fiscal 2008. During each future reporting period, such expense may be subject to adjustment based upon the Company's subsequent estimate of the number of common shares that it expects to issue upon the completion of the performance period. The performance shares were valued at the closing market price of the Company's common shares on the date of grant, and the vesting of such shares is determined at the end of the performance period. Compensation expense related to all performance shares awarded under the 2007 Plan was $80 and $38 during fiscal 2009 and 2008, respectively. As of September 30, 2009 and 2008, there was $85 and $153 of total unrecognized compensation cost related to the performance shares awarded under the 2007 Plan. The Company expects to recognize this cost over the next two (2) years.
The following is a summary of activity related to performance shares:
SIFCO Industries, Inc. and Subsidiaries Notes to Consolidated Financial Statements – (Continued)
9. Asset Divestiture
In fiscal 2007, the Company and its Irish subsidiary, SIFCO Turbine Components Limited ("SIFCO Turbine"), completed the sale of its industrial turbine engine component repair business, which operated in SIFCO Turbine's Cork, Ireland facility. Upon completion of this transaction, the Company no longer maintains a turbine engine component repair operation in Ireland. SIFCO Turbine retained ownership of the Cork, Ireland facility subject to a long-term lease arrangement with the acquirer of the business.
SIFCO Turbine's Cork, Ireland facility was classified as held for sale in the consolidated balance sheets from September 30, 2007 through June 30, 2009. The Company attempted to sell this facility since the beginning of fiscal 2008, with the intention and expectation that it would dispose of this asset within the requisite period of time to allow for classification as an asset held for sale. However, while the Company will continue its effort to sell the facility, due to the current global economic downturn, the Company reassessed it expectations during the fourth quarter of fiscal 2009 and determined that it is more likely than not that it will be unable to sell the Cork, Ireland facility during the next 12 month period. Accordingly, such asset no longer qualifies for classification as held for sale and, at September 30, 2009, this asset was reclassified to property, plant and equipment and included in corporate identifiable assets (see Note 11). As a result of this reassessment, during the fourth quarter of fiscal 2009, the Company recorded aggregate depreciation expense related to the Cork, Ireland facility of $230, of which $113 related to fiscal 2009 and $117 represented depreciation related to periods prior to fiscal 2009 during which time this asset was classified as held for sale.
In accordance with the FASB's guidance as it relates to accounting for the impairment or disposal of long-lived assets, the portion of the Company's financial results related principally to (i) the activity of leasing the Cork, Ireland facility during the first nine months of fiscal 2009 and all of fiscal 2008 and (ii) the activity of the industrial turbine engine component repair business that was sold in fiscal 2007, which makes up essentially all of SIFCO Turbine's operations, were reported in fiscal 2009, 2008 and 2007 as discontinued operations in the accompanying consolidated statements of operations. Due to the aforementioned reassessment of the status of the Cork, Ireland facility during the fourth quarter of fiscal 2009, such leasing activity is no longer considered to be a discontinued operation.
The financial results included in discontinued operations were as follows
10. Contingencies
In the normal course of business, the Company may be involved in ordinary, routine legal actions. The Company cannot reasonably estimate future costs, if any, related to these matters and does not believe any such matters are material to its financial condition or results of operations. The Company maintains various liability insurance coverages to protect its assets from losses arising out of or involving activities associated with ongoing and normal business operations; however, it is possible that the Company's future operating results could be affected by future cost of litigation.
SIFCO Industries, Inc. and Subsidiaries
Notes to Consolidated Financial Statements – (Continued)
The Company leases various facilities and equipment under capital and operating leases expiring at various dates. The Company recorded rent expense of $544, $624, and $600 in fiscal 2009, 2008 and 2007, respectively. At September 30, 2009, minimum rental commitments under non-cancelable leases are as follows:
Amortization of the cost of equipment under capital leases is included in depreciation expense. At September 30, assets recorded under capital leases consist of the following:
11. Business Segments
The Company identifies reportable segments based upon distinct products manufactured and services performed. The Aerospace Component Manufacturing Group consists of the production, heat-treatment, surface-treatment, non-destructive testing, and some machining of forged components in various steel alloys utilizing a variety of processes for application principally in the aerospace industry. The Turbine Component Services and Repair Group consists primarily of the repair and remanufacture of small aerospace and industrial turbine engine components. The Repair Group is also involved in precision component machining and industrial coatings for turbine engine applications. The Applied Surface Concepts Group is a provider of specialized selective electrochemical metal finishing processes and services used to apply metal coatings to a selective area of a component. The Company's reportable segments are separately managed.
One customer of all three of the Company's segments accounted for 15%, 13% and 13% of the Company's consolidated net sales from continuing operations in fiscal 2009, 2008 and 2007, respectively. Another customer of all three of the Company's segments accounted for 14%, 14% and 13% of the Company's consolidated net sales from continuing operations in fiscal 2009, 2008 and 2007, respectively. The combined net sales to these two customers, and to the direct subcontractors to these two customers, accounted for 48%, 38% and 38% of the Company's consolidated net sales from continuing operations in 2009, 2008 and 2007, respectively.
Geographic net sales from continuing operations are based on location of customer. The United States of America is the single largest country for unaffiliated customer sales, accounting for 75%, 75% and 77% of consolidated net sales from continuing operations in fiscal 2009, 2008 and 2007, respectively. No other single country represents greater than 10% of consolidated net sales from continuing operations in 2009, 2008 and 2007. Net sales from continuing operations to unaffiliated customers located in various European countries accounted for 9%, 10%, and 8% of consolidated net sales in 2009, 2008 and 2007, respectively. Net sales from continuing operations to unaffiliated customers located in various Asian countries accounted for 11%, 7%, and 7% of consolidated net sales in 2009, 2008 and 2007, respectively.
Corporate unallocated expenses represent expenses that are not of a business segment operating nature and, therefore, are not allocated to the business segments for reporting purposes. Corporate identifiable assets consist primarily of cash and cash equivalents and the Company's Cork, Ireland facility (see Note 9).
SIFCO Industries, Inc. and Subsidiaries
Notes to Consolidated Financial Statements –
(Continued)
The following table summarizes certain information regarding segments of the Company's continuing operations:
SIFCO Industries, Inc. and Subsidiaries
Notes to Consolidated Financial Statements – (Continued)
12. Summarized Quarterly Results of Operations (Unaudited)
Schedule II
SIFCO Industries, Inc. and Subsidiaries Valuation and Qualifying Accounts Years Ended September 30, 2009, 2008 and 2007 (Amounts in thousands)
(a) Accounts determined to be uncollectible, net of recoveries
(b) Actual returns received
(c) Inventory sold or otherwise disposed
(d) Equipment sold or otherwise disposed
(e) Payment of workers' compensation claims
[This Page Intentionally Left Blank]
Item 9. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure
None.
Item 9A. Controls and Procedures
Evaluation of Disclosure Controls and Procedures
As defined in Rule 13a-15(e) under the Securities Exchange Act of 1934 (the "Exchange Act"), disclosure controls and procedures are controls and procedures designed to provide reasonable assurance that information required to be disclosed in reports filed or submitted under the Exchange Act is recorded, processed, summarized and reported on a timely basis, and that such information is accumulated and communicated to management, including the Company's Chief Executive Officer and Chief Financial Officer, as appropriate to allow timely decisions regarding required disclosure. The Company's disclosure controls and procedures include components of the Company's internal control over financial reporting. In designing and evaluating the disclosure controls and procedures, management recognizes that any controls and procedures, no matter how well designed and operated, can provide only reasonable assurance of achieving the desired control objectives, and management is required to apply its judgment in evaluating the cost-benefit relationship of possible controls and procedures.
Management of the Company, under the supervision and with the participation of the Chief Executive Officer and Chief Financial Officer, carried out an evaluation of the effectiveness of the design and operation of the Company's disclosure controls and procedures pursuant to Exchange Act Rule 13a-15(e) as of September 30, 2009 (the "Evaluation Date"). Based upon that evaluation, the Chief Executive Officer and Chief Financial Officer concluded that, as of the Evaluation Date, the Company's disclosure controls and procedures were not effective due solely to the material weakness in the Company's internal control over financial reporting as described below in "Management's Report on Internal Control over Financial Reporting." In light of this material weakness, the Company performed additional analysis as deemed necessary to ensure that the consolidated financial statements were prepared in accordance with U.S. generally accepted accounting principles. Accordingly, notwithstanding the existence of the material weakness described below, management has concluded that the consolidated financial statements in this Form 10-K fairly present, in all material respects, the Company's financial position, results of operations and cash flows for the periods presented.
Management's Report on Internal Control over Financial Reporting
Management is responsible for establishing and maintaining adequate internal control over financial reporting, as such term is defined in Exchange Act Rules 13a-15(f). Under the supervision of the Chief Executive Officer and Chief Financial Officer, management conducted an evaluation of the effectiveness of the Company's internal control over financial reporting as of September 30, 2009 based on (i) the framework set forth by the Committee of Sponsoring Organizations of the Treadway Commission ("COSO") in "Internal Control-Integrated Framework" and "Internal Control over Financial Reporting – Guidance for Smaller Public Companies" and (ii) The U.S. Securities and Exchange Commission ("SEC") Guidance Regarding Management's Report on Internal Control Over Financial Reporting. Based on that evaluation, management has concluded that the Company did not maintain effective internal control over financial reporting solely as a result of the following material weakness:
* Missing and/or ineffective controls were noted in the area of the Company's management information systems related principally to (i) logical access/security, (ii) program change management and (iii) segregation of duties. While none of the individual deficiencies noted in these areas appear to rise to the level of a material weakness, based on the nature and interrelationship of the noted deficiencies, management believes that such deficiencies, when considered in the aggregate, do create a reasonable possibility that a material misstatement to the Company's financial statements could occur and not be detected in a timely manner and, therefore, a material weakness in internal controls over financial reporting does exist as of September 30, 2009.
This annual report does not include an attestation report of the Company's registered public accounting firm regarding controls over financial reporting. Management's report was not subject to attestation by the Company's registered public accounting firm pursuant to temporary rules of the SEC that permit the Company to provide only management's report in this annual report.
Changes in Internal Control over Financial Reporting and other Remediation
The noted material weaknesses in the effectiveness of the Company's internal controls with respect to its existing management information system (i.e. logical access/security, program change management and segregation of duties) were not all remediated at this time because Company management believes that (i) the relevant risk associated with not remediating such controls at this time is not deemed to be "high" and (ii) the cost/benefit analysis does not justify remediating such controls at this time given the fact that the Company is in the process of evaluating a new management information system (to be implemented in the next 12 months) and plans to incorporate the remediation of a majority of the deficiencies noted above as part of the new management information system.
There was no significant change in our internal control over financial reporting that occurred during the fourth fiscal quarter ended September 30, 2009 that has materially affected, or that is reasonably likely to materially affect our internal control over financial reporting.
Item 9B. Other Information
None.
PART III
Item 10. Directors, Executive Officers and Corporate Governance
The following table sets forth certain information regarding the executive officers of the Company.
The Company incorporates herein by reference the information required by this item as to the Directors, procedures for recommending Director nominees and the Audit Committee appearing under the captions "Proposal to Elect Six (6) Directors", "Section 16(a) Beneficial Ownership Reporting Compliance" and "Corporate Governance and Board of Director Matters" of the Company's definitive Proxy Statement to be filed with the Securities and Exchange Commission on or about December 15, 2009.
The Directors of the Company are elected annually to serve for one-year terms or until their successors are elected and qualified.
The Company has adopted a Code of Ethics within the meaning of Item 406(b) of Regulation S-K under the Securities Exchange Act of 1934, as amended. The Code of Ethics is applicable to, among other people, the Company's Chief
Executive Officer, Chief Financial Officer, who is the Company's Principal Financial Officer, and to the Corporate Controller, who is the Company's Principal Accounting Officer. The Company's Code of Ethics is available on its website: www.sifco.com.
Item 11. Executive Compensation
The Company incorporates herein by reference the information appearing under the captions "Compensation Discussion and Analysis", "Executive Compensation", "Compensation Committee Report", "Compensation Committee Interlocks and Insider Participation" and "Director Compensation" of the Company's definitive Proxy Statement to be filed with the Securities and Exchange Commission on or about December 15, 2009.
Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters
The following table sets forth information regarding Common Shares to be issued under the Company's equity compensation plans as of September 30, 2009.
(1) Under the 1998 Long-term Incentive Plan the aggregate number of stock options that were available to be granted in any fiscal year was limited to 1.5% of the total outstanding Common Shares of the Company at September 30, 1998, up to a cumulative maximum of 5% of such total outstanding shares, subject to adjustment for forfeitures. No further options may be granted under this plan. During fiscal 2009, 2,500 options granted under the 1998 Long-term Incentive Plan were exercised.
(2) Under the 1995 Stock Option Plan the initial aggregate number of stock options that were available to be granted was 200,000. No further options may be granted under this plan. During 2009, 750 options granted under the 1995 Stock Option Plan were exercised and 2,000 options were reinstated.
(3) Under the 2007 Long-term Incentive Plan the aggregate number of common shares that are available to be granted is 250,000 shares, with a further limit of no more than 50,000 shares to any one person in any twelve-month period.
For additional information concerning the Company's equity compensation plans, refer to the discussion in Note 8 to the Consolidated Financial Statements.
The Company incorporates herein by reference the beneficial ownership information appearing under the captions "Outstanding Shares and Voting Rights" and "Stock Ownership of Executive Officers, Director and Nominees" of the Company's definitive Proxy Statement to be filed with the Securities and Exchange Commission on or about December 15, 2009.
Item 13. Certain Relationships and Related Transactions, and Director Independence
The Company incorporates herein by reference the information required by this item appearing under the captions "Corporate Governance and Board of Director Matters" and "Certain Relationships and Related Transactions" of the Company's definitive Proxy Statement to be filed with the Securities and Exchange Commission on or about December 15, 2009.
Item 14. Principal Accounting Fees and Services
The Company incorporates herein by reference the information required by this item appearing under the caption "Principal Accounting Fees and Services" of the Company's definitive Proxy Statement to be filed with the Securities and Exchange Commission on or about December 15, 2009.
PART IV
Item 15. Exhibits, Financial Statement Schedules
(a) (1) Financial Statements:
The following Consolidated Financial Statements; Notes to the Consolidated Financial Statements and the Reports of Independent Registered Public Accounting Firm are included in Item 8.
Report of Independent Registered Public Accounting Firm
Consolidated Statements of Operations for the Years Ended September 30, 2009, 2008 and 2007
Consolidated Balance Sheets - September 30, 2009 and 2008
Consolidated Statements of Cash Flows for the Years Ended September 30, 2009, 2008 and 2007
Consolidated Statements of Shareholders' Equity for the Years Ended September 30, 2009, 2008 and 2007
Notes to Consolidated Financial Statements - September 30, 2009, 2008 and 2007
(a) (2) Financial Statement Schedules:
The following financial statement schedule is included in Item 8:
Schedule II – Valuation and Qualifying Accounts
All other schedules for which provision is made in the applicable accounting regulations of the Securities and Exchange Commission are not required under the related regulations, are inapplicable, or the information has been included in the Notes to the Consolidated Financial Statements.
(a)(3) Exhibits:
The following exhibits are filed with this report or are incorporated herein by reference to a prior filing in accordance with Rule 12b-32 under the Securities and Exchange Act of 1934. (Asterisk denotes exhibits filed with this report)
Exhibit
No.
Description
3.1 Third Amended Articles of Incorporation of SIFCO Industries, Inc., filed as Exhibit 3(a) of the Company's Form 10-Q dated March 31, 2002, and incorporated herein by reference
3.2 SIFCO Industries, Inc. Amended and Restated Code of Regulations dated January 29, 2002, filed as Exhibit 3(b) of the Company's Form 10-Q dated March 31, 2002, and incorporated herein by reference
4.1 Amended and Restated Credit Agreement Between SIFCO Industries, Inc. and National City Bank dated April 30, 2002, filed as Exhibit 4(b) of the Company's Form 10-Q dated March 31, 2002, and incorporated herein by reference
Exhibit
No.
Description
4.2 Consolidated Amendment No. 1 to Amended and Restated Credit Agreement, Amended and Restated Reimbursement Agreement and Promissory Note dated November 26, 2002 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.5 of the Company's Form 10-K dated September 30, 2002, and incorporated herein by reference
4.3 Consolidated Amendment No. 2 to Amended and Restated Credit Agreement, Amended and Restated Reimbursement Agreement and Promissory Note dated February 13, 2003 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.6 of the Company's Form 10-Q dated December 31, 2002, and incorporated herein by reference
4.4 Consolidated Amendment No. 3 to Amended and Restated Credit Agreement, Amended and Restated Reimbursement Agreement and Promissory Note dated May 13, 2003 between SIFCO Industries Inc. and National City Bank, filed as Exhibit 4.7 of the Company's Form 10-Q dated March 31, 2003, and incorporated herein by reference
4.5 Consolidated Amendment No. 4 to Amended and Restated Credit Agreement, Amended and Restated Reimbursement Agreement and Promissory Note dated July 28, 2003 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.8 of the Company's Form 10-Q dated June 30, 2003, and incorporated herein by reference
4.6 Consolidated Amendment No. 5 to Amended and Restated Credit Agreement, Amended and Restated Reimbursement Agreement and Promissory Note dated November 26, 2003 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.9 of the Company's Form 10-K dated September 30, 2003, and incorporated herein by reference
4.7 Amendment No. 6 to Amended and Restated Credit Agreement dated March 31, 2004 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.10 of the Company's Form 10-Q dated March 31, 2004, and incorporated herein by reference
4.8 Consolidated Amendment No. 7 to Amended and Restated Credit Agreement, Amended and Restated Reimbursement Agreement and Promissory Note dated May 14, 2004 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.11 of the Company's Form 10-Q dated March 31, 2004, and incorporated herein by reference
4.9 Consolidated Amendment No. 8 to Amended and Restated Credit Agreement, Amended and Restated Reimbursement Agreement and Promissory Note effective June 30, 2004 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.12 of the Company's Form 10-Q dated June 30, 2004, and incorporated herein by reference
4.10 Consolidated Amendment No. 9 to Amended and Restated Credit Agreement, Amended and Restated Reimbursement Agreement and Promissory Note effective November 12, 2004 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.13 to the Company's Form 10-K dated September 30, 2004, and incorporated herein by reference
4.11 Amendment No. 10 to Amended and Restated Credit Agreement dated as of February 4, 2005 but effective as of December 31, 2004 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.14 to the Company's Form 10-Q dated December 31, 2004, and incorporated herein by reference
4.12 Amendment No. 11 to Amended and Restated Credit Agreement dated May 19, 2005 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.15 to the Company's Form 10-Q/A dated March 31, 2005, and incorporated herein by reference
4.13 Amendment No. 12 to Amended and Restated Credit Agreement dated August 10, 2005 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.16 to the Company's Form 10-Q dated June 30, 2005, and incorporated herein by reference
4.14 Amendment No. 13 to Amended and Restated Credit Agreement dated November 23, 2005 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.19 to the Company's Form 10-K dated September 30, 2005, and incorporated herein by reference
Exhibit
No.
Description
4.15 Amendment No. 14 to Amended and Restated Credit Agreement dated February 10, 2006 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.20 to the Company's Form 10-Q dated December 31, 2005, and incorporated herein by reference
4.16 Amendment No. 15 to Amended and Restated Credit Agreement dated August 14, 2006 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.21 to the Company's Form 10-Q dated June 30, 2006, and incorporated herein by reference
4.17 Amendment No. 16 to Amended and Restated Credit Agreement dated November 29, 2006 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.22 to Company's Form 10-K dated September 30, 2006, and incorporated herein by reference.
4.18 Amendment No. 17 to Amended and Restated Credit Agreement dated February 5, 2007 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.23 to the Company's Form 10-Q dated December 31, 2006 and incorporated herein by reference
4.19 Amendment No. 18 to Amended and Restated Credit Agreement dated May 10, 2007 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.24 to the Company's Form 10-Q dated March 31, 2007 and incorporated herein by reference
4.20 Amendment No. 19 to Amended and Restated Credit Agreement dated February 8, 2008 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.20 to the Company's Form 10-Q dated December 31, 2007 and incorporated herein by reference
4.21 Amendment No. 20 to Amended and Restated Credit Agreement dated December 12, 2008 between SIFCO Industries, Inc. and National City Bank, filed as Exhibit 4.21 to the Company's Form 10-K dated September 30, 2008
9.1 Voting Trust Agreement dated January 30, 2007, filed as Exhibit 9.3 of the Company's Form 10-Q dated December 31, 2006, and incorporated herein by reference
10.2 SIFCO Industries, Inc. 1998 Long-term Incentive Plan, filed as Exhibit 10.3 of the Company's Form 10-Q dated June 30, 2004, and incorporated herein by reference
10.3 SIFCO Industries, Inc. 1995 Stock Option Plan, filed as Exhibit 10(d) of the Company's Form 10-Q dated March 31, 2002, and incorporated herein by reference
10.4 Change in Control Severance Agreement between the Company and Frank Cappello, dated September 28, 2000, filed as Exhibit 10(g) of the Company's Form 10-Q/A dated December 31, 2000, and incorporated herein by reference
10.5 Change in Control Severance Agreement between the Company and Remigijus Belzinskas, dated September 28, 2000, filed as Exhibit 10(i) of the Company's Form 10-Q/A dated December 31, 2000, and incorporated herein by reference
10.6 Separation Pay Agreement between Frank A. Cappello and SIFCO Industries, Inc. dated December 16, 2005, filed as Exhibit 10.14 of the Company's Form 10-K dated September 30, 2005, and incorporated herein by reference
10.7 Agreement for the Purchase of the Assets of the Large Aerospace Business of SIFCO Turbine Components Limited dated March 16, 2006 between SIFCO Turbine Components Limited, SIFCO Industries, Inc, and SR Technics Airfoil Services Limited, as amended on April 19, 2006, May 2, 2006, May 5, 2006, May 9, 2006, and May 10, 2006, filed as Exhibit 10.15 of the Company's Form 10-Q dated March 31, 2006, and incorporated herein by reference
10.8 Separation Agreement and Release Without Prejudice between the Company and Timothy V. Crean, dated November 28, 2006 filed as Exhibit 99.1 of the Company's Form 8-K dated November 30, 2006, and incorporated herein by reference
Exhibit
No.
Description
10.9 Amendment No. 1 to Change in Control Severance Agreement between the Company and Frank Cappello, dated February 5, 2007, filed as Exhibit 10.17 of the Company's Form 10-Q dated December 31, 2006 and incorporated herein by reference
10.10 Amendment No. 1 to Change in Control Severance Agreement between the Company and Remigijus Belzinskas, dated February 5, 2007, filed as Exhibit 10.18 of the Company's Form 10-Q dated December 31, 2006 and incorporated herein by reference
10.11 Business Purchase Agreement dated as of May 7, 2007 between PAS Technologies Inc. (Parent), PAS Turbines Ireland Limited (Buyer), SIFCO Industries Inc. (Shareholder), and SIFCO Turbine Components Limited (Company), filed as Exhibit 10.19 of the Company's Form 10-Q dated June 30, 2007 and incorporated herein by reference
10.12 SIFCO Industries, Inc. 2007 Long-Term Incentive Plan, filed as Exhibit A of the Company's Proxy and Notice of 2008 Annual Meeting to Shareholders dated December 14, 2007, and incorporated herein by reference
10.13 Letter Agreement between the Company and Jeffrey P. Gotschall, dated August 12, 2009 filed as Exhibit 10.1 of the Company's Form 8-K dated August 12, 2009, and incorporated herein by reference
*10.14 Interim Chief Executive Officer Agreement, dated as of August 31, 2009, by and among SIFCO Industries, Inc., Aviation Component Solutions and Michael S. Lipscomb
14.1 Code of Ethics, filed as Exhibit 14.1 of the Company's Form 10-K dated September 30, 2003, and incorporated herein by reference
*21.1 Subsidiaries of Company
*23.1 Consent of Independent Registered Public Accounting Firm
*31.1 Certification of Chief Executive Officer pursuant to Rule 13a-14(a) / 15d-14(a)
*31.2 Certification of Chief Financial Officer pursuant to Rule 13a-14(a) / 15d-14(a)
*32 Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. Section 1350
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
SIFCO Industries, Inc.
By: /s/ Frank A. Cappello
Frank A. Cappello
Vice President-Finance and
Chief Financial Officer
(Principal Financial Officer)
Date: December 15, 2009
Pursuant to the requirements of the Securities Exchange Act of 1934, this Annual Report has been signed below on December 15, 2009 by the following persons on behalf of the Registrant in the capacities indicated.
/s/ Jeffrey P. Gotschall
/s/ Michael S. Lipscomb
Jeffrey P. Gotschall
Chairman of the Board
Michael S. Lipscomb
President and Chief Executive Officer
(Principal Executive Officer)
/s/ Alayne L. Reitman
/s/ P. Charles Miller
Alayne L. Reitman
P. Charles Miller
Director
Director
/s/ Hudson D. Smith
/s/ J. Douglas Whelan
Hudson D. Smith
J. Douglas Whelan
Director
Director
/s/ Frank N. Nichols
/s/ Frank A. Cappello
Frank N. Nichols
Frank A. Cappello
Director
Vice President-Finance
and Chief Financial Officer (Principal Financial Officer)
/s/ Remigijus H. Belzinskas
Remigijus H. Belzinskas
Corporate Controller
(Principal Accounting Officer)
[This Page Intentionally Left Blank]
DIRECTORS
Jeffrey P. Gotschall
Chairman of the Board
Frank N. Nichols Retired Group Vice President, Parker Hannifin Corporation Aerospace Group
P. Charles Miller, Jr.
Chairman of the Board,
Chief Executive Officer,
Duramax Marine LLC
Alayne L. Reitman Formerly Vice President – Finance and Chief Financial Officer, The Tranzonic Companies, Inc.
Hudson D. Smith President Forged Aerospace Sales, LLC
J. Douglas Whelan Retired President and Chief Operating Officer, Wyman-Gordon Company
OFFICERS
Michael S. Lipscomb President and Chief Executive Officer
Frank A. Cappello
Vice President - Finance and
Chief Financial Officer
Remigijus H. Belzinskas Corporate Controller
SHAREHOLDER INFORMATION
AUDITORS
Grant Thornton LLP Certified Public Accountants 800 Halle Building 1228 Euclid Avenue Cleveland, Ohio 44115
GENERAL COUNSEL
Squire, Sanders & Dempsey L.L.P. 4900 Key Tower 127 Public Square Cleveland, Ohio 44114-1304
COMPANY INFORMATION
Included with this Annual Report is a copy of SIFCO Industries, Inc.'s Form 10-K filed with the Securities and Exchange Commission for the year ended September 30, 2009. Additional copies of the Company's Form 10-K and other information are available to shareholders upon written request to:
Investor Relations SIFCO Industries, Inc. 970 East 64 th Street Cleveland, Ohio 44103
We also invite you to visit our website: www.sifco.com.
ANNUAL MEETING
The annual meeting of shareholders of SIFCO Industries, Inc. will be held at National City Bank, East Ninth Street and Euclid Avenue, Cleveland, Ohio, at 10:30 a.m. on January 26, 2010.
Phone: (216) 881-8600 Fax: (216) 432-6281
|
BY-LAWS AND RULES OF PROCEDURE OF THE OTTAWA REGIONAL PLANNING COMMISSION
AS
ADOPTED ON AUGUST 18, 1964
AND
SUBSEQUENTLY AMDNDED:
January, 1967
November, 1970
April, 1971
March, 1972
November, 1976
May, 1978
March, 1982
May, 1985
December, 1992
October, 1997
June, 2000
February, 2014
The Ottawa Regional Planning Commission 315 Madison Street, Room 107, Port Clinton, Ohio 43452
Table of Contents
PREAMBLE
By virtue of the adoption of a Resolution of Cooperation by the Board of County Commissioners of Ottawa County, Ohio, and by the planning commissions and legislative bodies of the municipalities and townships within Ottawa County, Ohio, there has been created a Regional Planning Commission vested with powers given to regional planning commissions under the laws of the State of Ohio, particularly Revised Code, "R.C," 713.21 et seq. Subject to the provisions of all applicable statutes, and in order to carry out the duties and functions of the Regional Planning Commission vested in it by virtue of the Resolution of Cooperation and the statutes of the State of Ohio, particularly R.C. 713.23, it hereby is determined to be necessary and desirable that the following By-laws be adopted.
In 2014 these by-laws underwent a comprehensive revision. Dates of revision for sections of these by-laws are not included within each section, except for Sections VII and XII where such references are included. Sections VII and XII were not revised in 2014. As a result, the names of certain entities may differ in these sections from the remainder of these by-laws (i.e., the Ottawa Regional Planning Commission will be referred to as the Commission throughout these by-laws, except in Section XII where it is called the Regional Planning Commission).
SECTION I – NAME
The name of the Commission shall be the "Ottawa Regional Planning Commission" hereafter referred to as "the Commission."
SECTION II – REGION
The region for which the Commission shall be created and maintained is all of Ottawa County, Ohio, and adjoining counties or parts thereof, and municipalities located in said county, and adjoining counties, or parts thereof exclusive of any territory within the limits of a municipal corporation not having a planning commission, hereafter referred to as "the Region."
SECTION III – MEMBERSHIP
The Commission shall consist of the following members:
A. Ottawa County Officials and Other County Officials; hereafter referred to as "county officials."
1. Each of the following officials of Ottawa County and any cooperating county officials shall serve on the Commission during his/her tenure in office:
a. County commissioners
b. County engineer
c. County health commissioner
d. County extension agent – agriculture
e. County sanitary engineer
f. County superintendent of schools
2. Each county official (except the county commissioners) shall designate a staff assistant (or citizen member of an associated committee) as an alternate, hereafter referred to as "Alternate County Official Member."
3. In the event that any county official position (other than the county commissioners) is unfilled, then the Alternate County Official Member shall serve on the Commission as a regular member and shall designate an alternate, until said position is filled. In such an event, the Alternate County Official Member shall have the same rights and privileges of the county official.
4. If a county official or regular member pursuant to Section III (A)(3), and not including the county commissioners, is absent from any Commission meeting then the Alternate County Official Member shall represent said official. In such an event, the Alternate County Official Member shall have the same rights and privileges of the county official.
B. Municipal Members
1. The mayor of each municipal corporation having adopted a resolution of cooperation with the Commission shall appoint representative(s), hereafter referred to as "Municipal Member(s)," and alternate(s), hereafter referred to as "Alternate Municipal Member(s)," to the Commission. The municipal corporation's legislative body shall approve these appointments for such term as the municipal corporation's mayor, planning commission or legislative body elect.
2. Each municipal corporation shall be entitled to one Municipal Member for every 5,000 population (according to the latest Federal Census) with no more than three Municipal Members representing a municipal corporation.
3. If a Municipal Member is absent from any Commission meeting then the Alternate Municipal Member shall represent said Municipal Member. In such an event, the Alternate Municipal Member shall have the same rights and privileges of the Municipal Member.
C. Township Members
1. The board of township trustees of each township having adopted a resolution of cooperation with the Commission shall appoint a representative, hereafter referred to as "Township Member," and an alternate, hereafter referred to as "Alternate Township Member," for such term as the board of township trustees elect.
2. If a Township Member is absent from any Commission meeting then the Alternate Township Member shall represent said Township Member. In such an event, the Alternate Township Member shall have the same rights and privileges as the Township Member.
D. Citizen Members
1. The Ottawa County Board of Commissioners, hereafter referred to as "Ottawa County Commissioners," shall appoint nine resident citizens of Ottawa County, hereafter referred to as "Citizen Members," for a three year term commencing on the 1 st day of January. The terms shall be arranged so that the terms of three members will expire each year, except that in the first year two members' terms will expire.
2. Citizen Members shall represent from among the following areas:
a. Agriculture
j. Transportation - trucking
b. Banking and finance
c. Industry
d. Labor
e. Law
f. Public utilities
g. Education
h. Religion
E. Government Official Members
1. The Commission may appoint by resolution of the executive committee various other officials, hereafter referred to as "Government Official Members," from the state of Ohio, and federal government having authority over Ottawa County (or any cooperating county or similar official governmental body).
2. These Government Official Members will function as full voting members, eligible to serve as executive officers and other officers of the Commission subject to the provisions set forth in Section III and Section V.
k. Real estate
l. Insurance
m. Commercial
n. Recreational
o. Chamber of commerce
p. Retail merchandising
F. Non-Voting Members
1. Ex-Officio Members
a. Representatives of municipalities and townships which have not adopted a resolution of cooperation with the Commission, hereafter referred to as "Ex Officio Members," and alternates selected for said members, hereafter referred to as "Alternate Ex Officio Members," shall have the rights and privileges of other Commission members, except they may not vote.
b. Ex-Officio Members shall be designated as set out in Section III (B) and (C).
2. Other Non-Voting Members
The Commission may appoint by resolution of the executive committee representatives, hereafter referred to as "Other Non-Voting Members," who would meet the definition of Government Official Members except their agency prohibits them voting in the Commission. Other Non-Voting Members shall function as do all other Commission members, except they may not vote.
G. Vacancies – Manner of Reappointment
1. Any Commission member vacancy shall be filled for the unexpired term in the same manner in which said member was originally appointed, except as provided under Section III (A)(3).
2. Where not prohibited by Ohio law, the Commission, by majority vote, may dismiss from the Commission any member who is absent for three consecutive executive, regular or special meetings, and that person shall not be counted in the numerical requirements of a quorum. A successor for said member shall be appointed in the same manner as provided in the Section III (G)(1). An absence excused by the Director (from a regular commission meeting) or the President (from any meeting) shall not count as an absence under this section.
3. If the Commission dismisses any member for nonattendance, the Commission Secretary, hereafter referred to as "Secretary," shall notify the participating body of their member's dismissal, and request a reappointment of a new member.
SECTION IV – POWERS AND DUTIES OF THE COMMISSION
The Commission shall have all powers and duties now or hereafter provided by law for regional planning commissions, which include but are not limited to the following:
A. Land Regulation
1. The Commission shall regulate and control the subdivision of land in the unincorporated areas of Ottawa County.
2. The Commission shall adopt general rules, of uniform application, governing plats and subdivisions of land falling within its jurisdiction. These rules shall be called the Ottawa County Subdivision Regulations.
3. The Commission shall provide for a continuing public educational program on planning, and provide personnel to attend meetings for this purpose.
B. Planning
1. The Commission shall have the power and duty to make plans and maps of the region showing the Commission's recommendations for systems of transportation, highways, parks and recreational facilities, water supply, sewerage and sewage disposal, garbage disposal, civic centers and other public improvements which affect the development of the region as a whole, or more than one public improvement which affect the development of the region as a whole, or more than one political subdivision within the region, and in cooperation with the municipal planning commission, which begin and terminate within the boundaries of a single municipality.
2. The Commission may supplement or abolish the maps and plans identified in Section IV(B)(1) at a regular Commission meeting or at an executive committee meeting. And, no maps or plans that begin and terminate within the boundaries of a single municipality may be adopted, changed, supplemented, or abolished without the cooperation of the planning commission of the affected municipality.
3. The Commission may, upon request, undertake for the planning commission of any cooperating municipality, or other political subdivision, the study, planning, mapping, and other report upon public improvements, or the use of land within the boundaries of such political subdivision. Any study, planning, mapping, or other report so undertaken shall be advisory only and subject to adoption of the planning commission involved. In cases where extensive work is involved which necessitates an additional charge to the municipality or other political subdivision; the amount and manner of payment shall be agreed upon, in writing, prior to commencing such work, between the executive committee and the Commission and the planning commission and legislative authority of such municipality or other political subdivision. See, Section IX(D).
SECTION V – OFFICERS AND COMMITTEES OF THE COMMISSION
A. Commission Officers
1. Executive Officers
a. The Commission shall have the following executive officers: President, First Vice President, and Second Vice President.
b. The Commission shall elect executive officers at the December regular Commission meeting. Executive officers shall assume office at the proceeding January regular commission meeting.
c. Executive officers shall hold office until the last regular meeting of the year they assume office, and until their successors are elected. Executive officers shall be members of the Commission.
2. Other Officers
a. The executive committee shall appoint a secretary who may be a member, or the director of the Commission, hereafter referred to as the "Director."
b. The Commission or the executive committee may appoint or elect such other officers as it deems necessary. These officers shall have the authority and duties assigned to them by the executive committee or the Commission.
3. Nominating Officers
a. The president shall appoint a nominating committee each year on or before the November regular commission meeting. The nominating committee shall consist of five members, with each of the following represented: Ottawa County Commissioners, Municipal Members, Township Members, and Citizen Members.
b. The nominating committee shall prepare a list of nominations selected from among Commission members for its executive officers. This list shall be mailed to each Commission member at least seven days before the December meeting.
c. Any five Commission members may petition for additional nominations. The petition shall be signed by at least five Commission members, and shall be received by the Secretary at least one day before the December meeting.
4. Office Vacancy
The Commission shall nominate and elect a successor to hold office for the unexpired term of any executive office that becomes vacant for any reason. The nominations and election shall occur at the first regular Commission meeting after the vacancy occurs. Nominations shall come from Commission members present at that meeting. The nominee receiving the most votes cast shall be elected.
5. Duties of Executive Officers
a. The President
The President shall preside at all Commission and executive committee meetings, and shall be, ex officio, a member of all standing committees. The President shall sign all written contracts and obligations of the Commission, except to the extent otherwise provided herein. The President shall perform all duties incident to the office, and such other duties the Commission or executive committee may require.
b. The Vice Presidents
i. The First Vice President shall perform all duties of the president in case of his absence or disability. The Second Vice President shall perform all duties of the first vice president in case of his absence or disability. The vice presidents shall perform all duties the Commission or executive committee request of them.
ii. If the President and Vice Presidents are absent or unable to perform their duties then the executive committee shall appoint a president pro tempore. Any vacant executive committee member office shall be refilled as provided in Section V (A)(4).
c. The Secretary
The Secretary shall keep or supervise the keeping of the minutes for all Commission and executive committee meetings. The Secretary shall also perform any additional duties the Commission or executive committee may require.
B. Committees
1. Executive Committee
a. Membership
The Commission shall have an executive committee. Membership of the executive committee shall consist of the President, First Vice President, Second Vice President, Secretary, Immediate Past President, one county commissioner from each participating county, and one other commission member. Townships, villages, and citizen members should all be represented on the executive committee whenever possible.
b. Term of Service
i. Each executive committee member shall serve from the first regular Commission meeting of the year until the last regular commission meeting of the year or until a successor is chosen.
ii. The president shall fill any executive committee member vacancy for the unexpired term of his predecessor. The Commission shall confirm any such appointment by a majority of Commission members present at the next regular commission meeting following the vacancy.
c. Powers of Executive Committee
The executive committee shall have all powers and duties provided by law, these by-laws, and subject to review by the entire Commission.
d. Adoption of Maps and Plans
i. When the executive committee adopts, changes, supplements or abolishes any map or plan (as provided under R.C. 713.23 et seq.) then a copy thereof shall be mailed or delivered in person to each Commission member. The Secretary shall make a written record of each mailing or delivery.
ii. Within 10 days of any mailing or delivery required under Section V (B)(1)(d)(i), any Commission member may serve written demand on the Secretary for a special Commission meeting to review any executive committee action taken under said section. The Secretary shall then call a special Commission meeting not more than 15 days after receipt of such demand.
iii. At a special meeting provided under Section V (B)(1)(d)(ii), a majority of Commission members constituting a quorum, or a unanimous number of Commission members present if there is no quorum, may vote to modify or disprove any action taken by the executive committee provided by Section V (B)(1)(d)(i). If there is no such modification or disapproval then such action of the executive committee shall stand as that of the Commission.
e. Dismissal
The Commission may dismiss by majority vote from the executive committee any executive committee member who is absent for three consecutive executive, regular, or special meetings, and that person shall not be counted in the numerical requirements of a quorum. A successor of said member shall be appointed in the same way as provided in Section V (A)(3). An absence excused by the Director (from a regular commission meeting) or the President (from any meeting) shall not count as an absence under this section.
2. Special Committee
a. Membership and Duties
Only the President may appoint special committees of the Commission. Special committees shall report to the Commission members their findings as needed.
b. Reports
The President may require special committee written reports be submitted to the executive committee prior to Commission action.
SECTION VI – MEETING OF THE COMMISION AND ITS COMMITTEES
A. Meetings of the Commission
1. Regular Meetings
The Commission shall hold at least four regular meetings in each calendar year. The Commission shall hold a regular meeting in November, December, and January, and such other regular meetings as it may by rule provide. Regular meetings are to be conducted according to generally accepted parliamentary procedures.
2. Special Meetings
The president or any three commission members may call special meetings for any purpose. A special meeting shall be called for the purpose of review in the manner above provided in Section V, Article B, Part 1 (d).
3. Notification
The Secretary shall mail, electronically transmit, or deliver written notice of each regular or special meeting to each Commission member not more than ten (10) days, nor less than seven (7) days, before such meeting. Notices of any special meeting shall state the purpose for which such meeting is called.
B. Meetings of the Executive Committee
The executive committee shall meet as needed. Such meetings are to be conducted according to generally accepted parliamentary procedure.
C. Quorum
1. A quorum for a regular Commission meeting shall be 25 percent of all Commission members. A quorum for an executive committee meeting shall be 50 percent of all executive members.
2. Any meeting may be adjourned by a majority vote of those present, and a quorum is not necessary.
3. Where a quorum is not present at a regular meeting or executive meeting, the President, First Vice President or Second Vice President, may deem a matter an emergency necessitating immediate action. If this occurs, then so long as those present represent a majority of the quorum, a unanimous vote of those present (inclusive of the presiding officer) shall be an action of the Commission or executive committee.
SECTION VII – FINANCIAL PROVISIONS
A. Apportionment of Costs
The cost of maintaining the Regional Planning Commission shall be apportioned in the following manner:
1. Each municipality and township, zoned or unzoned, choosing to cooperate herein shall contribute in each fiscal year fifty cents ($.50) per capita of its population, according to the latest Federal Census or a minimum of three hundred dollars ($300.00) whichever is greater. In the event that a municipality is part of a township, the township shall make payment for the area outside of the municipality. Such contribution shall be paid the first part of each fiscal year, upon receiving a bill from the Commission. This rate shall remain in effect until the year 2004. (Amended October 21, 1997) (Amended June 20, 2000)
2. The Regional Planning Commission may accept, receive, and expend funds, grants, and services from the Federal Government or its agencies, from departments, agencies and instrumentality of state or local government, or from civil sources, and contract with respect thereto, and provide such information and reports as may be necessary to secure such financial aid.
3. The remainder of such cost shall be paid by the Board of County Commissioners of the cooperating counties as follows:
a. The Board of County Commissioners of Ottawa County will provide at least fifty cents ($.50) per capita of the total county population for planning purposes, payable in January of each year. (Amended October 21, 1997) (Amended June 20, 2000)
b. The Board of County Commissioners of any other cooperating county will provide at least fifty cents ($.50) per capita of the population according to the latest Census of the participating political subdivision in each calendar year for planning purposes, payable in January of each year. (Amended October 21, 1997) (Amended June 20, 2000)
4. Provisions of this section may be made to the Ottawa County Treasurer. A special fund shall be created for the Regional Planning Commission under the provisions provided by state law; this fund shall be accumulative in the Treasury of Ottawa County.
5. Any municipality or township choosing not to participate in the Commission will not have access to any of the services available from the Commission until such time as their membership assessment is paid in full for the current fiscal year or portion thereof.
B. Appropriations
The Commission shall submit appropriation requests to the Board of County Commissioners by December of each year. Said appropriations when set by the Board of County Commissioners may be modified or supplemented as needed, but shall at no time exceed the total amount received or due from authorized sources. (Amended May 21, 1985)
C. Expenditures
1. All disbursements of the Regional Planning Commission shall be by purchase order and voucher drawn on the Auditor of Ottawa County. (Amended May 21, 1985)
2. All expenditures, disbursements, or commitments or contracts for expenditures of disbursements, in an amount over five hundred dollars ($500.00) shall be authorized jointly by the President, or in his absence by one of the Vice Presidents, and the Director or in his absence by his Assistant, if he should have one. (Amended October 21, 1997)
3. Expenditures, disbursements, or commitments, or contracts for expenditures or disbursements in an amount of five hundred dollars ($500.00) or less shall be authorized by the Director or in his absence his Assistant, or the President or in his absence one of the Vice Presidents, provided no one shall approve payments to himself. (Amended October 21, 1997)
4. Cash Fund for Minor Disbursement – A Cash Fund of not more than thirty dollars ($30.00) shall be established for the purpose of minor expenditures of the Commission and for the making of change for individuals paying bills with cash. The Cash Fund disbursement receipts will be maintained until twentyfive dollars ($25.00) is expended at which time another twenty-five ($25.00) will be drawn by voucher from the Planning Commission Fund.
SECTION VIII – CERTIFICATION AND ADOPTION OF PLAN
A. Certification to Local Communities
After the Commission makes the regional plan, or makes any change to it, the Commission shall certify a copy of said plan (or plan change) to the city or village planning commission of each municipality of the region, and to the Ottawa County Commissioners.
B. Adoption by Local Communities – Effect
The planning commission of any municipality may adopt any plan (or plan change) which has been certified to it, as identified in Section VIII (A). The resulting plan or change shall have the same force and effect within the municipality as provided by law or charter for plans prepared and adopted by the municipal planning commission. The Ottawa County Commissioners may adopt
any plan (or plan change) as it relates to the non-municipal territory within their jurisdiction.
C. Effect in Communities Not Adopting
The regional plan, or any changes to it, shall have no effect in any municipality unless adopted by its planning commission. In any non-municipal territory the regional plan or changes to it shall have no effect unless adopted by the Ottawa County Commissioners.
D. Filing with County Recorder
Once the municipal planning commission or the Ottawa County Commissioners make an adoption pursuant to Section VIII (B) and (C) then said plan, or plan change, shall be certified to the Commission and filed with the Ottawa County Recorder as provided by law.
SECTION IX – COMMUNITY PLANNING SERVICES
A. Membership Privileges
Any city, village, township or county that is a Commission member shall, without additional contribution be entitled to the following:
1. Representation and participation by representatives of its own choosing in discussions and decisions regarding planning of regional or local interest at all Commission meetings.
2. Representation on special committees authorized or appointed to study special problems, wherein the area involved includes some parts or all of the territory of such member.
3. A review and report regarding any preliminary plan of a subdivision of a limited area, as determined by the Director, filed with the municipality in which a subdivision is proposed.
4. Consultation by local planning officers with staff members of the Commission on minor or special planning problems.
5. The attendance by a Commission staff member, as determined by the Director, at meetings of the planning commission or legislative body, to render advice and assistance on specific local planning matters.
6. The use of the Commission library.
B. Agreement for Community Planning Service
1. If the planning commission of any municipal Commission member, or the zoning commission of any other Ottawa County political subdivision, requests any of the following services, the Director may accept:
a. Services outlined in Section IX (A);
b. Studying, planning, mapping, or reporting of public improvements; or,
c. Use of development of land within the boundaries of such municipality or political subdivision.
2. If an additional charge is necessary for any work outlined in Section VIII (B) (1) then prior to commencement of any work a written agreement must be entered into pursuant to Section IV (B) and Section IX (D).
C. Fees
When additional charges for services listed in Section IX (B) are necessary such charges shall be based on the following factors:
1. Cost of Commission staff time;
2. Materials;
3. Travel;
4. Percentage of the Commission's total current budget committed to overhead expenses; and,
5. Percent of budget contributed by the political subdivisions requesting services.
D. Procedure for Agreements
If additional charges for services are necessary, service agreements between the Commission and the municipality or political subdivision shall be consummated on the following:
1. Resolution of the planning commission of member municipality, or township zoning commission of the member municipality or township, requesting the services of the Commission;
2. Resolution by the legislative body of such municipality or political subdivision with a corresponding appropriation of the funds necessary to cover the cost of the services to be provided during the current year (and followed by any supplemental appropriations in succeeding years); and,
3. Resolution by the executive committee of the Commission authorizing the Director to proceed with such work pursuant to the request made by the municipality or political subdivision.
E. Reports on Progress on Community Planning
At each regular Commission meeting, the Director shall report on any community planning then in progress or under consideration.
SECTION X – STAFF PERSONNEL
The Commission shall employ a director to head its staff, fix his compensation and term of employment upon the recommendation of the executive committee. The Commission's staff shall also function as the planning staff for cooperating municipalities and townships. The amount of special planning work to be done for any municipality or township shall be governed by the provisions of Section IX above. The director and other Commission employees shall have the following qualifications, duties, responsibilities, and privileges and shall be subject to the same personnel policies as adopted by the Ottawa County Commissioners for "General Fund" employees except as noted herein.
DIRECTOR
Appointment:
The Commission upon recommendation of executive committee.
Salary:
Set by the Commission.
Qualifications:
The position of director shall be filled by a person having these minimum qualifications:
1. A Masters Degree from a recognized institution in planning, architecture, geography, landscape architecture, engineering, law, business administration, or related fields, or
2. A Bachelors Degree from a recognized institution in planning, architecture, geography, landscape architect, engineering, law, business administration, or related fields with experience in the field of planning deemed desirable but not essential.
Job Description:
Duties –
The director shall have charge of and manage the active business operations of the Commission; shall superintend and control the work to be done by its employees, and sign all reports and recommendations of the Commission, under the direction of the Commission or the executive committee, and shall keep active accounts of all property passing through its hands, and shall do and perform all other duties incident to his office, and such other duties as may from time to time be assigned to or requested of him by the Commission, the executive committee, or the executive officers.
Evaluation:
The executive committee shall conduct an informal evaluation of the director at every December Commission meeting.
ASSISTANT DIRECTOR/PLANNER
Appointment:
Regional Planning Commission upon joint recommendation of executive committee and director.
Salary:
Set by the Commission.
Qualifications:
A Masters Degree or a Bachelor of Science Degree in planning or related field with experience deemed desirable.
Job Description:
Assigns and updates rural house numbering system for the county.
Aids director in the review and recommendations for subdivision plat proposals and zoning case referrals.
Research and development of plans as designated by director.
Other duties as assigned by the director.
Participation at meetings the director is unable to attend, along with helping the general public as needed.
SECRETARY
Appointment:
Hired by the director, subject to approval by the Commission at their next regular meeting.
Salary:
Set by the Commission.
Qualifications:
Job Duties:
The ability to type in excess of fifty words per minute and have a general knowledge of bookkeeping skills and office equipment.
Typing of all reports and correspondence for the office.
Ability to meet and talk to the general public and be courteous toward them.
Taking the minutes at the monthly meeting of the Commission.
Submitting the purchase orders and vouchers for salaries and bills, making deposits or money and checks and keeping the budget up to date.
Mailing out statements for services provided by the Commission.
Driving to different county offices to submit and pick up necessary documents.
Other duties as assigned by the director.
PLANNER INTERNSHIP
Appointment:
Hired by director.
Salary:
Set by the Commission.
Qualifications:
College student in planning or related field.
Duties:
As assigned by the director.
DRAFTSMAN – PART TIME
Appointment:
Hired by director.
Salary:
Set by the Commission.
Qualifications:
High school student, technical.
Duties:
Office graphics, map preparation, house numbering.
Increases and Reclassifications
The director may after the approval of the Commission increase the wage of any person within any classification, or reclassify an employee and pay an appropriate wage within such new classification.
Unclassified Employees
No person shall be employed for a job or position with the Commission if not within any of the established job classifications or in excess of maximum established for any job classification without the prior approval of the executive committee.
Outside Employment
Employees of the Commission may do consulting work in a private capacity, provided that such employment shall be at a time other than that regularly required by the Commission. Employees will not undertake any outside employment that constitutes or has the appearance of constituting a conflict of interest. Outside employment with the potential of a conflict of interest shall be approved by the executive committee.
Travel Authorization and Compensation
In the event that it is necessary for one or more officers or employees of the Commission to travel outside the area of the Commission on Commission business, the following conditions shall apply:
1. All travel and expenses incurred including the type of travel outside the area shall be authorized by the director.
2. All employees shall be reimbursed for the normal use of their private cars on Commission business inside or outside the region at a rate established by the Board of County Commissioners.
SECTION XI – INCLUSION OF STATUTES AND SEVERANCE CLAUSE
A. All applicable statues of the State of Ohio are included in these By-Laws and Rules of Procedure and made a part thereof.
B. The invalidity of any section or provision of the Resolution of Cooperation or ByLaws and Rules of Procedure shall not invalidate any other section or portion thereof.
SECTION XII – WITHDRAWAL
In order to make it possible for the Regional Planning Commission to do its best to promote the general welfare and accomplish its principal objective of providing a desirable long range Comprehensive Development Plan for the region, it is of the utmost importance that municipal, township, and county officials keep in mind at all times that resolutions of cooperation creating the Commission were not agreed to without considerable thought and should, therefore, be considered as providing a desirable long term mutually beneficial working agreement. The Planning Commission of any cooperating township, or the Board of County Commissioners of any cooperating county may withdraw their cooperation hereunder if unsatisfied with the planning assistance provided by the Commission and no satisfactory arrangements can be made with the Commission to change this condition. To withdraw it is necessary that a resolution to that effect be adopted by the aforementioned Planning Commission or Boards, and that a certified copy thereof be delivered to the Secretary of the Regional Planning Commission. In the case of cooperating municipalities, such resolution shall be approved by the legislative body of said municipality before delivery to the Commission. Withdrawal shall be effective upon delivery of the withdrawal resolution to the Commission Secretary, but shall not relieve the withdrawing party of its obligation to contribute its share of the Commission's budget for the year in which the withdrawal occurs, nor shall it withdraw for that year the party's territory from the Region. (Amended October 21, 1997)
SECTION XIII - AMENDMENT
These by-laws shall be amended pursuant to the following procedure:
A. A resolution approving the form of such proposed amendment shall be adopted by the executive committee at least fifteen days in advance of the next regular Commission meeting, or a petition signed by at least five members setting forth the proposed amendment shall be delivered to the Secretary at least fifteen days in advance of the next regular Commission Meeting.
B. The Secretary shall thereafter, but not less than seven days prior to the next regular Commission meeting, forward to each member of the Commission a copy of such proposed amendment, together with a notice that it will be the subject of action at the next regular Commission meeting.
C. Such proposed amendment shall be presented at the next regular Commission meeting and be considered as moved and seconded for adoption. Such amendment shall be deemed adopted upon receiving the affirmative vote of a majority of the Commission members present at such meeting, if a quorum is present as provided in Section VII (C) of the ByLaws.
D. Sections XII and VII, in addition to steps A, B, C and D of this Section may be amended only after the proposed amendment has been approved by the Boards of County Commissioners of the region, and a majority of the participating municipalities, such action to be completed within six (6) months of the date of the approval of the proposed amendment by the Boards of County Commissioners of the cooperating counties.
SECTION XIV – RESOLUTION OF COOPERATION
RESOLUTION NO. ____ BY ________________________________________
To provide for cooperation with the County Commissioners of Ottawa County, Ohio, the County Commissioners of any cooperating county, Planning Commissions, Zoning Commissions and other county, municipal, and township officials in the region as defined in the By-Laws, in the maintenance and operation of Ottawa Regional Planning Commission, in accordance with said By-Laws and under the provisions of the laws of the State of Ohio, particularly Section 713.21 of the Revised Code:
BE IT RESOLVED BY--___________________________________________________ (Planning Commission, Council, or Board of Township Trustees) of (City, Village, or Township) ____________________________ Ottawa County, Ohio. Section I – Membership
That said ______________________________________________________________ (Planning Commission, Council, or Board of Township Trustees) does hereby pledge its cooperation with the Board of County Commissioners of Ottawa County, and the Planning Commissions, Zoning Commissions, and other county, municipal, and township officials of such other municipalities and townships in said County, or other County, as may from time to time adopt similar resolutions and cooperate in the maintenance and operation of the Ottawa Regional Planning Commission.
Section II – General Rules and Procedure and Operation
In compliance with and as part of this resolution, _______________________________ (Planning Commission, Council, or Board of Township Trustees)
of _____________________ also does agree to maintain its membership in said (City, Village, or Township) Commission in compliance with general terms of the Ottawa Regional Planning Commission’s adopted By-Laws and Rules of Procedure.
Section III – Time of Taking Effect
These terms of cooperation shall take effect immediately upon their adoption by the Planning Commission and the legislative body of said City, or Village; or adoption by the Board of Township Trustees of said Township, and certification by the Clerk of said City, Village, or Township. Upon receipt of a copy of the duly adopted resolutions, the Ottawa Regional Planning Commission shall include said City, Village, or Township as a full member of said Commission with all privileges and rights thereto.
(For Cities or Villages)
Adopted: _____________ Planning Commission of the City (or Village of)
(Date)
__________________________________, in Ottawa County, Ohio.
___________________________________________
Chairman
(For Cities, Villages, or Township)
Adopted: ___________________ Council of the City (or Village) (or Board of Township
(Date)
Trustees) of ______________________, in Ottawa County, Ohio.
_____________________
_____________________________________
Mayor
President of Council (or Chairman of Trustees)
(For Cities, Villages, or Townships)
Attest:
I, _____________________ Clerk of the (City, Village, or Township) of ______________ in Ottawa County, State of Ohio, hereby do certify that the foregoing Resolution No. __________ was duly and regularly adopted by the Council (or Trustees of) _________________________, in Ottawa County, Ohio, on the ____ day of _______, ____.
(Signed) ___________________________________
Clerk
A
INDEX
H
Subdivision ......................................................................... 8
superintendent of schools .................................................. 5
T
Township Member ............................................................. 6
Township Members ........................................................ 6, 9
Travel................................................................................ 17
V
Vacancies ............................................................................ 7
Vacancy ............................................................................ 10 vacant ............................................................................... 10
Vice Presidents ........................................................... 10, 15
|
EXHIBIT NO.1
CASE NO. INT-G-08-04
INTERMOUNTAIN GAS COMPANY
CURRNT TARFFS
Showing Proposed Price Changes
(6 pages)
Idaho PU~lìc Uìíiirìes Commission Office of the Secretary RECEIVED
OCT 27 2008
Boise, Idaho
COMPARSON OF PROPOSED DECEMBER 1, 2008 PRICES TO OCTOBER 1, 2008 PRICES
October 1, 2008
Proposed
(1) See Exhbit No.3, Page 1, Line 4, CoL. b
I.P.U.C. Gas Tariff
Second Revised Volume NO.1
(Supersedes First Revise Volume No.1)
.:... '.. Revised Fortieth Sheet No. 01 (Page 1 of 1)
Name . .
ofUlilit Intermountain Gas Company
Rate Schedule RS-1 RESIDENTIAL SERVICE
AVAILAILITY:
AvaiJable to individually metered consumers not otherwise specifically provided for, using natural gas tor resIdential purposes.
RATE:
Monthly minimum charge is the customer charge.
For biling periods ending Apil through November
Customer Charge - $2.50 per bil
Commodity Charge. $1.292:0 per therm" $1.18218
For billng periods ending December through March
Customer Charge - $6.50 per bil
Commodity ~harge - $1.11964 per therm* $1.06962
"Includes:
Temporary purchased gas cost adjusbnent of $(0.01215) Weighted average cost of gas of $0.78484 $0.67482
PURCHASED GAS COST ADJUSTMENT:
This tariff is subject to an adjustment for cost of purchased gas as provided for in the Company's Purchased Gas Cost Adjusbnent Provision.
SERVICE CONDITONS:
All natural gas service hereunder is subject to the General Service Provisions of the Company's Tariff, of which this rate schedule is a part.
! Issued by Intermountain Gas Company
By: Michael P. McGrath Title: Director - Gas Supply & Regulatory Affairs
Effective: OctebOf 1. 2008 December 1, 2008
Exhibit No. 1 Case No. INT -G-08-04 Intermountain Gas Company Page 2 of6
IDAHO PUBLIC UTILITIES COMMISSION
Approved Effective
Sepl39, 29980et.1, 2008
Per 0..1. 30649
Jean D. Jewell Secretary
Exhibit NO.1 Case No. INT-G-08-04 Intermountain Gas Company Page 3 of6
I.P.U.C. Gas Tariff
Second Revised Volume NO.1
(Supersedes First Revised. Volume No.1)
Thiity- Ninth Revised Fortieth Sheet No. 02 (Page 1 of 1)
Name
of
Utility Intermountain Gas Company
IDAHO PUBLIC UTILITIES COMMISSION Approved Effective
Sept. 39, 2Ð98 Oct. 1,2008
Per O.N. 30649
Jean D. Jewell Secretary
Rate Schedule RS.2 MULTIPLE USE RESIDENTIAL SERVICE
AVAILAILITY:
Available to Individually metered consumers using gas for several residential purposes including both water heating and space heating.
RATE:
Monthly minimum charge is the customer charge.
For billing periods ending April through November
Customer Charge - $2.50 per bil
Commodity Charge - $1.6916 pertherm" $1.05014
. For billing periods ending December through March
Customer Charge - $6.50 per bil
Commodity Charge. $1.126§3 per therm* $1.01651
*Includes:
Temporary purchased gas cost adjustment of $0.00413 Weighted average cost of gas of $Q.78484 $0.67482
PURCHASED GAS COST ADJUSTMENT:
This tariff is subject to an adjustment for cost of purchased gas as provided for in the Company's Purchased Gas Cost Adjustment Provision.
SERVICE CONDITIONS:
All natural gas service hereunder is subject to the General Service Provisions of the Company's Tariff, of which this rate schedule is a part.
Issued by: Intermountain Gas Company
By: Michael P. McGrath Tite: Director - Gas Supply & Regulatory Affairs
Effective: Octber 1,2008 December 1, 2008
I.P.U.C. Gas Tariff Secnd Revised Volume NO.1 ¡(Supersedes Rrst Revied Volume No.1) ; Fort-Fi Revised Second Sheet No. 03 (Page 1 of 2)
Name of Utility Intermountain Gas Company
Rate Schedule GS-1 GENERAL SERVICE
AVAILABILITY:
Available to individually metered customers whose requirements tor natural gas do not exceed 2,000 therms per day, at any point on Company's distribution system. Require'ments in excess of 2,000 therms per day may be served under this rate schedule upon execution of a one-year written service contract.
RATE:
Monthly minimum charge is the customer charge.
For billing periods ending April through November
Customer Charge. $2.00 per bm
Commodity Charge - First 200 therms per bil tæ $1.16919" $1.05917
Next 1,800 thenns per bil tæ $1.14746"$1.03744
Over
2,000 therms per bil tæ $1.12644* $1.01642
For biling periods ending December through March
Customer Charge. $9.50 per bil
Commodity Charge. First 200 thenns per bil tæ $1.11834" $1.00832
Next 1,800 therms per bil tæ $1.09714* $0.98712
Over 2,000 thenns per bil tæ $1.07668'" $0.96666
"Includes:
Temporary purchased gas cost adjustment of $(0.00518) Weighted average cost of gas of $0.78484 $0.67482
Issued by: Intermountain Gas Company
By: Michael P. McGrath Tite: Director - Gas Supply & Regulatory Afairs
Effective: October 1, £008 December 1, 2008
Exhibit No. 1 Case No. INT-G"08-04 Intermountain Gas Company Page 4 of6
IDAHO PUBLIC UTILITIES COMMISSION
Approved Effective
Sept. 30, 2008 Oet. 1, 2008
Per O.N. 3Q649
Jean D. Jewell Secretary
I.P.U.C. Gas Tari
Second Revised Volume NO.1
(Supersedes First Revised Volume No.1)
Forty~ Revised Second Sheet No. 03 (Page 2 of 2)
Name .
of Utility Intermountain Gas Company
Exhibit NO.1 Case No. INT -G-08~04 Intermountain Gas Company Page 5 of6
IDAHO PUBLIC UTILITIES COMMISSION
Approved Effective
Sept. JO, 2gg8 Oet. 1, 20g8
Per O.N. J0649
Jean D. Jewell Secretary
Rate Schedule GS-1 GENERAL SERVICE (Continued)
For separately metered deliveries of gas utilzed solely as Compressed Natural Gas Fuel in vehicular internal combustion engines.
Customer Charge. $9.50 per bif
Commodity Charge - $1.07668 per therm* $0.96666
"Includes:
Temporary purchased gas cost adjustment of $(0.00518) Weighted average cost at gas of $g.78484 $0.67482
PURCHASED GAS COST ADJUSTMENT:
This tariff is subject to an adjustment for cost of purchased gas as provided for ii: the Company's Purchased Gas Cost Adjustment Provision.
SERVICE CONDITIONS:
1. Any GS-1 customer who leaves the GS-1 service will pay to Intermountain Gas Company. upon exitng the GS-1 service. all gas and transportation related costs incurred to serve the customer during the GS.1 service period not borne by the customer during the time the customer was using GS-1 service. Any GS-1 customer who leaves the GS.1 service wil have refunded to them, upon exiting the GS-1 service, any excess gas commodity or transportation payments made by the customer during the time they were a GS.1 customer.
2. All natural gas service hereunder is subject to the General Service Provisions of the Company's Tariff, of which this rate schedule is a part.
Issued by: Intermountain Gas Company
By: Michael P. McGrath Tille: Director - Gas Supply & Regulatory Affairs
Effective: OotobOf 1, 2008 December 1, 2008
Exhibit No. 1 Case No. INT-G-08-04 Intermountain Gas Company Page 6 of6
I I.P.U.C. Gas Taiiff i Second Revised Volume NO.1 ¡ (Supersedes First Revised Volume No.1) i FGrty ~IiRlh Revised Fiftieth Sheet No. 04 (Page 1 of 2) i Name I . G i of Uti lit ntermountam as Com pan
IDAHO PUBLIC UTILITIES COMMISSION Approved Effective
Per O.N. 30649
Sept. 3Q, 200S OGt.1,200S
Jean D. Jewell Secretary
Rate Schedule LV-1 LAGE VOLUME FIRM SALES SERVICE
AVAILABILITY:
Available at any mutually agreeable delivery point on the Company's distribution system to any existing customer receiving service under the Company's rate schedule LV-1 or any new customer whose usage does not exceed 500,000 therms annually, upon execution of a one-year minimum written service contract tor firm sales service in excess of 200,000 thermsper year.
MONTHLY RATE:
Commodity Charge:
First 250,000 therms per bill (g $0.97084" $0.86082
Next 500,000 therms per bil (g $0.93235" $0.82233
Amount Over 750,000 therms per bil (g $Q.84ã72** $0.73570
The above prices include weighted average cost of gas of $0.78484 $0.67482
.. Includes temporary purchased gas cost adjustment of $0.04185
*" Includes temporary purchased gas cost adjustment of $0.05427
PURCHASED GAS COST ADJUSTMENT:
This tariff is subject to an adjustment for cost of purchased gas as provided for in the company's Purchased Gas Cost Adjustment Provision.
SERVICE CONDITIONS:
1. All natural gas service hereunder is subject to the General Service Provisions of the Company's Tariff, of which this Rate Schedule is a part.
2. Any LV-1 customer who exits the LV-1 service at any time (including, but not limited to, the expiration of the contract term) will pay to Intermountain Gas Company, upon exiting the LV-1 service, all gas and/or interstate transporttion related costs to serve the customer during the LV.1 contract period not borne by the customer during the LV-1 contract period. Any LV.1 customer wil have refunded to them, upon exiting the LV.1 service, any excess gas and/or interstate transportation related payments made by the customer during the LV-1 contract period.
3. In the event that total deliveries to any customer within the last three contract periods met or exceeded the 200,000 therm threshold, but the customer during the current contract period used less than the contract minimum of 200,000 therms, an additional amount shall be biled. The additional amount shall be calculated by billng the deficit usage below 200,000 therms at the LV.1 Block 1 rate adjusted for the removal of variable gas costs. The customer's future eligibility for the LV.1 Rate Schedule will be renegotiated with the Company.
Issued by: Intermountain Gas Company
By: Michael P. McGrath Title: Director - Gas Supply & Regulatoiy Affairs
Effective: OGtObOf 1 ,2008 December 1, 2008
|
CITY OF LAGRANGE, GEORGIA
REGULAR MEETING OF THE MAYOR AND COUNCIL
June 26, 2018
Present: Mayor Jim Thornton; Council Members Jim Arrington, Nathan Gaskin, Willie Edmondson, Tom Gore, LeGree McCamey, and Mark Mitchell
Also Present: City Manager Meg Kelsey; Assistant City Manager Teresa Taylor; City Attorney Jeff Todd; Director of Community Development Alton West; Communications Manager Katie Van Schoor
The meeting was called to order by Mayor Thornton, the invocation was given by Reverend Aaron McCollough of the Troup County Baptist Association and Henry Huberdeau of Boy Scouts Troup 21 led the Pledge of Allegiance to the Flag.
On a motion by Mr. McCamey seconded by Mr. Edmondson, Council unanimously approved the minutes of the regular Council meeting held on June 12, 2018.
Mayor Thornton presented a 25 year service award to Brenda Leverett, Accounting Specialist in the Finance Department. Mayor Thornton expressed the gratitude of the Mayor and Council for Ms. Leverette's service to the City of LaGrange. No action was taken.
Mr. Bobby Traylor, former council member, appeared before the Mayor and Council to express his concern about how the new sign ordinance would restrict the use a changing sign for Traylor's Pawn Shop located at 504 Greenville Street. Ms. Kelsey clarified that the property in question is currently zoned C-1, Neighborhood Commercial and doesn't allow for changing signs. In order to have a changing sign, the location would need to be rezoned to C-3, general commercial. The new sign ordinance would restrict the changing sign to freestanding pole.
Mr. Ricky Wolfe, Executive Director of DASH appeared before the Council and gave a brief overview of the impacts of the DASH organization. Mr. Wolfe thanked the Council for their strong support for the organization. No action was taken.
Council heard a first reading of the following ordinance:
AN ORDINANCE
AN ORDINANCE OF THE MAYOR AND COUNCIL OF THE CITY OF LAGRANGE TO AMEND THE CHARTER OF THE CITY; TO AMEND THE CHARTER SO AS TO CREATE AND DESIGNATE THE RESPONSIBILITIES OF THE OFFICE OF CITY CLERK; TO REPEAL CONFLICTING PROVISIONS; TO FIX AN EFFECTIVE DATE; AND FOR OTHER PURPOSES.
*****
Council heard a first reading of the following ordinance:
AN ORDINANCE
AN ORDINANCE OF THE MAYOR AND COUNCIL OF THE CITY OF LAGRANGE TO AMEND THE CODE OF THE CITY; TO AMEND THE CITY CODE SO AS TO DESIGNATE CERTAIN RESPONSIBILITIES TO THE OFFICE OF CITY CLERK; TO REPEAL CONFLICTING ORDINANCES; TO FIX AN EFFECTIVE DATE; AND FOR OTHER PURPOSES.
*****
AN ORDINANCE
TO PROVIDE FOR THE ADOPTION OF A BUDGET CONTAINING ESTIMATES OF PROPOSED REVENUES AND EXPENDITURES FOR THE CITY OF LAGRANGE FOR THE 12MONTH PERIOD BEGINNING JULY 1, 2018 AND ENDING JUNE 30, 2019; TO PROVIDE FOR SEPARABILITY; TO FIX AN EFFECTIVE DATE; TO REPEAL CONFLICTING ORDINANCES; AND FOR OTHER PURPOSES.
THE MAYOR AND COUNCIL OF THE CITY OF LAGRANGE HEREBY ORDAIN AS FOLLOWS:
SECTION 1:
For the expenses of the City Government and its activities for the 12-month period beginning July 1, 2018 and ending June 30, 2019, the amounts contained in the General Fund, Utilities Fund, General Capital Improvements Fund, Electric Fund, Water and Sewer Fund, Telecommunications Fund, Gas Fund, Sanitation Fund and Community Development Fund as shown in the Budget for the City of LaGrange, dated July 1, 2018 are hereby adopted and appropriated for the departments and activities of the City shown therein.
SECTION 2:
A copy of the Budget, dated July 1, 2018, is on file in the office of the City Manager of the City of LaGrange and is by this reference incorporated in and made a part of this Ordinance.
SECTION 3:
If any part of this Ordinance shall be declared unconstitutional or invalid by a court of competent jurisdiction, such decision shall not affect the validity of the remainder of this Ordinance. The Mayor and Council of LaGrange hereby declare that it would have passed the remaining portion of this Ordinance had it known such part or parts would be adjudged invalid or unconstitutional.
SECTION 4:
All Ordinances or parts of Ordinances in conflict herewith are hereby repealed.
SECTION 5:
This Ordinance after its adoption and upon approval by the Mayor shall become effective on July 1, 2018.
INTRODUCED AND FIRST READING
June 12, 2018
SECOND READING AND ADOPTED
June 26, 2018
SUBMITTED TO MAYOR AND APPROVED
June 26, 2018
BY: /s/ James C. Thornton, Mayor
ATTEST: /s/ Teresa Taylor, Assistant City Manager
*****
On a motion by Mr. Edmondson seconded by Mr. McCamey, Council unanimously adopted the following ordinance:
AN ORDINANCE
TO LEVY AN AD VALOREM TAX FOR THE CITY OF LAGRANGE FOR CALENDAR YEAR 2018; TO PROVIDE FOR SEPARABILITY; TO REPEAL CONFLICTING ORDINANCES; TO FIX AN EFFECTIVE DATE; AND FOR OTHER PURPOSES.
THE MAYOR AND COUNCIL OF THE CITY OF LAGRANGE ORDAIN AS FOLLOWS:
SECTION 1:
The millage rate necessary to produce revenue from taxation of tangible real and personal property in the City of LaGrange which, when combined with other revenues reasonably expected to be received by the City during the year, other than revenues derived from the tax imposed pursuant to this Section and which would provide revenues sufficient to defray the expenses of the City for the year is computed as follows:
(a) For the purpose of raising revenue to pay the cost of the general government, ordinary expenses and for other purposes authorized by the Constitution and laws of the State of Georgia _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 5.11 Mills
The millage rate of 5.11 as thus ascertained is then reduced by 5.11 mills, the millage rate which, if levied against the tangible property within the City of LaGrange, would produce an amount equal to the distribution of the proceeds of the tax imposed by the join County and Municipal Sales and Use Tax for the twelve-month period. Applying the reduction of the millage rate to the millage rate necessary to produce the total revenue results in the millage rate for the calendar year 2018 of -0-.
SECTION 2:
If any part of this ordinance shall be declared unconstitutional or invalid by a court of competent jurisdiction, such decision shall not affect the validity of the remainder of this ordinance. The Mayor and Council of the City of LaGrange hereby declares that it would have passed the remaining portion of this ordinance had it known such part or parts would be adjudged invalid, or unconstitutional.
SECTION 3:
All ordinances or parts of ordinances in conflict herewith are repealed.
SECTION 4:
This ordinance after its adoption and upon approval by the Mayor of LaGrange shall become effective on July 1, 2018.
INTRODUCED AND FIRST READING
June 12, 2018
SECOND READING AND ADOPTED
SUBMITTED TO MAYOR AND APPROVED
BY:
June 26, 2018
June 26, 2018
/s/ James C. Thornton, Mayor
ATTEST: /s/ Teresa Taylor, Assistant City Manager
*****
On a motion by Mr. Edmondson seconded by Mr. McCamey, Council adopted the following ordinance with Mr. Arrington, Mr. Edmondson, Mr. Gaskin and Mr. McCamey voting in favor and Mr. Gore and Mr. Mitchell voting in in opposition.
AN ORDINANCE
AN ORDINANCE OF THE MAYOR AND COUNCIL OF THE CITY OF LAGRANGE, GEORGIA TO AMEND THE CODE OF THE CITY; TO AMEND THE CODE BY DELETING THEREFROM CHAPTER 25-10, THE "SIGN ORDINANCE"; TO ADOPT A NEW "SIGN ORDINANCE" WHICH PROVIDES FOR AUTHORIZATION AND INTENT, FOR REGULATIONS, DEFINITIONS, EXEMPTIONS, AND FOR PROHIBITED, ABANDONED, AND NONCONFORMING SIGNS; TO ESTABLISH GENERAL SIGN REQUIREMENTS AND SPECIFIC SIGN REQUIREMENTS BY ZONING DISTRICTS WITHIN IN THE CITY; TO PROVIDE FOR ADMINISTRATION AND ENFORCEMENT OF THE ORDINANCE; TO PROVIDE VIOLATIONS AND PENALTIES; TO PROVIDE FOR SEPARABILITY; TO REPEAL CONFLICTING ORDINANCES; TO FIX AN EFFECTIVE DATE; AND FOR OTHER PURPOSES.
THE MAYOR AND COUNCIL OF THE CITY OF LAGRANGE, GEORGIA HEREBY ORDAIN AS FOLLOWS:
SECTION 1:
Chapter 25-10 known and cited as the "Sign Ordinance" be and the same is hereby repealed in its entirety and a new Chapter 25-10 adopted in lieu thereof to read as follows:
"Chapter 25-10: SIGNS
Section 25-10-1. Short title.
This chapter shall be known and cited as the "Sign Ordinance."
Section 25-10-2. Authorization and intent.
The public has a legitimate interest and concern in the construction, maintenance, and regulation of outdoor advertising within the city and it is therefore desirable to describe the manner of construction, compel the use of safe materials, limit size, height, and location with reference to streets; require clean and sanitary maintenance; and prohibit illegal advertisement pursuant to and in the exercise of the public health, safety and welfare powers of the city. It is the intent of the mayor and council to provide hereby the basis for regulation of such outdoor advertising consistent with the foregoing purposes and thereby regulate such advertising affixed to real property which is visible from any public right-ofway in order to promote public health, safety, traffic safety, welfare, and to protect aesthetic values and qualities in the city. The mayor and council so act, finding and understanding that signs provide an important medium through which individuals may convey a variety of messages, but that left completely unregulated, signs may also become a threat to public safety as a traffic hazard and detriment to property values and the city's overall public welfare as an aesthetic nuisance. By enacting this ordinance, the mayor and council intend to balance the rights of individuals to convey messages through signs and the rights of the public to be protected against the unrestricted proliferation of signs.
Sec. 25-10-3. Application of regulations.
(a) The requirements of this chapter shall govern all signs located within the corporate limits of the city that may be viewed from a public right-of-way, private streets or adjacent property, except as otherwise exempt under this chapter. The provisions of this chapter do not apply to any sign not visible from public or private thoroughfares or adjacent properties.
(b) Any area which is annexed into or incorporated within the corporate limits of the city shall, on the effective date of annexation, be subject to all provisions of this chapter. Any such annexed area shall be subject to and be governed by the signage requirements of the use zone within the city which is specified in the ordinance adopted by the mayor and council.
(c) The requirements of this chapter shall not apply to canopies, awnings, and marquees that are regulated under sections 25-5-2 and 25-5-3 of the Code of the City of LaGrange, provided such canopies, awnings, and marquees are not used for advertising purposes.
Sec. 25-10-4 - - 25-10-9. Reserved.
Sec. 25-10-10. Definitions.
(a) General interpretation. Except as specifically described herein, all words shall have their customary dictionary meanings. Words used in the present tense include the future tense, and words used in the future tense include the present. Words used in the singular number include the plural, and words used in the plural include the singular. The word "person" includes a firm, corporation, association, organization, trust, or partnership. The word "building" includes "structure". The word "may" is permissive, while the word "shall" is always mandatory. The word "used" or "occupied" as applied to any land or building shall be construed to include the words "intended, arranged, or designated to be used or occupied". Doubt as to the precise meaning of any word used in this ordinance shall be resolved by the board of planning and zoning appeals of the city.
(b) Specific definitions.
Abandoned sign. Cessation for a period of six months of the use of a sign by either the owner of the sign or the occupant of the property on which the sign is placed, or through the removal or relocation of the previous occupant of the property, or a sign that has ceased to be used for a period of six months through the removal of its copy or the deterioration of its copy through lack of maintenance, but excluding temporary or short-term period of remodeling, refurbishment or maintenance of the sign.
Accessory use. A sign use which is authorized by virtue of a business operation on a particular site, which shall not require, by implication or otherwise, that the content of any such sign be in any way connected to said business operation.
Animated sign. Any sign which all or any part thereof visibly moves, imitates movement, or changes appearance in any fashion whatsoever. For purpose of this chapter, the transition of a message on a changing sign shall not be considered "animation."
Banner. Any sign of lightweight fabric or similar material that is intended to be hung either with a frame or without a frame. Neither flags nor canopy signs are considered banners.
Beacon. Any light with one (1) or more beams directed into the atmosphere or directed at one (1) or more points not on the same lot as the light source; also, any light with one (1) or more beams that rotate or move.
Building nameplate. A small plaque, usually made of metal or wood, affixed flush to an exterior wall near the main entrance to a building.
Building official. The building official of the city, as created under section 25-1-3 of the Code of the City of LaGrange.
Building sign. A sign that in any manner is fastened to, projects from, or is placed or painted upon the exterior wall, canopy, awning or marquee of a building. The term "building sign" includes but is not limited to the following:
1. Awning sign: A sign imposed, mounted or painted upon an awning.
2. Canopy sign: A sign affixed to, superimposed upon, or painted on any canopy, such that the sign is mounted in such a manner that a continuous face with the canopy is formed.
3. Mansard sign: A sign imposed, mounted or painted upon a mansard and not extending above the top of the mansard.
4. Marquee sign: Any sign painted on or attached flat to the face of a marquee.
5. Parapet sign: A sign imposed, mounted or painted on a parapet and not extending above the top of the parapet.
6. Projecting sign: A sign affixed perpendicularly to a wall and extending more than 18 inches horizontally from the surface of such wall.
7. Under-canopy sign: A sign attached to the underside of a marquee or canopy and suspended over a sidewalk, either public or private.
8. Wall sign: A sign that is fastened directly to or is placed or painted directly upon the exterior wall of a building, with the sign face parallel to the wall, protruding from the surface of the wall no more than 18 inches and not extending above or beyond the wall to which it is attached.
Canopy. Any permanent roof-like structure projecting from the wall surface of a building or structure, generally located at or below the roof line and designed to provide shelter from the elements, or a freestanding roof-like structure supported by columns intended to shield a vehicular driveway or service area from the elements. A canopy shall include all structures commonly known as awnings.
Changeable copy sign. A sign or portion thereof with characters, letters, or illustrations that can be manually changed or rearranged without altering the face or the surface of the sign. A sign on which the message changes more than once a day shall be considered a changing sign for purposes of this ordinance.
Changing sign. A sign that is capable of changing the visible display of words, numbers, symbols, graphics and/or position or format of word messages or other displays when such changes are actuated by any type of remote control or automatic mechanism rather than manually. Changing signs shall include mechanically operated devices which change the message through rotation of any type of panel and signs which are illuminated partially or entirely by a matrix of electronic lamps, movable discs, movable panels, light apertures, the use of light emitting diodes, back lighting, or any other light source that is electronically changed. Any changing sign that includes both mechanical and electronic elements shall be regulated as an electronically changing sign. A sign that changes no more frequently than once every twenty-four (24) hours shall not be considered a changing sign.
Commercial sign. A sign which identifies, advertises or directs attention to a business, or is intended to induce the purchase of goods, property, or service, including without limitation, any sign naming a brand of goods or service and real estate signs.
Copy. The permanent or removable wording or graphics placed on, painted upon, or bonded to the display surface of a sign.
Dilapidated or neglected signs. A sign (including sign structure) is dilapidated or neglected if it manifests the following conditions: rust or holes on or in the sign, or broken, missing, loose or bent parts, faded or flaking paint, or non-operative or partially operative illuminating components.
Directory sign. A sign, distinguished from a project entrance sign, which is allowed on a premise with more than one tenant or occupant of a building. It may be freestanding or a building (wall) sign. Such signs are not usually visible from the public street right-of-way of a development which provides initial access to the property, but rather are located within the development, along a driveway, access way, or parking aisle.
Dissolve. A mode of message transition on a changing sign accomplished by varying the light intensity or pattern, where the first message gradually appears to dissipate and lose legibility simultaneously with the gradual appearance and legibility of the subsequent message.
Double-faced sign. A sign structure with two sign faces that are parallel (back-toback) or that form an angle to one another of no more than 60 degrees, where each sign face is designed to be seen from a different direction.
Face. That portion of a sign upon which the copy is placed, attached, bonded, or painted.
Fade. A mode of message transition on a changing sign accomplished by varying the light intensity, where the first message gradually reduces intensity to the point of not being legible and the subsequent message gradually increases intensity to the point of legibility.
Feather banner. A banner made from lightweight material and attached to a pole that is designed to wave in the wind.
Flag. Any fabric or bunting containing colors, patterns, words, emblems or logos used as a symbol of a government or other entity or organization.
Flashing sign. A sign, the illumination of which is not kept constant in intensity at all times when in use and which exhibits sudden or marked changes in lighting effects.
Freestanding sign. Any sign (including any associated supporting materials) which is independent from any building and is entirely supported by structures that are permanently placed on or in the ground. The term "freestanding sign" includes but is not limited to the following:
1. Monument sign. A freestanding sign forming a solid, monolithic structure from the ground to the top of the sign.
2. Pole, pylon or stanchion sign. A freestanding sign that is mounted on a freestanding pole, pylon, stanchion, columns, or similar supports such that the bottom of the sign face or lowest sign module is not in contact with the ground.
Frontage, building. The width in linear feet of the front exterior wall of a particular building in which an establishment is located.
Frontage, road. The width in linear feet of each lot where it abuts the right-of-way of any public street.
Illuminated signs include but are not limited to the following:
1. Internally illuminated means illuminated by an artificial light source from within the sign structure and radiating outward toward the viewer, usually projected through a transparent or translucent sign face.
2. Externally illuminated means illuminated only by an artificial light source that is external to, and independent of, the sign structure, and
the illumination radiates toward the message area away from the viewer.
3. Halo illumination means illumination where the source of light is external and integral to the sign structure; where the resultant illumination radiates toward the viewer, is interrupted by the opaque sign structure, letters, or symbols, and back lights the message area.
4. Neon sign means an illuminated sign composed of exposed and visible tubes filled with neon gas, including signs of similar appearance but illuminated by other gases similar to neon.
Incidental sign. A small sign, emblem, or decal no larger than two square feet in area. Such signs are normally located on doors, windows, and gas pumps, or in parking lots or loading areas, may be freestanding or building signs, and are generally not readily visible or legible from public rights-of-way.
Inflatable sign. A sign or similar device that is intended to be expanded by pressurized air or other gas or by mechanical fan for its proper display or support.
Interstate sign. A freestanding sign located near an interstate highway that is not more than seventy-five (75) feet in height and which contains not more than four hundred (400) square feet per sign face and for which the applicant must demonstrate to the building official that the sign will be visible to traffic on the interstate highway.
Marquee. A permanent roof-like structure of rigid materials supported by and extending from the façade of a building.
Miscellaneous sign. A sign commonly found on multi-family and nonresidential use properties located at entrance and exit driveways, internal driving lanes, parking lots, designated handicap parking spaces, etc.
Nit. A standard unit of luminance; a measurement of direct light (i.e. looking directly at the light source), used to describe displays. A "nit" is an amount of emanating light equal to one candela per square meter (cd/m 2 ).
Non-conforming sign. Any sign that was lawfully permitted by the city and/or was legal at the time of its establishment in the city but does not conform to the provisions of this chapter.
Obscene. Any form of speech which, taken as a whole, appeals to the prurient interest in sex, portrays sexual conduct in a patently offensive way, and which, taken as a whole, does not have serious literary, artistic, political, or scientific value. See Miller V. California, 413 U.S. 15, 93 S. Ct. 2607 (1973).
Pennant. Any lightweight plastic, fabric, or similar material designed to move in the wind; pennants are often suspended from a rope, wire, or string in series. The term "pennant" shall not include a banner as defined in this chapter.
Portable sign. Any sign to be transported or easily relocated and not permanently attached to the ground, such as but not limited to the following:
1. A sign designed to be temporarily placed upon the ground and not anchored to it as otherwise required by the building code;
2. A sign mounted on a trailer, with or without wheels.
3. For the purposes of this chapter, sidewalk signs, sandwich board signs, banners and feather banners as prescribed herein are not considered portable signs.
Project entrance sign. A permanent freestanding sign located at a discernible entrance from a public or private road into a multi-family development or into a development containing multiple lots or buildings, such as but not limited to a particular residential or commercial subdivision, a business center, office park or industrial park or a mixed use planned center.
Revolving sign. See Animated sign.
Roof sign. Any sign erected, constructed, or maintained wholly upon or above the roof of any building or structure.
Sandwich board sign (sidewalk sign or A-frame sign). Any moveable sign not permanently secured or attached to the ground or surface upon which it is located, designed to be used on a sidewalk or pedestrian way, including within the public right-of-way, immediately adjacent to a building or structure.
Sign. A lettered, numbered, symbolic, pictorial, illuminated, or colored visual display, device, or communication designed or used for the purpose of identifying, announcing, directing, informing, or bringing to the attention of others the subject thereon, that is visible from the public right-of-way, a driveway or parking lot with access to a public right-of-way, or from an adjacent property, except as specifically noted otherwise in this chapter. For purposes of this chapter, the term "sign" includes but is not limited to "banner", "balloons", "flags", "pennants", "streamers", "windblown devices" and "advertising devices." Furthermore, the term "sign" includes the sign structure, supports, lighting system, and any attachments, ornaments, or other features used to draw the attention of the observers.
Sign area. The gross area in square feet of the advertising copy surface of a sign, excluding trim and structural embellishments. Only one (1) face of a multi-face sign structure shall be used in computing the sign area. Where a single freestanding structure contains multiple individual signs, the sign area shall be the total gross area in square feet of all signs on the structure.
Sign height. The distance in vertical feet from the elevation of the adjacent dedicated public street, edge of pavement, to the highest point of the sign structure. The ground shall not be altered for the sole purpose of providing additional sign height.
Sign structure. Any construction used or designed to support a sign.
Snipe sign. A sign of any material whatsoever that is attached in any way to a utility pole, tree, fence, rock or other similar object located on public or private property.
Standard Informational Sign. A sign with an area not greater than 7 square feet, with a placard made for short-term use, containing no reflecting elements, flags or projections, and which, erected, stands at a height not greater than 42 inches and is mounted on a stake or metal frame with a thickness or diameter not greater than 1 ½ inches.
Temporary Event. An activity having a specific duration or the end of which is related to a specific action, usually lasting for only a few days or months at a time. Temporary events are included, but not limited to, such activities as:
1. The offering of a property or premises for sale or rent.
2. Special business promotions, such as, but not limited to, "grand openings", "close-out sales", and seasonal sales events.
3. The construction of a building or development project, or the rehabilitation, remodeling or renovation of a building.
4. A public announcement of a special event or seasonal activity by an individual or a non-profit organization.
Temporary sign. Any sign not permanently affixed to the ground or other permanent structure and designed and intended to be displayed for a limited period of time. This includes, but is not limited to, signs which are designed to be transported regularly from one location to another, signs which are designed with wheels, regardless of whether the wheels remain attached to the sign, signs placed into the ground on a temporary basis or nonpermanent foundation, or signs tethered to an existing structure.
Traffic control sign. A sign or electronic device (such as a traffic signal, or signs denoting stop, danger, handicap parking, one-way traffic, no parking, fire lane, etc.) for the purpose of directing or regulating the movement of traffic and/or pedestrians.
Transition. A visual effect used on a changing sign to change one message to another.
Window sign. A sign that is placed on or behind a windowpane or glass door and oriented to be viewed from outside the building.
Sec. 25-10-11 - - 25-10-13. Reserved.
Article II. Regulations.
Sec. 25-10-14. Sign permits.
(a) Permit required. Except as exempted from obtaining a permit, all persons desiring to post, install, erect, display, expand, relocate or substantially change a sign regulated by this chapter within the city, shall first obtain a sign permit and all other permits required for the desired structure in accordance with city ordinances. A change in the copy of a sign shall not constitute a substantial change. However, a change in the mode of message conveyance (i.e. from screen-print panel to LED) shall be considered a substantial change requiring a sign permit.
(b) Application requirements. Applications for sign permits, along with the nonrefundable application fee, shall be submitted by the sign owner or the owner's agent to the building official on the form furnished by the city. Only complete applications will be accepted. Applications shall include the following:
1. The street address of the property upon which the sign is to be located. In the absence of a street address, the parcel identification number as assigned by the Troup County Tax Assessor shall be given.
2. The name(s) and address(es) of all owners of the real property upon which the sign is to be located.
3. The name, address, contact information and occupational tax certificate number and issuing jurisdiction of the sign contractor/installer.
4. Written consent of the owner or owner's agent specifically granting permission for the placement of the sign as proposed.
5. The type of sign, height, face area and total cost of sign construction or installation.
6. For free-standing signs, a site plan, drawn to scale, showing the location of the proposed sign in relation to property and right-of-way lines (or edge of pavement, as appropriate), acreage of the parcel, location of driveways and parking spaces, public or private easements, and building locations.
7. For building signs, a to-scale drawing or photo-simulation of the building face upon which the proposed sign is to be installed showing the placement of the sign upon the building, dimensions of the wall and sign and its height from ground level.
8. Construction and/or fabrication details of the proposed sign, including certification as to conformance with all structural and wind-load resistive standards of the building code by a qualified structural engineer, or prepared using standard drawings prepared by a structural engineer or other qualified professional meeting, or exceeding all requirements of the building code, if applicable.
9. Whether or not the sign is to be illuminated and the method of illumination.
(c) Time for consideration and issuance of permit. The city shall process all sign permit applications within 30 business days of the city's actual receipt of a complete application and application fee for a sign permit. Revisions or amendments to an application shall extend the review period to 20 business days from the date of submission of the revision or amendment. Revisions or amendments received after the issuance of a permit shall constitute a new application.
1. The building official shall reject any application as incomplete that does not include all items required for a sign permit application as set forth under subsection (b) of this section.
2. The building official shall reject any application containing false material statements or omissions. Any rejected application later resubmitted shall be deemed to have been submitted on the date of resubmission instead of the original date of submission.
3. Within 30 business days of receipt of a complete application, the building official shall:
i. Issue the permit; or
ii. Inform the applicant in writing of the reasons why the permit cannot be issued. Failure of the building official to act on a sign permit within thirty (30) days shall result in a denial of the application.
4. Upon determination that the application fully complies with the provisions of this chapter, the building code, and all other applicable laws, regulations and chapters of the city code, the sign permit shall be issued by the building official.
5. If it is determined that the application does not fully comply with the provisions of this chapter, the building code and all other applicable laws, regulations and chapters of the city code, the building official shall reject the application and notify the applicant of the decision and reason(s) for the denial of the permit. The building official shall give such notice in writing by hand delivery, mail, e-mail or fax using the contact information provided on the application. The notice shall be post-marked or otherwise datestamped on or before the 30 th business day following the date of the completed application's receipt by the city. A denial pursuant to this section shall be appealable pursuant to the appeal procedures of this chapter.
(d) Permit fees. A sign permit shall not be issued unless the appropriate permit fees, as established by the city council, have been paid. No refunds of permit fees will be made for sign permits that expired due to failure to erect the subject sign. If a person desires to erect a sign in the same location as for any expired permit, a new application must first be processed and another fee paid in accordance with the fee schedule applicable at such time.
(e) Expiration of permit. A sign permit shall become null and void if the sign for which the permit was issued has not been completed and fully installed within six months of the date of issuance, provided, however, that a 90-day extension shall be granted if a written request for extension is received by the building official prior to the expiration date of the initial permit.
(f) Appeals. Appeals from an administrative decision by the building official may be made by any person aggrieved, or by any officer, department, or board or bureau of the city affected by any decision of the building official or other city official based on this chapter. Such appeal shall be taken and exercised in accordance with the appeal provisions for the zoning ordinance for the city as contained in section 25-35-150 of this Code as the same may now exist or hereafter be amended. Any such appeal shall be to the board of planning and zoning appeals, which shall hear and decide whether there is an error in any order, requirement, decision or determination made by the building official or other city official based on this chapter. Any such appeal shall be in writing and shall be filed with the assistant city manager. The board of planning and zoning appeals shall hear all such petitions within sixty (60) days of receipt of same by the assistant city manager, and shall act on all such petitions within fifteen (15) days of the hearing. Failure of the board of planning and zoning appeals to hear such petition within sixty (60) days shall be deemed a denial of the appeal.
Sec. 25-10-15. Exemption from permit requirements.
Each of the following types of signs is allowed, subject to the standards found in this chapter, without the need for a permit.
(a) Official signs. Signs placed by or at the direction of a governmental body, governmental agency, board of education, public utility or public authority pursuant to O.C.G.A. § 32-6-50 et seq. or any other law. As provided by O.C.G.A. § 32-6-51, such signs are authorized within all rights-of-way or other properties controlled by such governmental body, agency, board of education, public utility or public authority and at such other locations as a governmental body, governmental agency, public utility or public authority may direct.
(b) Flags. Flags must meet the following requirements:
1. All flags shall be displayed on flagpoles, which may be vertical or mast arm flagpoles. For non-residential properties, flagpoles shall not exceed the building height limit of the applicable zoning district, or 50 feet, whichever is less. Flagpoles on residential properties shall not exceed 25 feet in height.
2. Flags shall be limited to no more than 60 square feet in area.
3. Each single or two-family residential lot shall be allowed one flagpole.
4. Each multi-family, institutional, commercial, industrial or mixed-use lot shall be allowed a maximum of three flagpoles.
5. A maximum of two flags shall be allowed per flagpole.
6. Flags and flagpoles shall be maintained in good repair, and to the extent applicable shall be in compliance with the building code. Flagpoles with broken halyards shall not be used.
7. On officially designated city, state, or federal holidays, there shall be no maximum flag size or number or other limitations on the display of flags.
8. This section shall not be construed to restrict the right to display eligible flags as banners as provided elsewhere in this article.
(c) Street addresses. Numerals displayed for the purpose of identifying property location not to exceed ten (10) inches in height.
(d) Window signs. In nonresidential districts, window signs shall be allowed provided they do not exceed twenty (20) percent of the available window area.
(e) Noncommercial Message Signs. Signs designed for temporary display and not permanently affixed to the ground that do not exceed an aggregate sign area of 16 square feet per lot in nonresidential districts and 8 square feet per lot in residential
districts. Such signs shall have a maximum height of five feet from ground level and be set back at least two feet from any right-of-way.
(f) Directory signs for multi-tenant developments. As defined by this article, such signs are permitted provided they do not exceed four square feet each nor six feet in height.
(g) Display boards located next to drive-thru lanes. Such signs are permitted provided they do not exceed 8 feet in height or 32 square feet in area.
(h) Incidental signs. Small signs as defined in this chapter of no more than two square feet, such as signs on gasoline pumps.
(i) Sidewalk and sandwich board signs. In the C-2 and C-3 districts on private property or within the public right-of-way, each tenant space is permitted one sandwich board sign subject to the following requirements:
1. Each sign shall not exceed 30 inches wide by 45 inches tall.
2. Each sign must be located within ten feet of the pedestrian entrance of the premises.
3. Each sign shall not obstruct a continuous through pedestrian zone of at least five feet in width.
4. Such a sign may be utilized only during the hours of operation of the store or entity using it and shall be removed during the hours it is closed.
Sec. 25-10-16. Prohibited signs.
The following signs shall be prohibited in the city:
(a) Any sign not specifically authorized by this chapter as a permitted sign.
(b) Abandoned signs.
(c) Animated and flashing signs. Signs (excluding changing signs) that flash, blink, rotate, revolve, or have moving parts or visible bulbs, and signs containing reflective elements that sparkle in the sunlight or otherwise simulate illumination during daylight hours.
(d) Dilapidated signs. Signs that are dilapidated or in such condition as to create a hazard, nuisance or to be unsafe or fail to comply with any provision of the building code.
(e) Fringe, streamers, pennants, air or gas filled figures, search lights, beacons and other similar temporary event signs, other than as specifically authorized in this chapter.
(f) Obscene signs. Obscene signs, as defined by the state at O.C.G.A. § 16-12-80, as amended.
(g) Obstructions. No sign shall obstruct any fire escape, window, door, or opening usable for fire prevention or suppression, or prevent free passage from part of a roof to any other part thereof. No sign shall extend above a parapet wall, be affixed to a fire escape, or interfere with any opening required for ventilation. No sign shall interfere with road or highway visibility or obstruct or otherwise interfere with the orderly movement of traffic or pedestrians. No sign shall pose a hazard to traffic or pedestrians due to structural deficiencies of such sign.
(h) Portable signs except as specifically authorized in Sec. 25-10-25.
(i) Private signs placed on public property. Any sign posted or erected on public rightsof-way or any other public property except as authorized by the governmental body, agency or public authority having jurisdiction over such property.
(j) Roof signs. This prohibition does not apply to the face of a parapet wall, provided that the sign must not extend above the top of the parapet wall.
(k) Snipe signs.
(l) Sound or smoke emitting signs. A sign that emits or utilizes in any manner any sound capable of being detected on any traveled road or highway by a person with normal hearing, or a sign that emits smoke, vapor or odors.
(m) Signs advertising illegal activity. Signs that advertise an activity illegal under state or federal law.
(n) Signs imitating public warning or traffic devices.
1. Any sign that displays intermittent lights resembling the flashing lights customarily used in traffic signals or in police, fire, ambulance, or rescue vehicles, and any sign that uses the words "stop", "go", "slow", "caution", "danger", "warning" or other message or content in a manner that might mislead or confuse a driver.
2. Any sign that uses the words, slogans, dimensional shape or size, or colors of governmental traffic signs.
3. No red, green, and yellow illuminated sign shall be permitted within 300 feet of any traffic light.
(o) Window signs. Window signs on residentially zoned or used properties (including ORI-1) and individual or aggregate window signs exceeding 20 percent of the window area per building elevation for all other districts.
Sec. 25-10-17. General Sign Requirements.
The following standards shall apply unless otherwise specified in this chapter.
(a) Building signs.
1. A building sign may not project higher than the wall or surface to which it is attached.
2. A building sign may not project more than 18 inches from the wall surface unless approved as a projecting sign.
3. Changeable copy signs and changing signs are prohibited as building signs.
(b) Freestanding signs (monument or pole).
1. Freestanding signs shall be allowed as accessory uses only.
2. Freestanding signs shall be setback at least 15 feet from the curb or edge of pavement of the roadway or two feet behind the right-of-way, whichever is greater.
3. No freestanding sign shall be located within 30 feet of the nearest intersecting point of two street right-of-way lines.
4. Freestanding signs shall be located at least 50 feet from other freestanding signs on the same side of the road.
5. Monument signs located within 100 feet of a public right-of-way shall display the street address of the property, except where the sign is located on property that has more than one street frontage and the property address is assigned from a street other than the street frontage whereupon such sign is erected. Street numbers shall be of contrasting colors against the background, visible from both directions of travel along the street, and no less than six inches nor more than ten inches in height.
(c) Miscellaneous signs as accessory uses on multi-family and nonresidential lots.
1. Within the area between a street right-of-way line and the minimum building setback required from that street right-of-way line on the property, the following applies:
i. Permanently installed miscellaneous freestanding signs may be located only within three feet of driveways or curb cuts that provide access into or from the property.
ii. There shall be no more than two such signs per driveway or curb cut and each such sign shall not exceed six square feet in area nor more than three feet in height.
2. Miscellaneous freestanding signs located farther from the street than the minimum building setback from that street right-of-way line on the property shall be allowed provided that such signs are no more than six square feet in area nor more than six feet in height.
(d) Projecting signs.
1. A projecting sign shall not project more than 36 inches beyond the wall to which it is attached.
2. A projecting sign shall be finished on both sides.
3. A projecting sign shall be mounted perpendicularly to the wall.
(e) Ground clearance under signs.
1. Projecting signs shall provide a minimum of eight feet of clearance from ground level to the bottom of the sign.
2. Under-canopy signs of greater than four square feet shall be rigidly mounted, and there shall be eight feet of clearance below the base of any rigidly mounted under-canopy sign over a pedestrian walkway. There shall be a minimum clearance of seven feet below the base of any non-rigidly mounted under-canopy sign over a pedestrian walkway. A minimum of 14 feet of clearance shall be maintained for an under-canopy sign above a vehicular driveway or service area.
3. Awning, mansard and marquee signs shall be no less than eight feet above the ground when erected over pedestrian walkways and 14 above ground over vehicular pathways at the lowest extremity of the sign.
(f) Project Entrance Signs. Where permitted, project entrance signs shall meet the following standards:
1. Each project entrance may have no more than one such sign per entrance if double-faced or two signs if attached to symmetrical entrance structures.
2. The sign must be constructed of brick, stone, masonry or equivalent architectural material and be monument-style or integral to walls/fencing separating the project from the street.
3. The maximum face area shall not exceed 40 square feet.
4. The height of the structure shall not exceed eight feet including embellishments which shall not extend more than two feet above the main body of the structure.
5. Signs shall not be internally illuminated.
6. Signs shall be located a minimum of 15 feet from the edge of a street or two feet behind the right-of-way, whichever is greater.
(g) Nothing in this chapter shall prohibit non-commercial speech on any sign provided for in this ordinance, subject to size, spacing, height and other structural limitations contained herein.
(h) Illumination. All signs that are illuminated shall be effectively shielded so as to prevent beams or rays of light from causing glare to or impairing the vision of an aircraft pilot, motor vehicle driver, or pedestrian, or otherwise interfering with the operation of an aircraft or motor vehicle. Signs in residential and ORI-1 zones shall not be internally illuminated.
(i) Maintenance. All signs shall be regularly repaired as needed and maintained in a safe and attractive state. Broken, unsafe, or damaged signs shall be repaired by the owner as soon as practicable. The city reserves the right to compel removal of or to remove any sign that, due to damage, unsafe condition or neglect, represents an immediate danger to the general public, if the owner shall have refused to comply with a written repair order from the building official.
(j) No message may be displayed on any portion of the structural supports of any sign.
Sec. 25-10-18. Sign standards for residential zoning districts.
In the R-1, R-2, R-3, R-2M, MHP, R-4, R-5, R-7, R-8.5, R-10, R-12, R-25, R-35, R-44 and R-IN, the following signs are permitted:
(a) Project entrance signs subject to Sec. 25-10-17(f).
(b) Properties developed with a nonresidential use, excluding home occupations, such as a school, church, library or other similar nonresidential use are allowed the following:
1. In lieu of a project entrance sign, one monument sign per street frontage. Monument signs shall be limited to no more than 36 square feet in area and six (6) feet in height. Up to a maximum of 25 percent of the face area may be changeable copy.
2. Building signs. One building sign per street facing wall, totaling no more than 24 square feet, provided that if a projecting sign is used it shall be no more than 16 square feet and subject to the requirements of Sec. 25-1017(d) and 25-10-17(e)(1).
(c) Changeable copy (except as otherwise in Section 25-10-18(b)(2)), changing and internally illuminated signs are not permitted.
(d) Miscellaneous signs subject to Sec. 25-10-17(c).
(e) Standard information signs as provided for in Sec. 25-10-19.
| Sign Type | Maximum # | Maximum Size | Maximum Height |
|---|---|---|---|
| Project Entrance Sign (monument signs) | 1 per entrance if two-sided; 2 per entrance if placed on symmetrical structures | 40 square feet | 8 feet |
| Monument Signs for Permitted Non- residential uses in lieu of project entrance sign | One per street frontage, up to maximum of 2 | 36 square feet per sign (up to 25% may be changeable copy) | 6 feet |
| Building Signs for Permitted Non-residential uses | One per street frontage | 24 square feet in total per street facing wall for wall, awning, canopy signs | N/A |
| | | 16 square feet for projecting signs | |
Sec. 25-10-19. Standard Informational Sign.
In addition to any other sign authorized by this section, each lot zoned residential may contain no more than one (1) standard informational sign. Provided, however, to the extent said sign is a commercial sign, the copy of the commercial sign shall be limited to commercial activities lawfully occurring on the premises as zoned. Examples of this allowed commercial sign category include real estate signs and signs regarding on-going home renovation or repair. Nothing contained in this section shall be construed to prohibit non-commercial speech to be included on such standard informational signs, wholly or partially, at the discretion of the sign owner.
Sec. 25-10-20. Sign standards for office and institutional zoning districts.
In the OIR-1 district, the following signs are permitted:
(a) Monument signs. One monument sign per street frontage, but no more than two per property. Monument signs shall be limited to no more than 36 square feet in area and six (6) feet in height.
(b) Building signs. One building sign per street frontage. Building signs shall be limited to no more than 24 square feet in area. If a projecting sign is used for the building sign it shall comply with Sec. 25-10-17(d) and Sec. 25-10-17(e)(1).
(c) Changeable copy, internally illuminated and changing signs shall not be permitted.
(d) Temporary sigs as provided for in Sec. 25-10-25.
(e) Miscellaneous signs as provided for in Sec. 25-10-17(c).
| Sign Type | Maximum # | Maximum Size | Maximum Height |
|---|---|---|---|
| Monument Signs | One per street frontage | 36 square feet per sign (up to 25% may be changeable copy) | 6 feet |
| Building Signs | One per street frontage | 24 square feet in total per street facing wall for wall, awning, canopy signs | N/A |
| | | 16 square feet for projecting signs | |
| Miscellaneous Signs | Two per driveway | 6 square feet | 3 feet if within the setback; 6 feet if beyond the setback |
Sec. 25-10-21. Sign standards for neighborhood commercial zoning districts.
In the C-1 district, the following signs are permitted:
(a) Freestanding signs.
1. One monument sign per street frontage, but in no case more than two per lot. Monument signs shall be limited to no more than 72 square feet in area and twelve (12) feet in height. Up to a maximum of 25 percent of the face area may be changeable copy; or
2. One pole sign per street frontage, but in no case more than two per lot. Pole signs shall be limited to no more than 50 square feet in area and 15 feet in height. Up to a maximum of 25 percent of the face area may be changeable copy.
(b) Building signs. Building signs subject to the following restrictions:
1. The maximum sign area allowed on each building elevation visible from a public or private street is as follows:
i. For single-occupant buildings (or multiple tenants sharing common space through a common entrance), the maximum allowable area for building signage is 10% of the area of the wall (including windows and doors) up to a maximum of 200 square feet, whichever is more restrictive.
ii. For multi-tenant buildings where each tenant possesses a separate exterior entrance, the maximum allowable area for building signage is 10% of the front façade of each individual business, including windows and doors, up to a maximum of 200 square feet whichever is more restrictive.
2. In addition to the building signage permitted above, not more than one projecting sign per storefront facing a public street. Projecting signs shall
not exceed 16 square feet and shall comply with Sec. 25-10-17(d) and Sec. 25-10-17(e)(1).
(c) Temporary signs as provided for in Sec. 25-10-25.
(d) Miscellaneous signs as provided for in Sec. 25-10-17(c).
| Signs in Neighborhood Commercial (C-1) Districts | | | | |
|---|---|---|---|---|
| Sign Type | Maximum # | Maximum Size | Maximum Height | Minimum Setback |
| Freestanding Signs | One per street frontage, up to a maximum of two per property | Monument = 72 square feet per sign (up to 25% may be changeable copy) | Monument = 12 feet | 15 feet from the edge of the street pavement or 2 feet behind the right-of-way, whichever is greater |
| | | Pole = 50 square feet per sign (up to 25% may be changeable copy) | Pole = 15 feet | |
| Building Sign (wall, canopy, awning) | N/A | Single tenant: 10% of the area of the wall, up to 200 sf | N/A | N/A |
| | | Multi-tenant: 10% of the front façade for each individual business | | |
| Projecting Signs | One per street facing storefront | 16 sf | At least 8’ clearance to bottom of sign | N/A |
| Miscellaneous Signs | Two per driveway | 6 square feet | 3 feet if within the setback; 6 feet if beyond the setback | N/A |
Sec. 25-10-22. Sign standards for commercial and industrial zoning districts.
In the C-2, C-3, G-I, and H-I districts, the following signs are permitted:
(a) Freestanding signs are permitted on individual parcels subject to the following:
1. One freestanding sign per street frontage.
2. Maximum height is 15 feet, except in C-2 the maximum height is ten feet and the sign must be monument style.
3. Maximum freestanding sign face area allowed for freestanding pole or pylon signs is 100 square feet. Maximum freestanding sign face area allowed for monument signs is 150 square feet.
4. Properties upon which more than one independently owned and operated business use is located shall be allowed five feet of additional sign height for a maximum of 20 feet and granted an additional 25 square feet of sign area for each additional independently owned and operated business up to a maximum of 200 square feet provided the freestanding sign meets the definition of a monument sign.
5. Freestanding signs may be internally or externally illuminated.
6. In the C-3 district, a changing sign may be permitted subject to Sec. 25-1026 as a portion of a freestanding sign. Up to a maximum of 50 percent of the face of a freestanding sign may be changeable copy or a changing sign.
(b) Project entrance signs. Commercial and industrial subdivisions may construct a project entrance sign subject to the standards contained in Sec. 25-10-17(f).
(c) Building signs. Building signs subject to the following restrictions:
1. The maximum sign area allowed on each building elevation visible from a public or private street is as follows:
i. For single-occupant buildings (or multiple tenants sharing common space through a common entrance), the maximum allowable area for building signage is 10% of the area of the wall (including windows and doors) up to a maximum of 200 square feet, whichever is more restrictive.
ii. For multi-tenant buildings where each tenant possesses a separate exterior entrance, the maximum allowable area for building signage is 10% of the front façade of each individual business, including windows and doors.
2. Projecting signs shall not exceed 16 square feet and shall comply with the requirements of Sec. 25-10-17(d) and 25-10-17(e)(1).
(d) Canopy signs on a freestanding or attached canopy that covers and protects pumps that dispense gasoline or diesel fuels for retail customers. One sign is allowed on each of three sides and each sign is limited to no more than 20% of the area of the canopy wall to which it is attached.
(e) Temporary signs as provided for in Sec. 25-10-25.
(f) Miscellaneous signs as provided for in Sec. 25-10-17(c).
(g) Special freestanding interstate signs. Properties located within the C-3 general commercial zone which are both no more than 1,000 feet from the centerline of the Interstate 85 right-of-way and no more than 1,500 feet from the centerline of Lafayette Parkway, Hamilton Road, or Whitesville Road shall be permitted one accessory use special freestanding interstate sign subject to the following requirements:
1. The property shall be at least 0.75 of an acre in size.
2. The maximum sign height shall be 75 feet from the elevation of the ground at the base of the sign.
3. The surface area of the sign shall not exceed 400 square feet per sign face, and not more than 800 square feet of total sign area when all sign faces are combined.
4. The location of each interstate sign shall be set back not more than 100 feet from I-85, but at least 10 feet from I-85 and 40 feet from all other property lines.
5. No freestanding interstate sign shall be located within 50 feet of another freestanding sign.
6 The face of each sign shall be perpendicular to the centerline of the interstate nearest to its location. No sign shall have more than 2 faces.
| Sign Type | Maximum # | Maximum Size | Maximum Height | Minimum Setback |
|---|---|---|---|---|
| Freestanding Signs | One per street frontage, up to a maximum of two per property | Monument = 150 square feet per sign (up to 50% may be changeable copy, or, in the C-3, a changing sign) | C-3, G-I and H-I Monument = 15 feet | 15 feet from the edge of the street pavement or 2 feet behind the right-of-way, whichever is greater; 50 feet from all other freestanding signs |
| | | | C-2 Monument = 10 feet | |
| | | Pole = 100 square feet per sign (up to 50% may be changeable copy, or, in the C-3, a changing sign) | C-3, G-I and H-I Pole = 15 feet (no pole signage in C- 2) | |
| Building Sign (wall, canopy, awning) | N/A | Single tenant: 10% of the area of the wall, up to 200 sf | N/A | N/A |
| | | Multi-tenant: 10% of the front façade for each individual business | | |
| Projecting Signs | One per street facing storefront | 16 sf | At least 8’ clearance to bottom of sign | N/A |
| Gas Canopy Signs | One sign on each of three sides of the canopy | 20% of the area of the canopy wall | N/A | N/A |
| Special Interstate Signs (C-3 only) | One sign on a lot at least 0.75 of an acre and within 1,000 feet of the centerline of I- 85 and within 1,500 feet of the centerline of Lafayette Parkway, Hamilton Road or Whitesville Road | 400 square feet | 75 feet | At least 10 feet but not more than 100 feet from I-85 R/W; At least 40 feet from all other property lines; At least 50 feet from all other freestanding signs |
Sec. 25-10-23. Sign standards for the downtown district (town center and garden districts).
(a) Purpose. The purpose of the downtown district zones are as follows:
1. To encourage the effective use of signs as a means of communication in the central business district;
2. To maintain and enhance the downtown environment and the city's ability to attract sources of economic development and growth;
3. To improve the appearance and function of the city's civic and cultural center;
4. To provide for harmony and compatibility of development throughout the downtown;
5. To improve pedestrian and traffic safety; and
6. To protect the public investment in downtown improvements. The regulations are intended to supplement the requirements of the underlying zone districts through the application of overlay zones.
(b) Regulation of underlying district. Unless otherwise noted in the downtown district zone regulations, the regulations of the underlying zoning district shall be maintained and not affected.
(c) Establishment of districts. The downtown district zone shall include two (2) subdistricts: the town center district and the garden district. The boundaries of each subdistrict shall be established by the mayor and council and shown on the official zoning map.
(d) General signage requirements.
1. Graphics and public service items: murals, art works, pictures, other graphics not including trademarked logos, images or words and public service items such as temperature/times diodes and clocks that are clearly separated from advertising messages are excluded from signage requirements, except that such items may not extend above the roof line of any building.
2. Portable signs are prohibited.
3. Roof signs (signs affixed flush to or extended above building roof) are prohibited.
4. Materials and maintenance: All permanent signs shall be made of durable materials and shall be well maintained. Signs that are not well maintained or structurally sound and are not fastened firmly to the ground, pole, or building shall be removed.
5. Roof line: No advertising device of any kind, including but not limited to signs, pennants, banners, balloons, flags or other displays used to attract attention, shall extend above the roof line of any building.
6. Internal and external lighting:
i. Lighting is permitted when effectively shielded to prevent glare which may impair the vision of drivers, pedestrians in the public right-of-way and parking areas, and occupants of adjacent properties.
ii. No sign shall be flashing or intermittently lit except time and temperature displays.
7. Compliance. Notwithstanding any other provision of this section, the installation of a pole sign or projecting sign shall require that any business installing such a sign comply with the other provisions of this ordinance within a period of three (3) months from the date of the permit for such sign.
(e) Town Center Requirements.
1. Each storefront and each ground floor entrance to upper story businesses in the town center shall be allowed a maximum of seventy-five square feet of signage for each street frontage. A storefront is the ground floor portion of a building which provides pedestrian access to, and usually display area for, the business or businesses located within.
2. Each storefront and entrance in the town center shall be allowed a maximum of three (3) signs for each street frontage.
3. The following types of signs shall be allowed:
i. Sidewalk pole signs: Where sidewalk poles with standard bar attached are installed, businesses may be permitted to attach one sign to the bar of the pole closest to their entrance as follows:
(A) Maximum size: Twelve (12) square feet per sign face;
(B) Maximum height: Eight (8) feet above sidewalk;
(C) Maximum width: Three (3) feet;
(D) The sign may not extend above the bottom of the glass globe on poles with pedestrian lights;
(E) The sign may be of rigid material or fabric material as long as the fabric is fastened securely and maintained in good condition. Attachment shall be with standard bar and on the building side of the bar.
ii. Wall signs:
(A) Maximum size: fifty (50) square feet;
(B) Maximum number: one wall sign per storefront or entrance;
(C) Signs may not extend more than eighteen (18) inches from the façade. However, where a sign extends more than six (6) inches from the façade, it must be a minimum of eight (8) feet above the sidewalk.
iii. Projecting signs:
(A) Projecting signs may not be used by any storefront or entrance which has a sidewalk or pole sign;
(B) Maximum size: Twelve (12) square feet per sign face;
(C) Maximum width: Three (3) feet;
(D) Maximum number: one (1) projecting sign per storefront entrance;
(E) Height: Signs must be a minimum of eight (8) feet above the sidewalk and may not reach above the bottom of second story windows;
(F) Projecting signs may extend over the public right-of-way but shall reach no closer than four (4) feet to the face of the street curb or to areas where there is vehicular traffic.
iv. Awning and canopies:
(A) Awnings and canopies may extend over the public right-ofway but shall reach no closer than four (4) feet to the face of the street curb or to areas where there is vehicular traffic;
(B) Awnings and canopies shall be at least eight (8) feet above the ground at all points;
(C) Awnings or canopies that have lighting, including neon, attached shall be allowed only after approval of the mayor and council.
v. Freestanding signs:
(A) Maximum number: one (1) freestanding sign (monument style only) per principal building;
(B) Maximum size: forty (40) square feet per sign face;
(C) Maximum height: Ten (10) feet.
(f) Garden district requirements:
1. Each storefront and ground floor entrance to upper story businesses in the garden district shall be allowed a maximum of seventy-five (75) square feet of signage for each street frontage. A storefront is the ground floor portion of a building which provides pedestrian access, and usually display area for, the business or businesses located within.
2. Each storefront entrance in the garden district shall be allowed a maximum of three (3) signs for each street frontage.
3. The following types of signs shall be allowed:
i. Wall signs:
(A) Maximum size: Twenty (20) square feet;
(B) Maximum number: One (1) wall sign per storefront or entrance;
(C) Signs may not extend more than eighteen (18) inches from the façade. However, where a sign extends more than six (6) inches from the façade, it must be a minimum of eight (8) feet above the sidewalk.
ii. Projecting signs:
(A) Maximum size: Twelve (12) square feet per sign face;
(B) Maximum number: One (1) projecting sign per storefront of entrance;
(C) Maximum width: Three (3) feet;
(D) Height: signs must be a minimum of eight (8) feet above the sidewalk and may not reach above the bottom of second story windows;
(E) Projecting signs may extend over the public right-of-way but shall reach no closer than four (4) feet to the face of the street curb or to areas where there if vehicular traffic.
iii. Awnings and canopies:
(A) Awnings and canopies may extend over the public right-ofway, but shall reach no closer than four (4) feet to the face of the street curb or to areas where there is vehicular traffic;
(B) Awnings and canopies shall be at least eight (8) feet above the ground at all points.
iv. Freestanding signs:
(A) Maximum number: one (1) freestanding sign per principal building (monument style only);
(B) Maximum size: Sixty (60) square feet per sign face;
(C) Maximum height: Ten (10) feet;
(D) Minimum distance; Fifteen (15) feet from adjoining lot line.
Sec. 25-10-24. Signs in PUD and MXD Zoning Districts.
For signs in the PUD and MXD zoning districts, each development shall conform to the sign regulations established as part of the zoning approval for the development. If no such regulations exist, each portion of a development existing on the effective date of this zoning ordinance shall not exceed the sign permissions of this Article for the zoning district most comparable to that portion of the development, as determined by the community development director or his designee. Any sign which has not been previously approved as part of the zoning approval for the development or subsequently permitted and erected shall require submission and approval of a uniform sign plan as specified in this Article.
Sec. 25-10-25. Temporary Event Signs.
In addition to other signs allowed on a non-residentially zoned property, signage is allowed for the duration of a temporary event. Such additional signs shall not be restricted as to the message displayed on the sign, but they must comply with the provisions of this section.
Temporary event signs must comply with all requirements of this chapter, except as modified by the provisions of this section, including prohibitions listed in Sec. 25-10-16. One (1) temporary event sign is allowed on a non-residentially zoned lot subject to the following requirements:
(a) Size requirements and type.
1. Freestanding signs.
i. Area of sign. Thirty-two (32) non-illuminated square feet.
ii. Height of sign. Six (6) feet in height.
2. Wall sign. Six (6) non-illuminated square feet.
3. Banners. Twenty-four (24) square feet.
4. Portable signs. C-3 zoned lot. Thirty-two (32) square feet. Prohibited in all other districts.
(b) Duration.
Temporary event signs may be placed on any property upon initiation of a temporary event and must be removed upon termination of the event. Banners and portable signs must follow the duration period as set forth in Sec. 25-10-25(c). Initiation and termination of particular events shall be interpreted as follows:
1. Sale or lease of a building or premises. Initiation upon the availability of the building or premises for sale or lease, and termination upon the closing of the sale or execution of the rental agreement.
2. Construction. Initiation upon commencement of construction for which a land disturbance permit has been issued, and termination upon the issuance of a certificate of occupancy, installation of a permanent sign, or expiration/termination of the land development permit, whichever is to occur first.
3. Special business promotions. Initiation upon the announcement of the special sale or sales event and termination upon its completion or thirty (30) days after initiation, whichever occurs first. Business promotion signs sixteen (16) square feet or greater in size may not be approved more often than four (4) times each calendar year on the same property.
4. Public announcement. Initiation upon the placement of the sign and termination within thirty (30) days after placement.
(c) Number of signs.
Only one (1) sign related to each temporary event may be located on a lot at any one time and only one temporary event at a time is allowed on a lot, in addition to the following:
1. Sale or lease of a lot, building or premises. One freestanding temporary event sign per lot that is available for sale or lease. For a planned center or a storefront development, one additional temporary event wall sign may be placed on the wall façade of the space that is available for sale or lease.
2. Banners. One banner per street frontage, not to exceed 30 days per calendar quarter.
3. Portable signs. One portable sign per lot, not to exceed 30 days per calendar quarter.
4. Multi-tenant developments with tenant spaces possessing separate entrances. Each business conducting a special business promotion event is allowed one temporary event wall sign, subject to the duration requirements in Sec. 25-10-25(b).
(d) Location.
1. All temporary event signs must be set back at least 15 feet from the edge of the street pavement or 2 feet behind the right-of-way, whichever is greater.
2. A temporary event sign must be located at least ten (10) feet from any other sign.
3. A temporary event sign shall be erected and maintained only with the permission of the owner of the property on which the sign is to be located.
(e) Permits and Sign Approval.
A temporary sign permit and fee as established by the Mayor and Council shall be required for the following signs. Upon expiration of the permit, the sign and any supporting structures shall be removed.
1. Banners.
2. Portable signs.
3. Special business promotion signs that are 16 square feet and larger.
Sec. 25-10-26. Changing Signs.
Changing signs or signs employing changing sign technology shall be allowed exclusively within the C-3 zoning district as a portion of a conforming, freestanding sign and are further subject to the following requirements:
(a) Each message displayed on any changing sign display shall remain static for at least thirty (30) seconds following the completion of its transition from the previous message. As used in this subsection "static" shall mean a display that is fixed in one (1) position with no portion of the display being in motion or changing in color or light intensity.
(b) When a message is changed mechanically, the transition between a complete static display of the previous message and a complete static display of the next message shall be accomplished in three (3) seconds or less. The transition period shall be measured as that period between any movement of any part of the display of the previous message and the time that the display of the next message is fully static.
(c) When a message is changed electronically, the transition between a complete static display of the previous message and a complete static display of the next message shall be accomplished in two (2) seconds or less. The transition period shall be measured as that period between the time that the previous message is static and fully illuminated and the next message is static and fully illuminated.
(d) No changing sign may include animated, flashing, full-motion video or other intermittent elements. The transition period between two fully illuminated static messages displayed in an electronically changed sign shall not be considered an intermittent element so long as the purpose of the changing light intensity is to fade or dissolve into the next message.
(e) No changing sign may have any type of changing effect on the border of the sign that is not fully integrated with a static message display and which does not transition to the next static message display in the same manner as the rest of the display.
(f) No display or other effect from any electronically changed sign shall cause a glare or other condition that impairs the vision of the driver of any motor vehicle or which otherwise interferes with the safe operation of a motor vehicle.
(g) Message transitions achieved by means of the scrolling of the letters, numbers or symbols shall be completed within two (2) seconds and shall remain static for at least sixty (60) seconds following the completion of the transition from the previous message.
(h) All signs shall appropriately adjust display brightness as ambient light levels change so that the brightness of the display does not cause a glare or other condition that impairs the vision of the driver of any motor vehicle or which otherwise interferes with the safe operation of a motor vehicle. The maximum illumination, intensity, or brightness of electronic signs shall not exceed 5,000 nits (candelas per square meter) during daylight hours, or 500 nits (candelas per square meter) between dusk to dawn. The sign must have an automatic phased proportional dimmer control, photocell or other light sensing device, or a scheduled dimming timer, or another approved device, which produces a distinct illumination change that reduce nighttime brightness levels (compared to daytime brightness levels). The applicant shall provide written certification from the sign manufacturer that the light intensity has been factory pre-set or can be programmed not to exceed the levels specified in this subsection; end-user manipulation of pre-set levels or to exceed those specifications herein shall not be permitted. Unless another industry standard is accepted, the measurement for purposes of this paragraph shall be at any point ten (10) feet from the surface of the changing sign.
(i) No malfunction of a changing sign shall cause a glare or other condition that impairs the vision of the driver of any motor vehicle or which otherwise interferes with the safe operation of a motor vehicle.
(j) Any changing sign currently in existence shall comply with the regulations of this part. If a changing sign currently in existence cannot meet these requirements due to the limitation of the technology being employed, the owner of the sign shall be allowed to continue the existing use upon a showing, satisfactory to the director, that the requirements of this part cannot be met.
Sec. 25-10-27. Nonconforming Signs
Signs that, on the effective date of this ordinance, were approved and legally erected under previous sign restrictions, and have become non-conforming with respect to the requirements of this ordinance, may continue in existence subject to the remaining provisions of this section.
(a) Signs shall not be repaired, rebuilt, replaced or altered except in conformity with this chapter after damage exceeding 50 percent of the signs' replacement cost at the time of damage.
(b) Signs shall not be enlarged or altered in a way that would increase the nonconformity of the sign.
(c) Existing signs which were legally erected but which have become non-conforming and which do not meet the setback requirements of this ordinance due to road widening should be moved to meet the setback requirement of this ordinance but shall not be increased in size, shape or changed in any manner except as to become conforming.
(d) A non-conforming sign shall not be replaced by another non-conforming sign, except that the substitution or interchange of poster panels, painted boards or de-mountable material on non-conforming signs shall be permitted. A change in the mode of message conveyance (i.e. from screen-print panel to LED) shall not be permitted on a nonconforming sign.
(e) Minor repairs and maintenance of non-conforming signs such as electrical repairs or lettering repair shall be allowed. However, no structural repairs or changes in the size or shape of the signs hall be permitted except to make the sign comply with the requirements of this ordinance.
(f) Portable signs, banners, and other signs allowed under this chapter which are not fixtures or freestanding signs are considered personal property, unattached to the real property on which they are placed, and thus have no nonconforming or grandfather rights under this section.
(g) In all zoning districts, signs shall be removed which:
1. Were illegally erected or maintained with respect to prior ordinances.
2. Are made of paper, cloth or non-durable materials, except as otherwise permitted by this ordinance.
3. Are located in the public right-of-way, except as otherwise permitted by this ordinance.
4. Are existing signs on parcels annexed into the city and do not meet the city's sign ordinance.
Sec. 25-10-28. Variances.
(a) Application. A request for a variance to the provisions of this chapter may be initiated by a property owner or his authorized agent by filing an application with the community development director.
(b) Application requirements. The application shall be on a form provided by the community development department and accompanied by an elevation drawing and/or plot plan, drawn to scale, showing the dimensions and arrangement of the proposed sign. The community development director may require other information about the variance requested and its relationship to the surrounding properties. Variance applications shall be accompanied by a fee as established by the governing body by resolution from time to time.
(c) Procedure. Upon the filing of any complete application for a variance, a public hearing shall be scheduled and held by the Board of Planning and Zoning Appeals (the Board). Public notice of the variance application shall be published in a newspaper of general circulation in the local jurisdiction at least ten (10) days prior to the scheduled public hearing of the Board. Such notice shall state the purpose, location, time and date of the public hearing, and the nature of said application. In addition, at least ten (10) days prior to the scheduled public hearing a sign shall be placed on the property for which a variance is sought.
(d) Authority. The Board shall have the authority to grant variances to this chapter, upon application by a property owner and after receiving comments by the community development staff and after holding a public hearing.
(e) Criteria for action upon variance application. In acting upon variances, the community development staff shall submit written findings and the Board shall consider the following criteria and the extent to which they support or fail to support the sign variance application:
1. Where there are unusual, exceptional or extraordinary circumstances or conditions pertaining to the property that do not apply generally to other property in the same vicinity or use district, and such conditions are not the result of the owner's or occupant's own actions. Such conditions may include topography, unique natural conditions, surroundings of the subject property, or the size or peculiar shape of the lot.
2. As a result of such unusual circumstances or conditions, there is an unnecessary hardship or practical difficulty that renders it difficult to carry out the provisions of this chapter.
3. The authorization of such variance will not be materially detrimental to the public welfare or injurious to property in the vicinity or district in which property is located, and the variance will be in harmony with the general purposes and intent of the provisions of this ordinance.
4. The variance is the minimum variance that will make possible the legal use of the sign.
5. The variance is not a request to permit a type of sign which otherwise is not permitted in the zoning district involved.
(f) Appeals. Any applicant aggrieved by the decision of the Board shall seek judicial review by filing for a writ of certiorari in the superior court of Troup County within thirty (30) days of the decision.
SECTION 2:
All parts, portions, sections, paragraphs, sentences, clauses, and phrases of this Ordinance are each hereby declared to be severable and if any such part, portion, section, paragraph, sentence, clause, or phrase of this Ordinance shall be declared unconstitutional or otherwise invalid by a court of competent jurisdiction, such invalidity shall not affect any remaining parts, portions, sections, paragraphs, sentences, clauses, or phrases thereof and the Mayor and Council of the City of LaGrange hereby declare that had they known that any such provision was or would be invalid, they would not have adopted that portion or part of the Ordinance but would have nevertheless adopted the remaining portions thereof.
SECTION 3:
All Ordinances or parts of Ordinances in conflict with this Ordinance are hereby repealed.
SECTION 4:
This Ordinance after adoption by the Council and approval by the Mayor shall become effective immediately.
SECTION 5:
Any person who shall violate the provision of this Ordinance shall upon conviction therefor in the appropriate court be punished as provided in Section 1-1-6 of this Code.
INTRODUCED AND FIRST READING
June 12, 2018
SECOND READING AND ADOPTED
SUBMITTED TO MAYOR AND APPROVED
BY:
June 26, 2018
June 26, 2018
/s/ James C. Thornton, Mayor
ATTEST: /s/ Teresa Taylor, Assistant City Manager
*****
On a motion by Mr. Gore seconded by Mr. Arrington, Council voted to modify the electric rate schedules with Mr. Gore, Mr. Mitchell, Mr. McCamey, Mr. Arrington and Mr. Edmondson voting in favor and Mr. Gaskin in opposition to the following ordinance:
AN ORDINANCE
AN ORDINANCE OF THE MAYOR AND COUNCIL OF THE CITY OF LAGRANGE TO AMEND THE CODE OF THE CITY; TO AMEND SECTION 20-5-4 REGARDING ELECTRIC RATE SCHEDULES; TO MODIFY THE ELECTRIC SERVICE RATE SCHEDULES FOR RESIDENTIAL ELECTRIC SERVICE, COMMERCIAL ELECTRIC SERVICE, GENERAL ELECTRIC SERVICE AND ECONOMIC DEVELOPMENT ELECTRIC SERVICE; TO REPEAL CONFLICTING ORDINANCES; TO FIX AN EFFECTIVE DATE; AND FOR OTHER PURPOSES.
THE MAYOR AND COUNCIL OF THE CITY OF LAGRANGE, GEORGIA, HEREBY ORDAIN AS FOLLOWS:
SECTION 1:
That Section 20-5-4 of the Code be amended by deleting therefrom subparagraph (4) of subsection (b) (regarding residential electric service) inserting in lieu thereof a new Section 20-54(b)(4) to read as follows:
"(4) Monthly Rate:
a. WINTER – October through May
Base Charge: $20.00
First 650 KWH: 7.00 cents/KWH
Next 350 KWH: 6.00 cents/KWH
Over 1,000 KWH: 5.50 cents/KWH
b.
SUMMER – June through September
Base Charge: $20.00
First 650 KWH: 7.00 cents/KWH
Next 350KWH: 8.00 cents/KWH
Over 1,000 KWH: 10.30 cents/KWH"
SECTION 2:
That Section 20-5-4 of the Code be amended by deleting therefrom subparagraph (6) of subsection (b) (regarding residential electric service), inserting in lieu thereof a new Section 20-54(b)(6) to read as follows:
"(6) Minimum monthly bill: $20.00"
SECTION 3:
That Section 20-5-4 of the Code be amended by deleting therefrom subparagraph (4) of subsection (c) (regarding commercial electric service), inserting in lieu thereof a new Section 205-4(c)(4) to read as follows:
"(4) Monthly Rate – Energy Charge Including Demand Charge:
Base Charge: $200.00
Demand Charge: $2.50 per KW of billing demand
All consumption (KWH) not greater than 200 hours times the billing demand:
First 1,500 KWH: 11.80 cents per KWH
Next 8,500 KWH: 10.70 cents per KWH
Next 190,000 KWH: 8.50 cents per KWH
Over 200,000 KWH: 7.00 cents per KWH
All consumption (KWH) in excess of 200 hours and not greater than 400 hours times the billing demand: 2.00 cents per KWH
All consumption (KWH) in excess of 400 hours and not greater than 600 hours times the billing demand: 1.541 cents per KWH
All consumption (KWH) in excess of 600 hours times the billing demand: 1.36 cents per KWH
Minimum Monthly Bill: $200.00 plus $2.50 per KW of billing demand."
SECTION 4:
That Section 20-5-4 of the Code be amended by deleting therefrom subparagraph (4) of subsection (e) (regarding general electric service), inserting in lieu thereof a new Section 20-54(e)(4) to read as follows:
"(4) Monthly Rate – Energy Charge:
Base Charge: $22.00
First 1,000 KWH: 10.80 cents/KWH
Over 1,000 KWH: 10.00 cents/KWH
Minimum Monthly Bill: $22.00"
SECTION 5:
That Section 20-5-4 of the Code be amended by deleting therefrom subparagraph (2) of subsection (e) (regarding general electric service), inserting in lieu thereof a new Section 20-54(e)(2) to read as follows:
"(2) Applicability: To all electric service of one (1) standard voltage required by any customer receiving electric service at one (1) point and metered at or compensated to that voltage who uses approximately seven thousand five hundred (7,500) KWH or less during an average month and who would have a maximum 30minute measured demand of less than thirty (30) KW. This schedule is also applicable for outdoor lighting that is expected to operate only during the evening hours."
SECTION 6:
That Section 20-5-4 of the Code be amended by inserting therein a new subsection (g) to read as follows:
"(g) Continuity of Service:
Nothing contained herein shall guarantee on behalf of the city an uninterrupted or undisturbed supply of electric service. In no event shall the city be responsible for any loss or damage resulting from the interruption or disturbance of service for any cause other than gross negligence of the city. Under no circumstances shall the city be liable for any loss of profits or other consequential damages resulting from the use of electric service or any interruption or disturbance of said service. The city shall under no circumstances be responsible for the transmission, use, or control of electrical energy beyond the point of connection to the customer's premises."
SECTION 7:
All ordinances or parts of ordinances in conflict herewith are hereby repealed.
SECTION 8:
This ordinance, after adoption by the Council and upon approval by the Mayor, shall become effective July 1, 2018.
INTRODUCED AND FIRST READING
June 12, 2018
SECOND READING AND ADOPTED
June 26, 2018
SUBMITTED TO MAYOR AND APPROVED
June 26, 2018
BY: /s/ James C. Thornton, Mayor
ATTEST: /s/ Teresa Taylor, Assistant City Manager
*****
On a motion by Mr. Gore seconded by Mr. Mitchell, Council unanimously voted to modify the gas service rate schedules with Mr. Gore, Mr. Mitchell, Mr. McCamey, Mr. Arrington and Mr. Edmondson voting in favor and Mr. Gaskin voting in opposition to the following ordinance:
AN ORDINANCE
AN ORDINANCE OF THE MAYOR AND COUNCIL OF THE CITY OF LAGRANGE TO AMEND THE CODE OF THE CITY; TO AMEND SECTION 20-10-3 OF THE CODE IN ORDER TO MODIFY SCHEDULES 40, 41, 42 AND 48 OF THE GAS SERVICE RATE ORDINANCE; TO REPEAL CONFLICTING ORDINANCES; TO FIX AN EFFECTIVE DATE; AND FOR OTHER PURPOSES.
THE MAYOR AND COUNCIL OF THE CITY OF LAGRANGE, GEORGIA, HEREBY ORDAIN AS FOLLOWS:
SECTION 1:
That Section 20-10-3 of the Code be amended by deleting subsection (b)(3), inserting in lieu thereof a new Section 20-10-3(b)(3) to read as follows:
"(3)
Monthly Rate:
Winter base charge (November through March) . . . $14.00
Summer base charge (April through October). . . . . $ 5.00
All consumption, per therm . . . . . . . . . . . . . . . . . . . $0.545"
SECTION 2:
That Section 20-10-3 of the Code be amended by inserting therein a new subsection (i) to read as follows:
"(i) Continuity of service: The city does not guarantee an uninterrupted or undisturbed supply of natural gas service, and will not be responsible for any loss or damage resulting from the interruption or disturbance for any cause other than gross negligence of the city. The city will not be liable for any loss of profits or other consequential damages resulting from the use of service or any interruption or disturbance of service, and shall not in any way be responsible for transmission, use, or control of natural gas beyond the point of connection to the customer's premises."
SECTION 3:
That Section 20-10-3 of the Code be amended by deleting therefrom subparagraph (2) and (3) of subsection (c), inserting in lieu thereof a new Section 20-10-3(c)(2) & (3) to read as follows:
"(2) Applicability: Applicable to any commercial user for any purpose exclusive of resale and for service at any one location through one metering point from lines of adequate capacity.
(3) Monthly Rate:
Base charge . . . . . . . . . . . . . . . . . $500.00
Distribution charge, per therm . . .$0.225"
SECTION 4:
That Section 20-10-3 of the Code be amended by deleting therefrom subparagraph (3) of subsection (d), inserting therein a new Section 20-10-3(d)(3) to read as follows:
"(3) Monthly Rate:
Base charge . . . . . . . . . . . . . . . . . . . . . . $500.00
Distribution charge, per therm . . . . . . . .$0.125"
SECTION 5:
That subsection (d) of Section 20-10-3 of the Code be amended by deleting therefrom subparagraph (6), inserting therein a new subparagraph (6) as follows:
"(6) Unauthorized use of gas: The city shall have the right at any time following one-hour notice to interrupt or limit the quantity of gas it delivers to a customer under this rate schedule. If a customer refuses to honor said limitation notice, the customer shall pay an allocated share of any interstate pipeline penalties charged to the city, as determined by the city, in addition to the delivery and purchased gas adjustment charges for such gas. The payment of a penalty charge shall not, under any circumstances, be considered as giving the customer the right to take unauthorized gas."
SECTION 6:
That Section 20-10-3 of the Code be amended by deleting therefrom subparagraph (3) of subsection (e), inserting therein a new Section 20-10-3(e)(3) to read as follows:
"(3) Monthly Rate:
Base charge . . . . . . . . . . . . . . . . . . . . . . $25.00
All consumption, per therm. . . . . . . . . . .$0.50"
SECTION 7:
All ordinances or parts of ordinances in conflict herewith are hereby repealed.
SECTION 8:
This ordinance, after adoption by the Council and upon approval by the Mayor, shall become effective July 1, 2018.
INTRODUCED AND FIRST READING
June 12, 2018
SECOND READING AND ADOPTED
SUBMITTED TO MAYOR AND APPROVED
BY: /s/ James C. Thornton, Mayor
ATTEST: /s/ Teresa Taylor, Assistant City Manager
*****
June 26, 2018
June 26, 2018
On a motion by Mr. Mitchell, seconded by Mr. Gaskin made a motion to suspend the Performance Incentive Pay bonuses for employees for the 2018-2019 Budget Year. The motion did not pass with Mr. Mitchell and Mr. Gaskin voting in favor and Mr. Gore, Mr. McCamey, Mr. Arrington and Mr. Edmondson voting in opposition.
On a motion by Mr. Arrington seconded by Mr. Gore, council unanimously voted to instruct staff to study the impact of increasing the discounts of utility rates for elderly residents.
In good news closing comments, Ms. Van Schoor announced Mayor Jim Thornton was named the 3 rd Vice President of the Georgia Municipal Association at its annual convention in Savannah. She further noted that the City of LaGrange had been recertified by GMA as a City of Ethics.
Nellie Stargell appeared before the Council and requested speed humps in front of the Griggs Center, a community center for the youth, and limiting parking for transfer trailer trucks in District 2. Mayor Thornton requested staff to re-evaluate the current speed hump policy.
Anthony Talley appeared before the Council requesting Council to reconsider denying an appropriation for Get Fed. No action was taken.
On a motion by Mr. McCamey seconded by Mr. Mitchell, the committee voted unanimously to adjourn to executive session to discuss property acquisition. Mayor Thornton recused himself due to a conflict of interest immediately after the vote.
At the end of the executive session, on a motion by Mr. Edmondson seconded by Mr. Arrington, the committee voted unanimously to adjourn the executive session and reconvene the meeting.
There was no other business and the meeting was adjourned by Mayor Pro Tem McCamey.
________________________________ _____________________________
Mayor
Assistant City Manager
|
SELECTION OF WAVE SOLDERING FLUXES FOR LEAD-FREE ASSEMBLY
Chrys Shea, Sanju Arora, and Steve Brown ALPHA – A Cookson Electronics Company Jersey City, NJ USA
Abstract
The process challenges of lead-free wave soldering often require the use of new flux chemistries when compared with the relatively tolerant tin-lead wave soldering process. In some cases, the fluxes used in tin-lead soldering work well in lead-free assembly. In other cases, however, the complexity of the assemblies dictate more active, heat-sustainable products formulated specifically for lead-free applications.
This paper reviews the J-STD-004 and how it is used in flux categorization and selection. It also discusses the major types of flux formulations available, and the design, process and reliability implications of using each type. The purpose of the paper is to help the reader make an informed choice when selecting wave solder fluxes for lead-free processing.
Introduction
When selecting a flux for wave soldering, many factors must be considered. They include the electronic product's performance environment, the complexity of the assembly, and the flux's residues and their associated cosmetics. These relate respectively to flux formulations in terms of their reliability requirements, activity and allowable activators, and their pin testability and appearance. Tradeoffs exist in the selection process. Fluxes that offer higher reliability may have lower activity or lower pin testability. Fluxes with lower reliability may possess higher activity and better yields. The word "may" is used because there are a myriad of formulation combinations to choose from, and each option has its own benefits and drawbacks.
Wave solder flux is potentially the highest risk of the fluxes when compared to fluxes used in other steps of the PWB assembly process. Consider solder paste: the flux is evenly applied only where needed during the stencil printing process, and if an acceptable solder joint is formed during reflow, the no-clean material has seen sufficient heat to render its residues non-corrosive in the localized areas where it was deposited. Similarly, in hand or automated point-to-point soldering with cored wire, the flux in the solder wire is directly exposed to heat in the process and must have seen sufficient heat to actually flow from the solder wire to form the single joint. The risks inherent to the fluxes used in wave soldering are due to the mechanics of the soldering process itself.
Whether wave solder flux is sprayed, foamed, or waved, it is applied to the entire bottom side of the PWB, and some amount of material is deposited on the top surface of the PWB. In fact, it is highly desirable to deliver flux all the way up the plated through holes of the assembly in order to facilitate hole fill of the molten solder. But in the wave soldering process, the thermal exposures of the bottom and top sides of the PWB are not equal. While it may be safe to assume that larger deposits of flux on the solder side of the PWB are rendered benign by their exposure to the solder wave, it may not be safe to make the same assumption about small deposits on the top side of the PWB because they did not experience the same thermal exposure. This is particularly true for high density, complex assemblies.
The transition to lead-free wave soldering is driving many assemblers to select new fluxes for their processes. The following information is provided to help guide the reader through the classification and categorization methods associated with fluxes. J-STD-004A, the Joint Industry Standard for Requirements for Soldering Fluxes 1 which classifies fluxes on the basis of their composition and activity levels, is reviewed. It is important to understand because it applies to all soldering fluxes used in electronics assembly. When selecting a flux specifically for wave soldering, however, the user must also understand the basic product formulation approaches and how they affect processing and reliability. A method of categorizing wave fluxes based on formulation approaches for various applications is presented.
Flux Classification
J-STD-004A addresses all forms of fluxes used in PWB assembly: paste, liquid, flux-cored solder wire, and flux-cored or flux-coated preforms. It divides all fluxes into one of four classes based on their composition.
As originally described by Alvin Schneider in 1997 2 , the flux composition categories and their symbols are:
(RO)
Each composition category is then subdivided into six flux activity levels according to the corrosive or conductive properties of the flux and its residues.
Flux activity levels are determined by results for copper mirror testing, corrosion testing, surface insulation resistance (SIR), electrochemical migration (ECM) and halide content. The three main activity levels are:
L Low or no flux/flux residue activity
M Moderate flux/flux residue activity
H High flux/flux residue activity
These three activity levels are further characterized by using a 0 or 1 to indicate the absence (0) or presence(1) of halides in the flux. This results in six classifications.
L0
L1
M0
M1
H0
H1
When the 4 composition classes and 6 activity levels are taken together, the result is 24 classifications. Table 1, taken from J-STD-004A lists the 4 composition categories in the first column and the 6 flux activity levels/flux types in the second column, and their resulting 24 classifications with their "flux designator" symbols in the fifth column.
| Flux Materials of Composition | Flux/Flux Residue Activity Levels | % Halide (by weight) | Flux Type |
|---|---|---|---|
| ROSIN (RO) | Low | 0.0%* | L0 |
| | | < 0.5% | L1 |
| | Moderate | 0.0% | M0 |
| | | 0.5-2.0% | M1 |
| | High | 0.0% | H0 |
| | | >2.0% | H1 |
| RESIN (RE) | Low | 0.0% | L0 |
| | | < 0.5% | L1 |
| | Moderate | 0.0% | M0 |
| | | 0.5-2.0% | M1 |
| | High | 0.0% | H0 |
| | | >2.0% | H1 |
| ORGANIC (OR) | Low | 0.0% | L0 |
| | | < 0.5% | L1 |
| | Moderate | 0.0% | M0 |
| | | 0.5-2.0% | M1 |
| | High | 0.0% | H0 |
| | | >2.0% | H1 |
| INORGANIC (IN) | Low | 0.0% | L0 |
| | | < 0.5% | L1 |
| | Moderate | 0.0% | M0 |
| | | 0.5-2.0% | M1 |
| | High | 0.0% | H0 |
| | | >2.0% | H1 |
* 0.0% is defined as <0.05% by weight
Table 1. Flux Classification as described in J-STD-004A. Note that inorganic fluxes are not used in electronics assembly.
The second and third columns of Table 1 relate to activity levels, which are determined with the following tests:
Copper Mirror Test:
This test checks the removal effect of the flux on a 50 nm film of copper that has been vacuum deposited on glass. A drop of test flux and a drop of control flux are placed on the copper mirror and conditioned at 23 o C and 50% RH for 24 hours. The results are observed and reported as shown below in figure 1. 3
Qualitative Halide:
- Silver Chromate:
- Spot Test:
Quantitative Halide:
Corrosion Test:
100 Megohm SIR:
Qualitative halide tests indicate absence or presence of halides. If no halides are detected, the quantitative halide tests are not necessary.
A drop of the test flux is applied to paper treated with silver chromate. If chlorides or bromides are present in the sample, the paper changes from a reddish color to an off-white, as shown in figure 2. 4
Figure 2. Silver chromate test results
A drop of test flux is placed in a zirconium-alizarin liquid, which has a purple color. If fluorides are present in the sample, the liquid changes color from purple to yellow. 5
Quantitative amounts of chlorides, bromides, or fluorides can be determined by ion chromatography.
This test checks the corrosiveness of the flux's residue under extreme environmental conditions. A pellet of solder is melted on a copper test panel with the test flux. It is then exposed to 40 o C and 100% RH for ten days and visually examined for signs of corrosion. 6
The Surface Insulation Resistance test checks the resistance of the flux or its residues when exposed to high heat and humidity. Test flux is applied to copper patterns on FR-4 test coupons, processed, and placed in an 85 o C and 85% RH environment where they are exposed to a -48V voltage bias for 7 days. Resistance measurements must be over 1x10 8 ohms on measurements taken on day 4 and day 7. Specimens are processed in accordance with the test standards, depending on the intended end use of the flux. 7
ECM:
The electrochemical migration test checks the propensity of flux residues to allow electrochemical migration, such as dendritic growth which can cause shorts, under severe service conditions. Test flux is applied to copper patterns on FR-4 test coupons (different from SIR coupons) and exposed to 65 o C and 85% RH for 4 days without a voltage bias. Surface insulation resistance is measured. The test coupons remain in the 65/85 environment with a 10V bias applied for 500 hours and SIR is again measured. The geometric means of the SIR readings are calculated and compared. A "pass" condition is met if the final reading is greater than or equal to 10 % of the initial reading. 8
The description of the tests for flux activity levels is intentionally brief. The reader should consult the prevailing documents, which are noted in the "References" section of this paper, for complete test methods and details.
The results of these tests are applied to fluxes as shown below in Table 2.
| FLUX TYPE | COPPER MIRROR | QUALITATIVE HALIDE | | QUANTITATIVE HALIDE | CORROSION TEST | CONDITIONS FOR PASSING 100 MEGOHM SIR REQUIREMENTS | CONDITIONS FOR PASSING ECM REQUIREMENTS |
|---|---|---|---|---|---|---|---|
| | | SILVER CHROMATE (Cl, Br) | SPOT TEST (F) | (Cl, Br, F) | | | |
| L0 | No evidence of mirror breakthrough | Pass | Pass | 0.0% | No evidence of corrosion | Uncleaned | Uncleaned |
| L1 | | Pass | Pass | <0.5% | | | |
| M0 | Breakthrough in < 50% of test area | Pass | Pass | 0.0% | Minor corrosion accpetable | Cleaned or Uncleaned | Cleaned or Uncleaned |
| M1 | | Fail | Fail | 0.5 to 2.0% | | | |
| H0 | Breakthrough in > 50% of test area | Pass | Pass | 0.0% | Major corrosion acceptable | Cleaned | Cleaned |
| H1 | | Fail | Fail | > 2.0% | | | |
Table 2. Requirements for establishing flux activity levels/flux types. The actual table in JSTD-004A has eight footnotes that should be consulted for additional information.
J-STD-004A describes how fluxes are classified by their composition and activity type. Although it offers guidance on activity and reliability tests, it does not offer guidance on how to select the proper material for particular applications. The authors propose a system of categorizing wave solder fluxes based on their formulation characteristics, with a perspective on processing, enduse, and reliability.
Flux Categorization Based on Formulation
From a formulation perspective, fluxes can be categorized in the following order: carrier type, rosin presence, activity, and halide content. Figure 3 depicts the suggested breakdown:
Figure 3. Wave solder flux types categorized by formulation
Flux Formulation Categories
Wave Solder
Fluxes
Water-Based
Alcohol-Based
Rosin-Containing
Rosin-Free
Rosin-Containing
Rosin-Free
No-Clean
No-Clean
Water Soluble
No-Clean
No-Clean
Water Soluble
Halide
Halide
Halide
Halide
Halide
Halide
No Halide
No Halide
No Halide
No Halide
No Halide
No Halide
The carriers or solvents, the materials which hold all the other active flux constituents in solution, are primarily alcohol or water. Alcohol-based fluxes have the advantages of being able to easily dissolve ingredients, exhibit low surface tension which facilitates wetting, and are easy to dry in the preheat portion of the process, but they also carry the drawbacks of flammability and high Volatile Organic Compound (VOC) emissions. To the contrary, water-based fluxes do not bear flammability risks nor emit large quantities of VOC's, but they have lower solvency, higher surface tension, and are more difficult to dry off in preheat. Furthermore, the post-soldering residues from water based fluxes can be hygroscopic and therefore exhibit lower reliability.
Rosin (or resin) presence is the second tier of categorization, and it applies to both alcohol- and water-based fluxes. The inclusion of rosin in a flux formulation determines the nature of its residue from both electrochemical and cosmetic perspectives. Rosin permits greater activity in a flux because it encapsulates and renders harmless any ionic materials such as chlorides, bromides, or unreacted acids left in the residues that may otherwise cause reliability concerns. Rosin itself is an activator at soldering temperatures, as it is a mixture of various long chain high molecular weight acids which react with metal oxides. It is dissolved into the carrier solvent along with other active materials during flux manufacture. When heated in the soldering process it becomes molten and acts as a thermally stable aid to the soldering process, and when cooled it solidifies to act as a hydrophobic encapsulant to any ionically active ingredients which may not have volatilized during the soldering cycle. This encapsulating action allows formulators to produce relatively aggressive fluxes for high soldering yields, without compromising on post soldering reliability. Rosin-bearing fluxes are preferred for low-cost, paper-based laminates that tend to absorb fluxes into the PWB substrates.
A note on the terminology of rosin and resin: rosins are a subset of a larger chemical family of resins. Rosins are substances that occur naturally (in pine trees and other plant material) and have been extracted and refined. Resins are similar compounds that are either completely synthesised, or are highly processed rosins. Although the J-STD-004A classification system differentiates rosin-containing fluxes from resin-containing ones, when categorizing flux product families and end-uses in the remainder of this discussion, both rosin and resin fluxes are grouped together and collectively referred to as "rosin-containing" or "rosin-bearing."
Common issues associated with rosin-containing fluxes are related to the physical appearance of the residue which gets left on the board surface - it can create handling issues and hamper pin testability of the final assembly. There are several ways to proactively address these potential pitfalls. Residues from fluxes that contain rosin are often perceived as sticky or tacky. When using modern rosin-bearing formulations, the assembly should not feel sticky or tacky after it has cooled to room temperature. If it does feel tacky, that is an indicator that either a) too much flux is being applied, or b) the wave soldering process is being run "cool." Flux deposition rates should be determined by process engineering, and controlled by regular checks during production. Of all the processes involved in PWB assembly, wave solder fluxing is one of the most critical to maintain control over, as it can present the greatest reliability hazards if it gets out of control.
Poor pin testability can also be the result of too much flux on the board. Rosin-bearing flux products are specifically measured for pin testability during their development and are designed to meet certain pin testability standards as a requirement for their commercialization. If extremely poor probe contact is experienced at in-circuit test, it is often the result of too much flux applied during the wave soldering process. Again, proper process control can prevent this loss. To maintain low ambient levels of false failures on a regular basis when using rosin-bearing fluxes, best practices should be employed at in-circuit test. Test probes should be shaped appropriately for their corresponding test points, and probe/fixture cleaning and maintenance schedules should be adhered to.
Fluxes without rosins produce very minimal residues, excellent cosmetics and improved pin testability, but they must be applied under well controlled processes. In the preheat and soldering process, fluxes are activated and then deactivated by the thermal excursion to which they are exposed. If flux is applied where it may not get fully activated and deactivated, e.g. overspray that lands on the top surface of the PWB, the underprocessed (activated but not deactivated) flux residues can cause reliability problems in the end use environment. Laminate material must be considered when selecting a rosin-free flux, as it is generally not recommended for porous, paper-based products.
Electrochemical activity of the flux's residue determines the third tier of categorization: water washable or no-clean. A flux categorized as "water washable" is corrosive and must be fully cleaned off after soldering. Most water washable fluxes contain halides and strong organic acids that are active at room temperature and do not get fully depleted during wave solder processing. If they were to remain on the assembly after soldering, they would continue to act on the metals in the circuits, ultimately causing failure. Because the fluxes are fully cleaned after soldering, options for the formulator are not as limited as they are in no-clean products, and water washable fluxes are usually the most highly active, effective ones available. The obvious drawbacks of water washable fluxes are that they do need to be washed, which adds cost to the assembly process, and that if they are not properly washed, reliability concerns will abound.
While no-clean fluxes reduce cost by minimizing process steps, their activity levels are limited by the need for post-soldering reliability. They must be formulated to become deactivated in the wave soldering process so that their residues will be electrically acceptable. Because they are designed to fully activate and deactivate in typical soldering cycles, a cycle that is too short may not render the residues benign, and one that is too long may spend all the activators before the assembly reaches the wave. If the activators are spent during preheat, the unavailability of active materials leads to poor solder joint quality. The need to properly activate and deactivate no-clean fluxes narrows their process window when compared to water washable products. It also narrows formulation options by limiting the list of allowable ingredients when compared to water washable chemistries.
The fourth and final tier of flux categories is presence of halides. Halides are often used as activators because of their ability to rapidly reduce metal oxides. Halides can be used as high performance activators, but they can also be the root cause of post soldering corrosion, so many users try to avoid them. Halide-free fluxes are perceived as safer, but are generally less active and exhibit poorer wetting performance.
Other Considerations
Other flux formulation constituents which play an important role in performance, but are not specifically cited in the categorization process described above include surfactants. Surfactants help the flux spread across the PWB and promote capillary action up into the plated through holes by lowering the liquid's surface tension.
To simply demonstrate the effect of surface tension on the spread of liquid flux on solder mask, a drop of each deionized (DI) water and 99.9% ispoproyl alcohol (IPA) were placed on an unpopulated area of a PWB. The surface tension of DI water is 73 dynes/cm. The surface tension of is IPA 22-23 dynes/cm. While the water remained in a single bead exactly where it was dropped (figure 4), the alcohol spread out so quickly it could not be captured in a photograph. The water and IPA were then sprayed onto the same PWB substrate. Figure 5 shows the materials immediately after they were sprayed.
To illustrate the effect of surfactants on water, a drop of each DI water and water based no-clean flux whose surface tension was modified with surfactants (Alpha EF-2202) were placed on the PWB. The results can be seen in figure 6.
The drop of liquid on the left is DI water and the one on the right is water-based flux. The wetting (or dihedral) angle, although not accurately measurable in this simple demonstration, is visibly much higher on the DI water droplet due to its higher surface tension. Although surfactants can help decrease the surface tension of water-based flux products, they can never lower it enough to be equal to that of IPA without creating reliability hazards.
One major consideration in flux development for lead-free wave soldering is not directly related to the new alloys, but to the increases in operating temperatures and PCB contact time with the wave. It is not uncommon for contact time to be increased by more than 50%, and wave temperatures to be 25°C higher than in a SnPb process, so activators need to continue to work throughout this increased exposure. To adequately solder both tin-lead and lead-free products, no-clean fluxes must now operate in an extended temperature range, maintaining reliability in the cooler tin-lead cycles and activity in the hotter lead-free cycles.
Traditionally, acid number has been viewed as being directly related to the "available activity" in a flux. This is no longer always true, as newer formulation methods have produced some exceptions to the rule. Some fluxes with a high acid number will perform badly in a lead-free process, as they are not thermally stable and are burnt off early, allowing oxide formation and subsequent soldering defects. Some fluxes with low acid numbers have other constituents which support activity, and will perform better. When selecting a flux for lead-free soldering, the acid number of a flux should no longer be used as a primary indicator of activity.
Post soldering reliability can be assessed and graded by one of many International standards. The IPC J-STD grading system is considered the minimum requirement for many applications. Beyond this, the Telcordia test methods (previously Bellcore) are considered to be more stringent. Many fluxes pass the Telcordia electromigration test, but a considerable number fail the SIR test. Although the Telcordia SIR test is performed under different conditions than the IPC test, its minimum resistance is three orders of magnitude higher, at 1 x10 11 Ω. Reaching further is the Japanese Industrial Standard (JIS); passing this reliability test can usually only be achieved with the inclusion of rosin in the flux.
Factors in Flux Selection
Usually, the primary factors in flux selection are the performance environment of the electronic product and the assembly complexity, with residue cosmetics also weighing in. Higher performance environments typically dictate higher degrees of reliability in the flux material, while lower performance environments generally allow lower reliability. Higher complexity assemblies usually require higher activity fluxes which are more thermally stable. Residue levels and cosmetics can be a concern for operations that pin test or for products that are visible to customers or end-users.
In some cases, the location of the manufacturing site also figures into the flux selection process, as some geographic areas limit the amount of VOCs that a manufacturing facility may release to the environment. In the case of geographic environmental sensitivity, low-VOC or VOC-free fluxes are preferred. A word of caution to the reader: while all low- or no-VOC fluxes are waterbased, not all water-based fluxes are low- or no-VOC. The user should not assume that a waterbased flux will automatically meet their local environmental requirements; they should inquire with the supplier regarding the VOC content of their water-based flux materials. EPA method 24 provides the test protocols for determining VOC content. To be considered "VOC-free," the product must contain less than 1% volatile organic compounds by weight. Although there is no globally accepted standard definition for "low-VOC," it is usually considered to be less than 5%.
Typical Applications
At first glance, it might appear that only several combinations of formulation chemistries would be sufficient to meet all requirements and applications. Realistically, however, when all the technical and cosmetic requirements are factored together, the end result is multiple product choices even within formulation sub-categories. In other words, there is no "one size fits all" solution. This can be particularly frustrating for contract electronics manufacturers and others who build a wide variety of product types.
When selecting a wave solder flux, the three major areas of consideration are typically:
(i) end use environment/reliability
(ii) assembly complexity
(iii) residue/residue cosmetics
If these considerations are applied to different market segments of electronics assemblies, it becomes easier to understand how the end-use of the product affects both the in-process requirements and the in-service requirements, and the tradeoffs that may exist between manufacturability (solder processing and testing) and reliability.
The IPC Joint Industry Standards 9 has tried to capture all assembly types into 3 categories. These categories are defined as follows
Class 1 - General Electronic Products
Includes products suitable for applications where the major requirement is function of the completed assembly, such as home consumer electronic products.
Example of Class 1 Product: Home Consumer Electronics
The consumer electronics sector commonly uses paper-phenolic laminates. Assemblies are often glued SMT devices with radial and axial through-hole components. Assembly cost is a big consideration, but the combination of low cost laminates with some flux types poses a serious reliability hazard during the early service life of the product. In particular, rosin-free fluxes provide risk, as the porous paper laminate (such as FR-2 or CEM-1) will absorb the flux upon application. Once the carrier has dried off there is a risk that un-reacted activators remain embedded within the laminate, which when dissolved by condensation in service, could form an electrolyte and cause electromigration and eventual product malfunction. This risk is easily mitigated by the use of rosin-bearing fluxes. Any unspent activity is safely encapsulated in rosin. The use of rosin-bearing fluxes allows the use of low cost laminates, without introducing a reliability hazard.
Many products in this sector are assembled by OEM's and are never visible to customers or end-users during their service life. Therefore, residue cosmetics are not a big consideration and relatively higher levels of residue are acceptable. The preferred flux type for home and consumer electronics are rosin-bearing, alcohol-based fluxes, which allow for the high activity levels (often including halides) needed to cope with the soldering demands of low cost components and PCB's. The rosin maintains high residue dielectric strength, even in damp conditions. Recall that the inclusion of rosin in flux can lead to increased false failure rates at pin testing operations, especially if too much flux is applied during soldering. For best results, flux deposition should be monitored and test point-appropriate probe types should be used for in-circuit testing. Classification of these fluxes according to the J-STD-004A would be ROL0, ROM0, REL0, and REM0 for fluxes without halides, and ROL1, ROM1, REL1, and REM1 for fluxes with halides.
As some of the products in this class now possess more functional sophistication, the use fibreglass-based laminates like FR-4 is starting to become more popular. In the case of FR-4 substrate material, the assembler is no longer required to use rosin-bearing fluxes to insure reliability. Although the FR-4 substrate opens the choices for different flux formulations, the solderability of low cost components may still be a consideration. In this case, it is not uncommon to choose organic fluxes. These fluxes would be designated ORL0 or ORM0.
Notice that ORL1 and ORM1 are not offered as options. Halides are not combined with organic fluxes for electronics assembly, due to their corrosive nature. They can be safely used in combination with rosin-bearing fluxes, because of the encapsulation effect of the rosin. The use of halides in a formulation without rosin is what flux formulators refer to as a "recipe for disaster."
Class 2 - Dedicated Service Electronic Products
This includes products where continued performance and extended life is required, and for which uninterrupted service is desired, but not critical. Typically the end-use environment would not cause failures. Included here would typically be computers, industrial and telecommunications equipment, and automotive electronics (except for engine management, drive-train and safetyrelated components.)
Example of Class 2 Product : IT/Telecom Infrastructure
The most complex assemblies reside in this sector. Most of the production is doublesided SMT reflow followed by wave, or SMT reflow followed by SMT glue cure, followed by wave. In both cases the assemblies will have been subjected to two thermal excursions prior to wave soldering. These types of circuit assemblies are typically the most heavily populated and thermally dense, having both high component and high layer counts. The oxidation on the solderable surfaces that results from the prior heat cycles combines with the high thermal density of the PWB to create a considerable soldering challenge for flux. To exacerbate the challenge, much of the production in this sector is performed by CEMs, and cosmetic acceptability of the residue becomes a consideration. Low residue levels are almost always mandatory.
The prior thermal excursions, high complexity, and need for low residues in the computer/IT infrastructure sector indicates an active, low solids material which is not overly sensitive to preheat levels. Fluxes can be water- or alcohol-based. Water-based fluxes are preferred in geographic regions that control VOC emissions, but are more sensitive to preheat in that they require more heat energy to drive off the water. Wave solder equipment should be configured with multi-zoned preheats (preferably including topside preheat) with one or more convection zones to effectively accomplish this. Alcohol fluxes are less machine dependent and do not necessarily require convection pre-heat. The low residue levels and the frequent use of pin-testing dictate rosin-free products. Common flux types used in this sector include low solids, rosin-free fluxes with high activity levels. These would be classified as ORL0 and increasingly ORM0.
Again, on an FR-4 PWB construction the OR-- category flux type is acceptable, but on paper-phenolic laminates it could present a reliability hazard. Although FR-2 is sometimes used in telecom desktop products, it is seldom used in infrastructure components. If both product families are assembled in the same facility, two different fluxes may be required.
Class 3 - High Performance Electronic Products
This encompasses products where continued high performance or performance-on-demand is critical, equipment downtime cannot be tolerated, end-use environment may be uncommonly harsh, and the equipment must function when required. This would typically include military weapon and defense systems, aerospace, life support systems and under-the-hood automotive electronics.
Example of Class 3 Product: Automotive Electronics
From an assembly perspective, automotive electronics are of moderate complexity. Electronics designers tend not use smaller components unless absolutely necessary. The overriding consideration in the design is for electrical and mechanical reliability. PCB area is usually small, with a low layer count (less than 8) due to lower interconnection densities when compared to many Class 2 products. PCB's are commonly an FR-4 epoxy glass construction with plated through holes. The key requirements for this sector are to achieve a high yielding and consistent soldering process while guaranteeing electrochemical reliability under relatively high voltage and harsh environmental conditions. The reliability requirements point toward a rosin-based, halide-free flux. The rosin provides consistently high-yielding soldering and long-term reliability. Typically this type of manufacturing process is well controlled, and problems associated with applying too much rosin-based flux are not often encountered. Halides are typically not required to achieve good soldering on this type of product, and the absence of halides improves the reliability of the flux's residue. Water-based fluxes may be used, but alcohol-based fluxes are generally preferred because they are more preheat-compatible and their better wetting can improve hole fill. The most logical selection for lead free automotive assemblies - alcohol-based, rosin-bearing, halide-free flux. – would be classified as ROL0, ROM0, REL0 or REM0.
Conclusion
There are many types of wave solder flux available to assemblers. To aid in differentiating and describing the flux types, J-STD-004A can be used. To determine which type of flux is best for a given product or process, particularly when transitioning to lead-free, the user must consider the construction and end use of the product and understand the implications of activity, reliability, and residue cosmetics on the final assembly.
References
1. J-STD-004A Joint Industry Standard, Requirements for Soldering Fluxes, IPC, Northbrook, IL, 2004
2. Understanding the Flux Requirements of J-STD-004 and its Relationship to the Soldering Requirements of J-STD-001B, Alvin F. Schneider, 1997
3. IPC-TM-650, Test Methods Manual, Number 2.3.32, Flux Induced Corrosion (Copper Mirror Method), Northbrook, IL, 2004
4. IPC-TM-650, Test Methods Manual, Number 2.3.33, Presence of Halides In Flux, Silver Chromate Method, Northbrook, IL, 2004
5. IPC-TM-650, Test Methods Manual, Number 22.214.171.124, Spot Test, Northbrook, IL, 2004.
6. IPC-TM-650, Test Methods Manual, Number 2.6.15, Corrosion, Flux, Northbrook, IL, 2004
7. IPC-TM-650, Test Methods Manual, Number 2.6.33, Surface Insulation Resistance, Fluxes, Northbrook, IL, 2004
8. IPC-TM-650, Test Methods Manual, Number 126.96.36.199, Electrochemical Migration, Northbrook, IL, 2004
9. IPC-A-610D, Acceptability of Electronic Assemblies, IPC, Bannockburn, IL, 2005
|
Parish Staff
Parish Director
Parish Emergencies (414) 771-2500 – listen for instructions
Mass Schedule
Saturday: 5:00PM
Sunday: 8:00AM
Sunday: 10:30AM
Tuesday: 8:00AM
Wednesday: 6:30PM
Saint Therese Parish
9525 W Bluemound Rd, Milwaukee, WI 53226 Phone (414) 771-2500 Fax (414) 771-2410 sainttheresemilwaukee.org email@example.com
We are St. Therese Catholic Church, a community of believers, who walk together by faith in Christ Jesus, and minister in the Little Way of St. Therese, as we strive hand-in-hand to live as God's people.
February 24th, 2013
Reconciliation: 4:15PM– 4:45PM
1st Saturday of the Month
Liturgy of the Word with Communion: Thursday: 8:00AM
See inside for Holy Day Schedules
Office Hours
Anointing of the Sick: 2nd Full Weekend of the Month Following Each Mass
All Other Sacraments:
Preparation can take six months or more
Please call the Parish Office
Monday, Tuesday, Thursday: 8:30AM – 4:00PM closed 12:00 PM –12:30 PM
Wednesday:
losed 4:00
c –4:30
12:00PM– 7:30PM
PM PM
Friday: 8:30AMto 12:00PM
Welcome to Saint Therese Catholic Church, Milwaukee, Wisconsin
From the Desk of the Parish Director
- Thanks to all who attended the Special Parish Meeting last Sunday, February 17th! Thanks also to members of the Parish Council who worked "behind the scenes" in preparing the food for the dinner, the set-up for the hall, and attended to all the details of the process. Between now and the Annual Meeting–May 5th–the Council will be reviewing all the comments and questions. Anyone or any group that submitted (and signed) a question for response will receive an answer as soon as possible and before the Annual Meeting.
parishes and the number of clusters projected for 2020. It is projected that the number of parishes would remain the same–203 parishes, and 175 of these would be clustered into 72 clusters of parishes. 28 parishes are so large that they will not be clustered with another parish. Various media have misinterpreted this statistic around the country and has reported that the Archdiocese of Milwaukee will experience a reduction to only 100 parishes. Not true.
- One issue covered in the meeting was the critically growing priest shortage. By the year 2020 or perhaps even before, the numbers of ordained priests available for assignment in the Archdiocese of Milwaukee will decrease to 100. The number of parishes to be served is 203. Clearly, the model of even one priest per parish cannot be filled. While it is true that retired priests can be help-outs at parishes, they do so at their own prerogative.
It was emphasized, over and over again, the statements from the document 2020 Parishes and Pastoral Leadership,
All current parishes will continue to operate as separate parishes or as partners in clusters unless a parish petitions the archbishop to merge with another parish or parishes.
Also, the document 2020 Parishes and Pastoral Leadership does not call for the closing of any parishes. Again,
All current parishes will continue to operate as separate parishes or as partners in clusters unless a parish petitions the archbishop to merge with another parish or parishes.
What that means very clearly is for any parish to merge with another parish and become a new entity, it must petition the archbishop. Also, the parish is a legal civil corporation, and in order to be dissolved, there would be a legal as well as canonical (church) process.
From the document: "A cluster is a grouping of geographically bordering parishes working together on a shared vision and ministry plan. Clustering involved collaboration, but it is a formal relationship between parishes leading to the sharing of various resources."
We, St. Therese, form a cluster with St. Vincent Pallotti Parish and Sacred Heart Croation Parish. As a cluster, we are to collaborate with each other. From the document: "Collaboration is the willingness of two or more entities to work together on common projects for mutual benefit." Some examples of collaboration are our Peace Prayer Service, Youth Confirmation, Vacation Bibile School, or ministry projects.
During this Season of Lent, I will focus my columns on reviewing the content of our February 17th meeting, and, as time and space permit, addressing questions raised. Finally, as mentioned at our meeting, when in doubt, get the facts. Rumors are the easiest thing to spread. I think they even outdo the internet or any other communications vehicle. The sad reality is the damage and hurt rumors can cause.
Our Parish Council and standing committees are working hard on behalf of the parish. We give thanks for them.
God be with you on your Lenten Journey!
Dr. Alexandra Guliano
Parish Director
Note: If all goes as planned, I will be on retreat from March 3rd-15th and back to the parish the weekend of March 16th/17th. You will be in my thoughts and prayers.
- Another clarification we reviewed was the number of
Donation Needed
- $200 for Lenten priest vestment (chasuble)
Please contact Heather Goeden in the Parish Office if you wish to donate this item in memory of a loved one or in
honor of a special occasion.
CHURCH SUPPORT
Please remember St. Therese in your will!
Liturgical Ministry Sign-Up for Lent, Holy Week, and Triduum
All liturgical ministers are asked to sign up to minister at our Lenten, Holy Week, and Triduum liturgies. Plan now to serve at this holiest time of the year! Altar Servers, Eucharistic Ministers, Greeters, Ushers, and Lectors are needed.
Stewardship Update
As of February 17th, a total of $283,945.50 has been committed from 236 parish families/members. We have reached 75.7% of our goal of $375,000. Thanks to all who faithfully financially support our parish and its many ministries.
February 24th, 2013 Second Sunday of Lent
Usher Pancake Breakfast
Sunday, February 24th– Second Sunday of Lent Lenten Giving Hospitality
AM
9:10 First Communion Preparation (
GLP
AM
The annual Usher's Pancake Breakfast is next Sunday March 3rd. All parish members and visitors are invited to attend. Breakfast will be served from 9:00AM to 1:00PM in Heck Hall. Prices are $6 for Adults, $4 for children ages 3-10, and children two and under are free. All funds raised at the event will support Greater Tosa Interfaith. If interested in volunteering for this event contact Jim Sauceda at (414)771-0100.
9:15 Committee/Group Chair Meeting ()
AM
9:45 Saint Therese Choir (
)
MC
CH
)
AM
10:30 Children's Liturgy of the Word (
AM
11:45 Prayer & Worship Committee (
CH
)
MC
Monday, February 25th
PM
6:30 Library Committee ()
Tuesday, February 26th
AM
8:30 Bible Study (
STR
LIB
)
PM
3:45 Catechesis of the Good Shepherd
GLP
Ages 3-K5 ()
Wednesday, February 27th
PM
3:45 Catechesis of the Good Shepherd
7:00
Ages 3-K5 (
GLP
)
PM
Music Ministry ()
PM
7:30 Saint Therese Choir (
CH
CHP
)
Thursday, February 28th
PM
7:00 Green Team Lenten Program (
PM
3:45 Catechesis of the Good Shepherd
GLP
Grades 1-3 & Grades 4-6 (
MC
)
Friday, March 1st
No Meetings Scheduled
Saturday, March 2nd
No Meetings Scheduled
Sunday, March 3rd – Third Sunday of Lent
AM
7:30 Canticle Choir (
CH
)
AM
9:00 Usher Pancake Breakfast ()
AM
9:10 First Communion Preparation (
HH
)
9:45
GLP
AM
Saint Therese Choir (
CH
AM
10:30
)
Children's Liturgy of the Word (
CH
=Church,
CH
)
CHP
=Chapel,
GLP
=God's Littlest
GN
Place,
HH
=Heck Hall,
=Good News Gathering Place,
=Library,
KIT
=Heck Hall Kitchen,
LIB
MC
=Miriam's Corner,
RR
=Raphael Room,
STR
=St. Therese Room
Congratulations
To Dr. Max Liebl and Dr. Vivan Tran on the birth of their second child, William Tran Liebl, born on February 10th, 8 lb. 20z and 20" long. William Tran is the little brother of Allison. Max and Vivan are currently working and ministering in southern California, where Max is a Vascular Surgeon and Vivan is in Family Practice. They were (and still are) a part of our parish community while in medical school at the Medical College of Wisconsin. Vivan was a member of our St. Vincent de Paul Society, and Max became a fully initiated Catholic through our RCIA process in 2004.
)
Parish Council Seeking Nominees for the Upcoming Year
Please prayerfully consider whether serving on Parish Council would be a way to show gratitude for all that God has given. Continue in the momentum that began with our special parish meeting on Sunday. Be a part of a group of people who, with the input of our faith community, make important decisions facing our parish. Parish Council members will be giving pulpit announcements regarding nominations in the upcoming weeks. Please consider nominating yourself or another parish member for this rewarding ministry.
Cheesecake and Kringle Fundraiser
Don't forget to order your cheesecakes or kringles before the deadline of Sunday, March 10th. Additional order forms are available in church or by calling Janet Krebs (414) 774-9113 or Mari Pavleje (414) 545-2733. Orders will be available for pickup on Saturday, March 23rd from 12:00PM-2:00PM. All orders must be picked up that day. Remember, too, that payment must accompany your order. If you have any questions, please contact Janet or Mari.
Lenten Giving
Lenten Giving for 2013 will go to World Wide Hunger Relief. Please check out this cause at worldwidehungerrelief.org. Envelopes are available at the exits. Return donations by April 6th/7th.
Weather Closings Information for the Parish
In the case of snow or any other reason for closing, the information will be reported on WISN Channel 12, WISN.com, and radio stations 96.5 WKHL, 102.9 "The Hog," Jammin' 98.3 and Big Buck Country 106.9. Please look for St. Therese in Milwaukee for our information. In the past there has been confusion since there are several "St. Therese" and "St. Theresa" parishes in the archdiocese. Please also note that we rarely cancel mass; if we do so, it will be stated.
"Food for Thought" Lenten Series
The Green Team is sponsoring a Lenten Series on four consecutive Thursdays, beginning on Thursday, February 28th and concluding on Thursday, March 21st. The sessions will run from 7:00PM – 8:30PM. Refreshments will be provided. Participants will explore how our dietary choices mesh with spirituality, justice and the wise use of the food resources which God has entrusted to us (Genesis 1: 29-30). Please register for this Lenten Series (so we can order the session materials) by returning the form below to Heather Goeden in the parish office, or contact her via the instructions on the form. Bon appetite!
Food for Though Lenten Program Registration
Name__________________________________________________________
Phone ( ) ___________________
Email __________________________________________________________
To register, please drop the completed slip in the collection basket or at the Parish Office, or contact Heather Goeden in the Parish Office at (414) 771-2500 Ext 13 or firstname.lastname@example.org.
)
February 24th, 2013 Second Sunday of Lent
Liturgical Ministers Scheduled for March 2nd/3rd
February Sanctuary Candle
The Kirsh & Lemanski Families
Sunday, February 24th
Gn 15:5-12, 17-18/Phil 3:17–4:1/Lk 9:28b-36
Monday, February 25th
Dn 9:4b-10/Lk 6:36-38
Tuesday, February 26th Is 1:10, 16-20/Mt 23:1-12 8:00 AM Jessica’s Healing and Paul & Jessica’s Wedding Anniversary
Wednesday, February 27th
Jer 18:18-20/Mt 20:17-28
6:30
PM
For the health of Pete Lovinus
Thursday, February 28th
Liturgy of the Word with Communion
8:00
AM
Jer 17:5-10/Lk 16:19-31
Friday, March 1st
Gn 37:3-4, 12-13a, 17b-28a/Mt 21:33-43, 45-46
Saturday Mass, March 2nd
Mi 7:14-15, 18-20/Lk 15:1-3, 11-32
5:00
PM
†Maria Grosch
Sunday Mass, March 3rd
Ex 3:1-8a, 13-15/1 Cor 10:1-6, 10-12/Lk 13:1-9
8:00
AM
†LaVerne Mucci
10:30
AM
St. Therese Parish Community and
†Shirley Wiedmeyer
Mimi Albano, Lenore Black, Judith Bolton, Gene Brah, Alyce Breitweiser, Kathryn Brinn, Terri Brunner, Marjorie Corak, Rachel Corak, Jean Dalnodar, Loretta Dolbert, Tim Dondlinger, Kaylin Dushek, Leonard Dushek, Mary Ehrmann, Barbara Fischer, Mary Fischer, Ethel Forster, Doris Griger, Andy Grosch, Mary Ann Hesselbein, Andy Islo, M. Rose and Michael Jules, Chuck Kestner, Ken Knollenberg, Joe Landry, Shirley Leinss, Travis Lerchen, Ann Leys, Pete Lovinus, Mary Jane Lucas, Neil Massey, Lori Mikula, Susan Monyette, Karen Nycz, Rachel Ragatz, Judy Rahn, Barb Redzich, Barbara Schmitz, Harriet Schnarsky, Terry Shinn, Carlene Siever, Joel Simpson, Marion Sinks, Susan Sinks, Marion Stabo, Mark Stabo, Gina Stone, Ruth Stueckroth, Salvatore Vallone, Pius Vetter, Don Wackholz, David White, Anita Yaeger
Born to Eternal Life: †George Schultz, Jr., brother of Betty Weckwerth †Richard Becker, brother of Audrey Wright
| | 5:00PM | 8:00AM | 10:30AM |
|---|---|---|---|
| Lectors | Bingham, A. Pankratz, J. | Mickey, M. Goeden, H. | Coughlin, Sr. L. Sanger, M. |
| Altar Servers | Balliet, J. | Goodacre, W. | Maccani, C. |
| Eucharistic Ministers | Pinto, Catherine – 1 Dietz, J. – 2 Nee, A.. – 3 Gritzmacher, B. – 4 NOT FILLED – 5 | Gill, Jane – 1 Okruhlica, L. – 2 Jagemann, C. – 3 Krebs, J. – 4 | Safavi, P. – 1 Anderson, L. – 2 Borst, Bob– 3 Borst, Barbara – 4 NOT FILLED – 5 |
| Greeters | Touchett, P. Graf, V. Gritzmacher, B. | Jagemann, S. Manthe, K. Krebs, J. | Andrews, K. Sincere, K. D’Amore, P. |
| Ushers | Gritzmacher, D. Egan, J. Lemke, D. | Goodacre, S. & S. Seidl, D. Webb, W. | Sauceda, L. & J. Sauceda, J. & C. Szablewski, N. Dushek, R. |
Building and Grounds / Lawn Crew
Warm up your soul with warm bowl of chili and the offering of your talents and service. There will be a Building and Grounds/Lawn Crew Meeting to prepare for the upcoming season on Friday, March 15th at 6:00PM in Miriam's Corner. All members should plan on attending. If you know of anyone who may be interested in joining either group please invite them to join us. Contact Denise Dostalek, Building Services Coordinator, to confirm your attendance by March 10th.
Want More Fundraising for the Parish?
Do you want more fundraising for the parish? Great! Fill out the fundraising form for submission to the Finance/Administration Committee, get the approval, get your crew together and go for it. Of course, we get all kinds of ideas from parishioners, but what we need is more than ideas, we need people who are willing to coordinate and follow-through on the ideas. We get requests but the message is that "someone else should do it." "Someone else" is no one else. Want fish fries and chicken dinners? Volunteer to coordinate the effort, get your crew of workers together, and make money for the parish. Often we hear "We should have more fundraisers." What we need is people to coordinate and work on these. Interested? Get the fundraising form online from the parish website or request one from Heather Goeden in the Parish Office. Get a crew of workers together. Publicize your effort, and raise money for the parish community.
Usher Coordinator Needed for 5:00PM Mass
Thanks to Gladys Sachse and Rich Sanger for coordinating the Usher Ministry for the 8:00AM and 10:30AM masses; and to Shari Egan for coordinating the Usher Ministry for holydays of obligation and special masses. We are in need of an Usher Coordinator for the 5:00PM mass. The Coordinator's job would primarily be making sure that there are a full complement of Ushers at the 5:00PM mass by filling the Not Filled positions on the schedule and communicating any pertinent information regarding that mass to the ushers who minister at that mass. If you are interested in responding to this call to ministry, please contact Heather Goeden in the Parish Office.
February 24th, 2013 Second Sunday of Lent
Lenten Information, Sacrament, Catechesis, and Prayer Opportunities Lenten Observances for Fast and Abstinence
1st Monday of Month at 7:00 PM email@example.com
- Catholics who have celebrated their 14th birthday are bound to abstain from meat on Ash Wednesday and each Friday of Lent.
Parish Council
The Catholic Church asks each member to preserve the penitential character and purpose of Lent. For this reason:
- Catholics who have celebrated their 18th birthday, in addition to abstaining from meat, should fast on Ash Wednesday and Good Friday. Hence, on those days they should eat only one full meal. Smaller quantities of food may be taken at two other meals, but no food should be consumed at other times during those two days. The obligation of fasting ceases with the celebration of one's 59th birthday.
Catholics should not lightly excuse themselves from these prescribed minimal penitential
- practices.
Lenten Sacrament, Catechesis, and Prayer Opportunities
- Morning Mass on Tuesdays at 8:00AM in the Chapel, followed by Mother of Perpetual Help Devotions.
- Evening Mass on Wednesdays at 6:30PM in the Chapel, beginning on Wednesday, February 20th.
- Morning Liturgy of the Word with Communion at 8:00AM on Thursdays in the Chapel.
- Stations of the Cross following the Wednesday Evening Mass, usually beginning at 7:05PM. Please gather in the center section of church.
- Sacrament of Reconciliation–Individual Confessions on Saturday, March 2nd at 4:15PM and Saturday, March 23rd at 4:15PM.
- District 12 Communal Penance Service–Saturday, March 9th at 10:00AM at St. Margaret Mary Church
- Communal Anointing of the Sick–March 9th/10th after all masses in the Chapel
- Palm Sunday Stations of the Cross for Children (and Families)–Sunday, March 24th at 9:15AM. Please gather in the center section of church.
- Palm Sunday Stations of the Cross for All Creation–Sunday, March 24th at 6:00PM. Please gather in the center section of church.
- "Food for Thought" Lenten Series sponsored by the Green Team. See inside of bulletin for details.
Thank You
To Ann Maher, who coordinated the 1st Annual Ministry Thank You, and those who helped with set-up, take-down, clean-up, and serving–Rick, Dashiell, and Noah Reinders, Whitney Strohmeyer, Denise Dostalek, Kathy Hubrich, Wiley Vivians, and Pat Hall.
Coordinator and Crew for Easter Vigil Hospitality Reception Needed
It has been our custom over the past several years to have a reception and hospitality after the Easter Vigil, the main celebration of our liturgical year. In order to continue this well-received hospitality celebrating Our Lord's Resurrection, we need a coordinator (or co-coordinators) and a crew of helpers. Interested? Please contact Heather Goeden in the Parish Office.
136 Pew Hymnal Donations Needed
Please see the donation form below, and thanks for considering donating another book or two!
Order Form for the GATHER Hymnals – Please Print
Pew Hymnals: $15.50 Quantity_____ Total amount: $___________
A Gift from:____________________________________________________________
In Memory of:__________________________________________________________
AND/OR
A Gift form:____________________________________________________________
In Honor of:____________________________________________________________ If you are ordering more than one hymnal please use a separate form for each.
Chairperson
Jim Holmes (414) 258-9195
Vice-Chairperson
John Gritzmacher (414) 453-5265
Secretary
Pat Touchett (414) 257-0221
Trustees
Jim Balliet
(414) 257-0339
Kathy Hubrich (414) 259-1961
Members-At-Large
Andrew Bath (262) 312-4185
Suzanne Goodacre (414) 475-5062
Christine Jensen (262) 391-1851
Sr. Marilyn Metz (414) 727-9055
Rick Reinders (414) 607-8847
Mary Rose Sanger (414) 425-2028
Greater Tosa Interfaith (414) 453-5750
Saint Vincent de Paul (414) 462-7837
Hospital Visits The Federal Privacy Regulation (HIPAA—Health Insurance Portability & Accountability Act) prohibits hospitals from informing churches of a patient's presence unless the patient gives permission for the hospital to do so. If you are admitted to a hospital and would like a pastoral visit, please contact Heather Goeden in the Parish Office.
Prayer List for Mass
It is our privilege to pray at our weekend masses for those in need. If you would like to add a name to the list, please complete the form at sainttheresemilwaukee.org/prayerlist or call Heather in the Parish Office.
Need Prayer? Call the Prayer Network at (414) 607-0681.
Bulletin deadline: Monday, 8:30AM Announcement deadline: Thursday, 1:00PM
All submissions must be in writing; email preferred.
|
Vol.3, No.2, pp.45-54, September 2018
ISSN: 2446–2918 DOI: 10.21058/gjecs.2019.32007
Morphometry of Sardine Otoliths Using Digital Image Processing
Kandeel Fatima
Department of Biomedical Engineering, Mehran University of Engineering & Technology, Jamshoro, Pakistan. firstname.lastname@example.org
Abstract
Otoliths of fish have since quite a while ago assumed an essential part in economical fisheries administration. Stock evaluation models at present utilized depend on species particular age profiles got from the occasional examples of development denotes that otoliths show. An ongoing expansion to shape demonstrating methods to figure out which performs best. An investigation is done into Impact of segmentation methods are considered to decide whether automated techniques is used for boundary extraction are more meaningful and whether built classifiers can be used at various establishments. The study of otolith and qualified researches reveals the exceptional development based on the life, stock structure, age, history, growth, migration, mortality, discoveries in marine biology and reveals the importance of fisheries management This research analysis characterized by the many techniques of image processing and the methods related with studies of otolith microstructure. The entire progression of proceedings from sample images collection to data processing is done comprehensively to make otolith analysis much advance and improved.
Keywords—Otolith, Thresholding, Region growing, Image processing.
I. INTRODUCTION
Otolith is a white small flake like substance that is situated in the inner ears of fish. They nurture constantly due to growth process. When the accumulation development is effected by environmental parameters and physiological conditions then otoliths can be used as fisheries biological records. This information extracted by otolith conditions can be useful for the studies of fish stock and ecology. By the collection and assessment of data occurrence, age, stock and habitat could be estimated. Decoding this data to estimate and interpret the otoliths is quite challenging because of the circumstances influencing the accumulation frequently. An assortment of analysis on the basis of both properties chemical and physical properties of otolith can be detected by processing of otolith images or Visual examination of images of developed otolith by segment, being evaluated by computer vision techniques applying image processing algorithms to get better quantitative and automatic assessment. These methods would let to entirely deem the images of otolith by mean of quantitative analysis. Otolith images formed with lines and marks on its structures similar to the one found in tree trunk. Numerous researchers have worked on such images to take out these lines boundaries and curves, using multiple methods and active contours although got better outcomes on the class considered as simple to estimate, but on extra complicated images the suggestions ended were limited. The processing and visualization of otolith of sardine fish images that are concentric structures in otolith images that were complex to interpret , done finely by the computer vision using Otsu method with manual and automatic thresholding values . The assessment of computer vision image processing is pioneering to an innovative approach to the extraction of otolith image data by getting fine lines
Vol.3, No.2, pp.45-54, September 2018
ISSN: 2446–2918 DOI: 10.21058/gjecs.2019.32007
boundaries and curves also the revival of the successive otolith's shapes throughout its ecology and growth. This is an easy and novel approach as framework for digital images, to be applied to sardine fish otolith images data set. The outcomes of proposed approach are given in the images, this research also providing a novelty to the image processing techniques that could be useful for fisheries management and further ecological studies. The digital imaging tool to enhance otolith microstructure for estimating age in days in juvenile and adult fish. This research is an analysis of fish otolith a microstructure to estimate the age of fish. This research is based upon the simulations and new software that is helpful for marine biologists to read microstructure of otolith of fishes very efficiently. The methodology comprises of three steps:
A) The blind image registration technique fast normalized cross correlation a single gray scale digital image combining images of different parts by using of the same fish otolith
B) The adaptive histogram equalization technique has been used for age approximation determinations in which the growth rings of the image are improved for this estimation
C) The microstructures are easily identifiable with help of a semiautomatic interactive tool that draws a simple multilateral chain along the points of interest to be marked, and the data will be hold back automatically.
This analysis of microstructure of fish otolith fish consumes lot of time and it is repetitive. The limitation of software is to analyze images proficient of both overlaying images automatically and recording a high number of daily growths in counting and measuring increments in large otolith [1]. Preliminary data on the study of otolith morphology of five pelagic fish species from the Adriatic Sea (Croatia), this paper is based on comparative taxonomy. To analyze five measurements of Otolith from pelagic species during the growth were examined by taking samples from quadratic sea and digitize the image using couple camera and then interface to an OLYMPUS binocular microscope and computer. To calculated the description of the dimensional shape of form factors, roundness, aspect ratio, and maximum length of otolith and the weight of otolith by using shape analysis of morphometric characters. The future work is that to identify the measurement of geometric shape planning to verify the role of otolith shape fluctuation [2] Otolith research and application: current directions in innovation and implementation. Gavin A. Begg. (2005) assembled on comparative investigation, reviewed on 11 to 16 th of July (2004) at Townville, Queensland, Australia was held on the third international symposium based on research and application of otolith. At the symposium addressed eight issues for specific fishes, sharks and invertebrate's themes such as structure and function, age, growth factors, chemical composition, statistics, stock calculation of fisheries management, aging created quality control and technological progresses. The paper based on eight themes accessible in paper in the special issues. At the symposium they provide information detailed about life history of otolith and related biological population and delivered data of fisheries stock to determining the sustainability [3].Assessment of the morphometry of saccularotoliths as a tool to identify triplefin species (Tripterygiidae). To determine the variability of cluster analysis and discriminated analysis between species to find the identification of species by using an algorithm PCA (principal component analysis) to performed the characterization by means of morphometric of otoliths. This evidence will be a beneficial tool for paleontological, taxonomic and trophic ecology consideration [4].
II. METHODOLOGY
Datasets were obtained with the information of individual samples. The different number of data transformations are used to transform the boundaries are extracted and compared by modified methods across datasets to find which method returns best results on specified a number of factors. Comprising the age of otolith samples, the algorithms used in the research by evaluated mean opinion score (MOS) combined with associated testing diagrams to determine the factors impacting on the classification of results and which choice of method returns the better results. Results are compared across Boundary segmentation method and learning algorithm.
Fig. 1. Flow Diagram of Image Processing Segmentation Was Completely Carried Out In MATLAB Software
A) Working algorithm using MATLAB for morphological reconstruction of sardine otolith
B) Working algorithm using MATLAB for segmentation using thresholding of sardine otolith
C) Working algorithm using MATLAB for segmentation using region growing of sardine otolith
Segmentation can be applied to original images as well as it can be used after the applying filters or transformations on the basic approaches of segmentation include Thresholding, Edge-based methods and Region-based methods.
OTO201412-036 R-L
Species studied in this Research the left and right sagittal otoliths may be used for study. This information provide particulars concerning a project developed between the Image Processing research groups (TIC128 of University of Malaga). The study has been organized by two phases.
D) Samples selection of sardine otolith called biological part which provided by IEO (Instituto Español de Oceanografía).
E) Images processing algorithms development called Engineering part.
III. IMAGE PROCESSING ALGORITHMS
This research study is focused upon two methods which are applied on MATLAB for processing of otolith images of sardine fish. A basic approach of segmentation includes both Thresholding and Region-based methods.
A. Thresholding Based Segmentation Using MATLAB
In this research we performed different kind of image processing to get better results. The poor quality of the images due to way of obtaining was identified as:
ISSN: 2446–2918 DOI: 10.21058/gjecs.2019.32007
First data set of colored images is taken then these images converted to gray and then histogram level was applied using otsu method to binarise image. After binarization, morphological operation was performed on the binarised images. Bound extraction of is done by morphological reconstruction that shows overlapped boundaries as result because there is possibility to have two or three objects present in pictures needed to remove and to have a judgment that will make a possible outcome with a comparison of input and output image.
The overlapping of gray image and the reconstructed image is done to obtain the outer contour in green color. As shown in above figure4, the accuracy of the image is not good because the contour is not well defined. Image processing of the sardine's otolith is done after running the algorithm which is obtaining the contour of the initial and final image more accurately. The first error is found in outer contouring, is that the resulting image is shrinked (diminished) too much because of performing morphological reconstruction to the image to get output, that is not in a good contouring.[5]The second error is found which seems in the image because of shadows created by the light reflection in the resin wherever the otoliths were placed. It means this algorithm was not good to get outcome to measure the shape. For this purpose, main thing is changing ''threshold level '' which is an improved code as it can be seen below. Steps are followed:
A) Using MATLAB read and display the image.
B) Applying threshold level for histogram related to background
C) Produce a structure element of disk shape to conserve the circular nature of object Perform a morphological operation on the image
ISSN: 2446–2918 DOI: 10.21058/gjecs.2019.32007
D) Overlapped image with output result
Fig. 5. Segmentation Based Thresholding Algorithm using MATLAB
By applying morphology image processing the gray image is converted into binary in order to generate the processing in an easier way by method in which the threshold is nominated to select by using gray thresh function this method is called Otsu's method. Gray thresh has a value of threshold between 0 and 1. Adjusting the initial threshold by removing the histogram or manually modifying the level of threshold. In a previous part of algorithm, the result is not accurate with overlapping, now designing next algorithm to perform a better contouring by removing reconstruction and to put the level of threshold from histogram values in the gray image to change into the binary image. The idea is to obtain a good threshold value [6] [12]. Selecting an optimum manual threshold value is the most important step in image thresholding algorithms. The most important step here is to choose the best value for the threshold to get the best segmentation. The key reason is to choose "threshold level of histogram" associated to background because of its inhabitant properties and easiness of performance, image thresholding admires a central state in presentation of image segmentation.
IV. COMPARISON OF ALGORITHMS
Comparison is carried out between overlapped images between algorithm 1 (Otsu) and algorithm 2 (optimum manual threshold):
Most common error was found in first algorithm obtaining contour in image is related to the threshold level which shows deformed the shape of the otolith with overlapping. When we choose
ISSN: 2446–2918 DOI: 10.21058/gjecs.2019.32007
the level doesn't relate to background to get a poor result. Second image shows better result than previous because in which we choose manually selection of threshold level so, intensities of histogram expose the extraordinary contrast and sharpness that is occupied by optimum thresholding level, it demonstrations taking level at the starting point show good overlapping because of low contrast intensity in an image of data set [7].
Table 1. Comparison of methods
We need to raise image enhancement with selection of background threshold level based on image for further improving image processing techniques. In figure 8 done with first two steps, and in below further two steps are shown. We discus over here ways of choosing the threshold value automatically, generally in image processing, the methodology is to use an algorithm accomplished by choosing a threshold automatically based on image data of histogram.
Techniques, The subsequent iterative procedure is one such approach. The steps are followed as:
1. Select an initial estimate for the optimum manual thresholding level.
2. Segment the image using level with optimized ratio value (in which level is divided by mean value).
3. Calculate the middling intensity values for the pixels in region by probability models associated threshold value.
4. Compute a new threshold value associate in variance and standard deviation.
5. Segment the image using function im2bw
A. Comparisons between optimized and probability model threshold level
Fig. 9. Otolith image of comparison between optimized threshold level and probability model threshold level
ISSN: 2446–2918 DOI:
B. Optimized threshold level
Disadvantage: Not better contour then optimum manual threshold
Advantage: It is automatic and fast technique and better then Otsu method also less time consuming.
C. Probability model threshold level
Disadvantage: Not better contour then optimum manual threshold
Advantage: it is automatic, fast technique and better then Otsu method and Optimized ratio level also less time consuming.
The way to choose a threshold level by visual examination of the image histogram of optimum manual thresholding. It is mostly efficient in a collaborating position, as one allows the user to alter the threshold by a cursor associated with background and get the output straight away. The persistence of this second part was assembling additional parts of the codes and obtains an effect more precise. For this purpose, the "Otsu method" (automatic thresholding value) gray thresh code was replaced with "optimum threshold value". For succeeding the result expected, the code had to be changed again by applying the "probability model threshold" function which corrects the unvarying background illumination and manually threshold value into automatic and change the image into a binary image so it can perform analysis of the forefront objects. Performance of mean, standard deviation and variance called probability model threshold level in which we execute and result is sharp bright image with high contrast and good contouring.
D. Region Based Segmentation and Thresholding Using MATLAB
The purpose of segmentation is to separate an image in to the regions. In customized algorithm options were approached by this problem, by getting boundaries between regions based on discontinuities in intensity levels. The segmentation technique that is based on finding the regions is directly used here [8][12]. The scheme is to calculate seeds with level as for darker pixels the histogram is skewed right it shows high contrast intensity in an image's data set.
The main standard part of an algorithm is region growing based on the background of the images. And also based on the selection of level in grey threshold value while preservative connectivity if the background has sufficient homogenous that darker than outside zones of sardine otoliths. Here
ISSN: 2446–2918 DOI: 10.21058/gjecs.2019.32007
we put the value of grey threshold; I have selected those values which are corresponding with the background. These parameters may have over or under enhancement so to reduce this sharpness mean opinion score is used. [9] Final last overlapped image gives additional better results as quality of image.
E. Comparisons based Region Growing between optimum, optimized and probability model threshold level
F. Evaluation of Segmentation
The Mean Opinion Score (MOS) is stated as a particular rational number which shows quantity, usually in the assortment from 1 to 5 this process is known as "Rating scales of subjective quality Assessment". Although, 1 MOS shows lowest observed quality and 5 MOS shows the highest observed quality. The other MOS choices are also possible, it is depend on the rating (assessment) scale that has been used in the underlying test. This rating scale of absolute category is generally used, plots ratings between bad and excellent numbers among 1 and 5, as perceived in table below [10][11].
Table 2. Overlapped Of Sardine Otolith Segmentation Based Threshold Level
Whereas, Opt1= Otsu method (automatic value), Opt 2= optimum manual threshold level, Opt 3= optimized threshold level, Opt 4= probability model threshold level, MOS= mean opinion score.
Table 3. Sardine Otolith Segmentation Threshold Based Region Growing
In above tables we find the quality assessment by MOS and then results are shown in bar form as seen below. These results are discussed in conclusion.
Vol.3, No.2, pp.45-54, September 2018
ISSN: 2446–2918 DOI: 10.21058/gjecs.2019.32007
Fig. 13. Optimum manual level between segmentation of threshold technique and region growing
Fig. 15. Probability Model Threshold Level overlapped of sardine otolith in image segmentation based threshold level and region growing
The histograms shows contrast intensity in an image's data set, to maintain the mean brightness and to improve the contrast is necessary for image enhancement processing and algorithms.
V. CONCLUSION
Table 4. Comparison of All Algorithms by Data Compression
Better working segmentation can be done by adding morphometric of region growing method, more samples of sardine working made best to contour boundaries with this method. The intensities of the region growing histogram reveal the high contrast and sharpness of the image that is taken by manually using optimum thresholding of region growing the histogram is skewed it shows high contrast intensity in an image's data set. To maintain the mean brightness and to improve the contrast is necessary for image enhancement processing and algorithms. Good quality of image can be evaluated by contrast but it can be too sharp or too fade so mean opinion score is used to adjust quality of image for better results. This technique increases the entropy in the image so the information is getting extracted by experimenting standard data very precisely. The entropy value of the histogram is maximum and the mean intensity can also be comparable with the other histogram with mean opinion score (MOS) but it gives much better results as quality of image. Otolith segmentation with thresholding and region growing based evaluation outcomes displayed image thresholding in automatic applications. Histograms aid to resolve an appropriate thresholding method assessed by MOS that offers better outcomes for type of images in image processing. Working of projects experimental results proven that region grow segmentation method is good in thresholding images whose histogram has an extreme value related background. Many samples of otolith based
Gyancity Journal of Electronics and Computer Science
Vol.3, No.2, pp.45-54, September 2018
ISSN: 2446–2918 DOI: 10.21058/gjecs.2019.32007
thresholding in limited outputs with good results, but actual conditions are certainly improved reality applications, aspects to claim a predict using numerous techniques. When merging all thresholding techniques with levels applied to subcategories of the input image as mean, standard deviation and variance, results obtained with the proposed approach demonstrate better results than Otsu methods using threshold-preserving in images. For example, in images with irregular brightness, running time performance is low compared to thresholding methods when performed. On the other hand it is average in the assortment of dynamic methods, what sorts it an interesting method to try, even in realtime applications.
ACKNOWLEDGEMENT
The authors would like to thank University of Malaga and Mehran university of Engineering & Technology Jamshoro and to all those who have supported and helped in this research study. Special thanks to the Erasmus Caprio International mobility program for providing the means to conduct these experiments in Spain.
REFERENCES
[1] E. Nava, Elisa I. Villar, María C. Clemente, Javier Rey, Alberto García, Lourdes Fernández-Peralta, Carmen G. Pineiro, and Pablo Otero. "Digital Imaging Tool to Enhance Otolith Microstructure for Estimating Age in Days in Juvenile and Adult Fish." IEEE Journal of Oceanic Engineering 43, no. 1 (2018): 48-55.
[2] B. Zorica, Zorica, Barbara, Gorenka Sinovčić, and Vanja Čikeš Keč. "Preliminary data on the study of otolith morphology of five pelagic fish species from the Adriatic Sea (Croatia)." Acta Adriatica 51, no. 1 (2010): 89.
[3] Begg, Gavin A., CRC Reef Research Centre, Mikaela AJ Bergenius, Steven X. Cadrin, and Michael F. O'Neill. Stock assessment of the Australian east coast spotted mackerel fishery. No. 58. CRC Reef Research Centre, 2005.
[4] E. Avigliano, Avigliano, Esteban, Laith A. Jawad, and Alejandra V. Volpedo. "Assessment of the morphometry of saccular otoliths as a tool to identify triplefin species (Tripterygiidae)." Journal of the Marine Biological Association of the United Kingdom 96, no. 5 (2016): 1167-1180.
[5] J. M. Long, T. B Grabowski, "Age and growth of fishes: principles and techniques", American Fisheries Society, November 2017, vol. 359.
[6] W. Schwarzhans, "A review of Jurassic and Early Cretaceous otoliths and the development of early morphological diversity in otoliths." Neues Jahrbuch für Geologie und Paläontologie-Abhandlungen 287, no. 1 (2018): 75-121.
[7] L. Shamir, J. D. Delaney, N. Orlov, D. M. Eckley and I. G. Goldberg "Pattern recognition software and techniques for biological image analysis." PLoSComputBiol, Vol. 6, No.11, 2010.
[8] N. Otsu, "A Threshold Selection Method from Gray-Level Histograms," IEEE Transactions on Systems, Man, and Cybernetics, Vol. 9, No. 1, 1979, pp. 62-https://www.udacity.com/course/computer-vision-nanodegree--nd89166.
[9] Computer Vision, https://www.udacity.com/course/computer-vision-nanodegree--nd891
[10] N. Otsu (1979). "A threshold selection method from gray-level histograms". IEEE Trans. Sys., Man., Cyber. Vol. 9, No. 1, pp. 62–66, 1979 doi:10.1109/TSMC.1979.4310076
[11] J. Jonathan IestynMapp, MORPHOMETRIC OTOLITH ANALYSIS, University of East Anglia, School of Computing Sciences, September 2015
[12] R. C. Gonzalez, R. E. Woods, S. L. Eddins "Digital Image Processing Using Matlab", Second edition 2009.
|
Unicode Compression: Does Size Really Matter? TR CS-2002-11
Steve Atkin IBM Globalization Center of Competency International Business Machines Austin, Texas USA 78758 email@example.com
Ryan Stansifer Florida Institute of Technology Melbourne, Florida USA 32901
Department of Computer Sciences firstname.lastname@example.org July 2003
Abstract
The Unicode standard provides several algorithms, techniques, and strategies for assigning, transmitting, and compressing Unicode characters. These techniques allow Unicode data to be represented in a concise format in several contexts. In this paper we examine several techniques and strategies for compressing Unicode data using the programs gzip and bzip. Unicode compression algorithms known as SCSU and BOCU are also examined. As far as size is concerned, algorithms designed specifically for Unicode may not be necessary.
1 Introduction
Characters these days are more than one 8-bit byte. Hence, many are concerned about the space text files use, even in an age of cheap storage. Will storing and transmitting Unicode [18] take a lot more space? In this paper we ask how compression affects Unicode and how Unicode affects compression.
Unicode is used to encode natural-language text as opposed to programs or binary data. Just what is natural-language text? The question seems simple, yet there are complications. In the information age we are accustomed to discretization of all kinds: music with, for instance, MP3; and pictures with, for instance, JPG. Also, a vast amount of text is stored and transmitted digitally. Yet discretizing text is not generally considered much of a problem. This may be because the English language, western society, and computer technology all evolved relatively smoothly together. However, diverse languages, writing systems, and encodings of other places belie this sanguinity. Practices such as font-specific encodings, using pictures of text, incomplete and changing standards, all suggest that text-processing practices need attention. In the future, natural-language text may not be represented that same as it is today. Digital text may be built around different abstractions rather than simple code points.
One obvious strategy for representing natural-language is to use Unicode. But just what is Unicode? Is it data? Some characters have the same appearance but different meaning:
```
U+212B ANGSTROM SIGN U+00C5 LATIN CAPITAL LETTER A WITH RING
```
Is it a collection of glyphs? Some code points represent different forms of the same data.
```
U+0671 ARABIC LETTER ALEF WASLA U+FB50 ARABIC LETTER ALEF WASLA ISOLATED FORM
```
Is it a mechanism for interchange? The full-width characters come from Shift-JIS.
```
U+FF21 FULLWIDTH LATIN CAPITAL LETTER A
```
Is it mark-up? As, for instance, suggested by the following two code points:
```
U+200D Zero Width Joiner U+2029 Paragraph Separator
```
Is it a compression scheme? UTF-8 [21] is often used to save space in storing and transmitting Unicode characters.
An encoding scheme and a compression algorithm are similar in that they both pick a representation for the symbols. In this paper we explore this similarity. With vast computing power and clever compression algorithms available today, are encoding schemes necessary? Can each
At the heart of our study is the coded character set UCS-2, a fixed-width, 16 bit encoding of Unicode characters. We completely ignore surrogates. This makes software programming easier and follows the practice of the Java programming language [1]. In Java, Unicode as USC-2 is used to interpret the computer bits representing characters internally (by which we mean inside the software application) and UTF-8 is often used externally (by which we mean storing and exchanging text).
application be free to pick the representation of code points? Are there some representations that lend themselves better to compression? To address these questions we tried many different ways of compressing Unicode natural-language text.
Our experiments in compression do not hold all the answers to these questions. But we have an extensive study of the size of different representations. The complete results of our experiments as well as the corpus of text can be found at the WWW site:
2 Corpus
Collecting plain text is much more difficult than we expected. At first the Internet appears to be a boundless source of text. But, we avoided "marked-up" text like HTML documents. Perhaps marked-up text is a different kind of document: a hybrid natural/unnatural document. On the other hand, maybe the mark-up can be safely ignored or stripped out in this context. In any case, only one sample in our corpus of text is an HTML document. It is worth pondering if all electronicallystored text will be "marked-up" in the future. This does have an impact on character repertoire and character codes; see [2].
We have collected 15 large samples of natural-language plain text, two of which are multilingual. We also added 9 samples of artificial text, some randomly created. These texts compress differently because natural-language text generally has lots of extraneous information that does not affect the intrinsic content. The entire list is shown in Table 1.
The overwhelming majority of plain text we encountered is in English and other European languages. These samples were the easiest to collect. Project Gutenberg [14] provided five texts in English, Spanish, and German. Non-English text was harder for us to acquire. Many scholarly archives are not freely accessible over the Internet. And our efforts were constrained by our bounded time, persistence, and limited linguistic ability.
Table 2 has more information about the corpus including the coded character set we think the file is in, the number of Unicode characters, how many different characters occur in the file, and the entropy of the file. Entropy H is a measure of the information content:
where P i is the probability of occurrence of the i-th symbol. Files with high entropy will be more random and harder to compress.
Though not relevant for the purposes of compression, the interpretation of the text files is not as easy as we expected—especially for non-English text. What did the authors intend? Did they make spelling errors? Did the 17th century typesetter run out of the letter 'U' and use 'V' instead (as
Table 1: Texts Used in Experiments
Table 2: Characteristics of the Corpus
roundtrip/
total
distinct
sometimes occurred in the printing of Shakespeare's plays). Does the data represent the author's intention or the printed page? Transcribers had to pick characters to represent the work. Maybe there was no character available (discretization error) in the character set. For example, in Alice in Wonderland, we see the common practice of using the apostrophe and the grave accent for single quotation marks, since single quotation marks are unavailable in ISO-8859-1. Encoding the work in Unicode might be considered more accurate as all the characters in question are part of the Unicode repertoire:
```
U+0027 APOSTROPHE U+0060 GRAVE ACCENT U+2018 LEFT SINGLE QUOTATION MARK U+2019 RIGHT SINGLE QUOTATION MARK
```
The size of the character set and the character encoding scheme have an impact on the meaning of the data.
3 Character Codes
Just a few samples were collected directly in Unicode (specifically UTF-8). The rest were in various 8-bit code sets and a few in multi-byte code sets. Naturally, much of it was encoded (apparently) in ISO-8859-1, commonly known as Latin-1.
Most text samples were converted into Unicode characters by using Java's internal character conversion logic. The following code fragment illustrates how it was done:
```
final String file_name = "alice30.txt"; final String encoding = "ISO-8859-1"; final BufferedReader in=new BufferedReader(new InputStreamReader( new FileInputStream (file_name, encoding)); for (;;) { final int unicode_char = in.read(); if (unicode_char == -1) break; } in.close();
```
Another possibility for such conversion is the GNU software recode [13]. It was used for the Vietnamese character codes VISCII and VIQR [10], which are not predefined in the Java system of code-point converters. (Possible errors in UTF-8 discouraged us from using recode uniformly for all conversions.)
Among the other coded character sets used in the corpus are KOI8-R [6], GBK (simplified Chinese) [12], and ISO-8859-2. The complete list can be found in Table 2.
In several cases we are unable to convert back to the original data from the Unicode representation. We indicate this in the column labeled "round-trip" in Table 2. The original may have contained unassigned code points, or may be relying on a different version of the encoding standard. In these cases the conversion software may have inserted the replacement character; we take a replacement character as evidence of some sort of potential problem in the natural language text. For example, in sanguo.txt we find the 3,635th character is the replacement character. Here is a portion of that file, readers may draw their own conclusions.
Also, the file th 18057.txt appears corrupted from about character 120,825. And, in the UTF-8 file by Markus Kuhn we find one occurrence of the replacement character. We have no way of knowing whether that was intentional.
Other more subtle sources of misinterpretation are possible. Often the character encoding used is not given. And even if hints are given it is hard to be sure. These encoding standards are evolving or are confused by common alternative practice or mis-practice. Finally, it is possible that the converters have bugs or that its developers are confused by the same problems confronting the authors of the text.
Yet another problem of interpretation is raised with the Arabic text. The Arabic language is written in the right-to-left direction. When the text is rendered using the Unicode bi-directional algorithm, as, say by the Java widget JTextPane, the result is not what was intended. Mirroring of brackets is done "incorrectly" (not in the way intended by the authors). The difficulties of bi-directional text have been the subject of another investigation [3].
In conclusion, a portion of the non-English corpus may not be "meaningful" as revealed by even a superficial analysis of the data. This raises troubling questions about the fidelity of the data representing natural language in scripts other than Latin.
4 Character Encodings
Fundamentally the underlying data is a collection of Unicode characters. But this information can be represented in different ways. These different representations have different advantages and disadvantages. We examine a number of representations, and see which ones take up the least space and which ones compress the best.
We have chosen a number of different formats to see if any significant differences emerge. Table 3 lists the different intermediate formats we used. The first group of formats are "plain" Unicode—just the 16-bit code point. Even so there are some variations that may make a difference. We might pad out the 16 bits to 32 bits. This format we call UCS-4. Also the byte order might affect compression, so we try both little-endian and big-endian: UCS-2 LE and UCS-2 BE, respectively.
Table 3: Different Intermediate Formats
Since many of the leading bytes in the 16 bits are zero, other formats have been devised to save space. UTF-8 encodes the 16 bits in 1, 2, or 3 octets. UTF-7 does the same, but uses only the lower 7 bits of each octet as in US-ASCII. Similarly base-64 uses only 64 common, graphical symbols encoded in US-ASCII, but with a fixed-width format. Every three Unicode characters is encoded in 8 symbols.
The next group of formats are in a category we might call "quoted printable." There really is a quoted-printable format [4] in which every octet using more than 7 bits is replaced by the digits representing the code point. This requires two characters plus an "escape" character (the equals sign) to encode one byte. Obviously any bit pattern can be encoded this way. We did not use the quoted-printable format because we used several very similar ones. One, we have called "hex," is an extremely simple one that uses the four hexadecimal digits (in US-ASCII) for every Unicode character. Another, we have called "entities," uses the HTML entity approach and contains the decimal digits in this format: &#dddd;. The format we have called "names" uses the formal Unicode names for each character terminated by a line-feed character. Naturally these approaches expand the number of bytes needed to store the files considerably. But, as we will see, they compress nearly as well as the other formats.
The final group of formats have compression as part of their motivation. They take advantage of the fact that mono-lingual text does not require all of Unicode, so using 16 bits for every character is wasteful. This approach resembles UTF-8, except that UTF-8 favors US-ASCII—everything else must take more than one byte even if it is in an alphabetic script. We have created and implemented a format we call "diff." It is a simple-minded, stateful encoding of Unicode that puts in the higherorder bits of the USC-2 only when they change. The Standard Compression Scheme for Unicode (SCSU) [20] is a more sophisticated character encoding scheme that does the same. More recently another approach has been developed that in addition preserves the order of the characters, BinaryOrdered Compression for Unicode (BOCU) [15]. BOCU is a stateful, muti-byte, encoding of Unicode. The control codes including NUL, CR and LF are encoded with the same byte values as in US-ASCII.
These formats are perhaps related to a type of encoding that we have not yet investigated. We can imagine a human-readable, multi-character encoding. This could be like RFC1345 [16] that proposes a mnemonic system for some (not all) Unicode characters. Naturally, the challenge is including the ideographic script systems. Perhaps a general system of input could be used as the encoding. Some systematic input methods for alphabetic scripts have been studied [19].
Some formats are easier to visualize than others. We give an example of encoding a particular sequence of five Unicode characters in the list below. We use the first five characters of file aAaA.utf8. The format "diff" removes the bias toward US-ASCII, but all the spaces and linefeed characters in the data require the format to make large jumps back to where all the higher-order bits are zero.
Unicode Name
BE LE UTF-8
5 Compression
The compression software we used was the GNU gzip and bzip2 programs.
The bzip2 compressor used in our experiments is in the general class of block-sorting compressors. In general, block-sorters first reorder a section (block) of text using a sorting algorithm prior to any compression. Sorting the block transforms the text into a representation that lends itself to efficient compression. In the case of bzip2 the Burrows-Wheeler Transform [5] is used to sort the block of text. Once the block has been sorted traditional compression techniques are then applied, such as run-length encoding.
The gzip compressor used in our experiments is in the general class of LZ77 (Ziv and Lempel) lossless compressors[22]. The basic strategy used by LZ77 compressors is to replace substrings (phrases) with pointers to the place where they occurred before in the text, yielding a tuple containing a phrase position and a phrase length. This represents an adaptive approach where the prior text is the codebook itself. Decompression is relatively simple and fast. For each tuple encountered, go to that phrase position and write the number of bytes indicated by the phrase length.
All experiments were conducted on a Sun Microsystems Ultra-5 computer running Solaris. The compressors gzip, version 1.24 [8], and bzip2, version 1.0.2 [17], were invoked with their default parameters (neither their smallest nor largest block sizes). Both are designed to take sequences of octets (not characters) as input. Since all data must necessarily be binary, this does not exclude any input. However, this raises the interesting possibility of tuning these compressors for 16 bit or Unicode characters and seeing if that makes a difference. This possibility was examined in a study by Fenwick and Brierley [7]. They concluded an LZU compressor for 16 bits offers some improvement.
As our results substantiate, the compressed files of bzip2 are generally smaller than gzip. Of the 320 files compressed (these includes all the various formats), gzip had smaller output in only 27 cases; and in these cases the difference is small. On the other hand, bzip2 is generally held to be slower than gzip, but we made no such measurements ourselves. Here we consider only space and we ignore time. Both are important, but timing results can be difficult to interpret.
6 Results
Each file of the corpus was converted to Unicode characters and put in each of the twelve formats discussed previously. All the files were then compressed with gzip and bzip2.
For text encoded in ISO-8859-1, several of the other formats use the identical encoding of the characters. These are marked with an equals sign in Table 4, and the row of the table is omitted. In
We consider first the file ulysses.txt. Ulysses, an unusual work of English literature, exhibits behavior representative of the other natural-language texts encoded in ISO-8859-1 as far as our experiments go. The data we collected for this case is presented in Table 4.
Table 4: Results for ulysses.txt
gzip bzip2
the case of ulysses.txt two other encodings are very similar, but not identical. These encodings are marked with the ≈ sign. UTF-7 differs only because of the two occurrences of the character
U+002B PLUS SIGN
(the least frequently occurring character in the file ulysses.txt) which is used as a meta character in UTF-7 and must itself be encoded. And the file of mark-up language entities differs from the original only because of the three occurrences of
U+0026 AMPERSAND
which serves as the escape character for HTML entities. Otherwise these formats would also be identical to the original.
The case of the Vietnamese text is interesting. The data we collected for this case is presented in Table 5. This is the only case that we have two text encodings. The first is VISCII which
The original text file takes up the least space and the Unicode character names take up the most. The names require a whopping 90 bits per Unicode character. This figure is so low only because we charged each octet with just 5 bits because the character repertoire used in the names—roughly the upper-case ASCII letters—will fit in 5 bits. (Similarly UTF-7 is charged 7 bits, base-64 6 bits, etc.) Furthermore, the original text file is the most compressible format. Both gzip and bzip2 are able to compress the text file more than any other format.
Table 5: Results for kieu175.viscii
gzip bzip2
is an 8-bit encoding that does not preserve the bottom half (0x00-0x7F) for US-ASCII like the ISO-8859 standards. There are just too many Vietnamese characters that need to be represented. The second text encoding embeds Vietnamese into US-ASCII. This encoding is called Vietnamese Quoted Readable (VIQR); the first verse of kieu175.viqr appears below:
```
1. Tra(m na(m trong co˜i ngu+o+'i ta, Chu+˜ ta'i chu+˜ meˆ.nh khe'o la' ghe't nhau\. Tra?i qua moˆ.t cuoˆ.c beˆ? daˆu, Nhu+˜ng ddieˆ'u troˆng thaˆ'y ma' ddau ddo+'n lo'ng.
```
US-ASCII symbols are used as conjoining diacritics. The backslash character is used to mean the next character is not to be interpreted as a diacritic mark. This encoding is apparently fairly readable. Despite its multi-byte nature it compresses well; in fact, it is the most compressible of all the formats. See Table 5.
Table 6 summarizes our results. All the formats compressed to about the same size by bzip2. But some trends are evident. In the alphabetic scripts compressing the original text almost always results in a smaller file than first converting to UTF-8 or some other format and then compressing. Over all these texts, the compressed files require an average of 2.714 bits per characters. If the file is converted to UTF-8 first, for example, and then compressed an average of 2.750 bits per characters is required.
Table 6: Comparison of bzip2 Compressibility
file text
UCS-2 BE UTF-8 hex
SCSU BOCU
Considering the files with a much larger range of characters, compressing the UCS-2 representation almost always results in the smallest output file. Whether it is little-endian or big-endian does not matter. The really simple hex format and the Unicode name format (not shown in Table 6) do not ever yield the most savings; but they are not always the least compressible of the formats.
We conclude that the program bzip2 compresses all the examples well. No matter how diverse the formats of the input, the resulting output files are about the same size. This suggests that the information content–the Unicode characters–is being efficiently represented by bzip2.
Using BOCU and SCSU saves space compared to uncompressed UTF-8, but compressing the original text with gzip or bzip2 saves much more space. Even compressing the BOCU and SCSU files with bzip2 rarely saves as much space. See Tables 4 and 5. The other cases are similar; though the higher the entropy, the lower the savings.
References
[1] Ken Arnold, James Gosling, and David Holmes. The Java Progamming Language. Java Series. Addison-Wesley, Reading, Massachusetts, third edition, 2000.
[2] Steve Atkin. A Framework for Multilingual Information Processing. PhD thesis, Florida Institute of Technology, 2001.
[3] Steve Atkin and Ryan Stansifer. Implementations of bidirectional reordering algorithms. In Unicode Consortium, editor, Eighteenth International Unicode Conference (IUC18) Unicode and the Web: the Global Connection, April 24–27, 2001, Hong Kong, San Jose, California, 2001. The Unicode Consortium.
[4] Nathaniel S. Borenstein and Ned Freed. RFC 1521: MIME (Multipurpose Internet Mail Extensions) part one: Mechanisms for specifying and describing the format of Internet message bodies, September 1993.
[5] Michael Burrows and David J. Wheeler. A block-sorting lossless data compression algorithm. Technical Report 124, Digital Equipment Corporation, Systems Research Center, May 1994.
[6] A. Chernov. RFC 1489: Registration of a Cyrillic character set, July 1993.
[7] Peter Fenwick and Simon Brierley. Compression of Unicode files. In James A. Storer and Martin Cohn, editors, DCC '98: Data Compression Conference, March 30–April 1, 1998, Snowbird, Utah, Silver Spring, Maryland, 1998. IEEE Computer Society Press.
[8] Jean-loup Gailly and Mark Adler. Gzip, 1.2.4 (18 aug 93). http://www.gzip.org/.
[9] David Goldsmith and Mark Davis. RFC 2152: UTF-7: A mail-safe transformation format of Unicode, May 1997. http://www.faqs.org/rfcs/rfc2152.html.
[10] Vietnamese Standardization Working Group. RFC 1456: Conventions for encoding the Vietnamese language. VISCII: VIetnamese Standard Code for Information Interchange. VIQR: VIetnamese Quoted-Readable specification, May 1993.
,
[11] Debra A. Lelewer and Daniel S. Hirschberg. Data compression. ACM Computing Surveys 19(3):261–296, September 1987.
[12] Ken Lunde. CJKV Information Processing: Chinese, Japanese, Korean & Vietnamese Computing. O'Reilly & Associates, Inc., Sebastopol, California, 1999.
[13] Franois Pinard. Recode. http://www.iro.umontreal.ca/contrib/recode/ HTML/.
.
[14] Project Gutenberg. http://www.promo.net/pg
[15] Markus Scherer and Mark Davis. Bocu-1, 2002. http://oss.software.ibm.com/ cvs/icu/˜checkout˜/icuhtml/design/conversion/bocu1/bocu1.html.
[16] Keld Simonsen. RFC 1345: Character mnemonics and character sets, June 1992.
[17] Julian Steward. Bzip2, version 1.0.2, 30-dec-2001. http://sources.redhat.com/ bzip2/.
[18] The Unicode Consortium. The Unicode Standard, Version 3.0. Addison-Wesley, Reading, Massachusetts, 2000.
[19] Uwe Waldmann. A new input technique for accented letters in alphabetical scripts. In Unicode Consortium, editor, Twentieth International Unicode Conference (IUC20) Unicode and the Web: the Global Connection, January 28 – February 1, 2002, Washington, DC, USA, San Jose, California, 2002. The Unicode Consortium. http://www.mpi-sb.mpg.de/ ˜uwe/paper/AccInput-bibl.html.
[20] Misha Wolf, Ken Whistler, Charles Wicksteed, Mark Davis, and Asmus Freytag. A standard compression scheme for Unicode. Unicode Technical Standard 6, The Unicode Consortium, San Jose, California, May 2002.
[21] Franois Yergeau. RFC 2279: UTF-8, a transformation format of ISO 10646, January 1998.
[22] Jacob Ziv and Abraham Lempel. A universal algorithm for sequential data compression. IEEE Trans. Inf. Theory, IT-23:337–343, May 1977.
|
IN THE
Supreme Court of the United States
WALTER S. STEVENSON, Petitioner, v.
U
NITED
S
TATES OF
A
ERICA
, Respondent
M
ON PETITION FOR WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE ARMED FORCES
BRIEF OF NATIONAL INSTITUTE OF MILITARY JUSTICE AND NATIONAL VETERANS LEGAL SERVICES PROGRAM AS AMICI CURIAE IN SUPPORT OF PETITIONER
MELISSA EPSTEIN MILLS GIBSON DUNN & CRUTCHER LLP 333 SOUTH GRAND AVENUE LOS ANGELES, CA 90071
RONALD W. MEISTER COWAN, LIEBOWITZ & LATMAN, P.C. 1133 AVE. OF THE AMERICAS NEW YORK, NY 10036
EUGENE R. FIDELL Counsel of Record FELDESMAN TUCKER LEIFER FIDELL LLP 2001 L STREET, N.W. WASHINGTON, DC 20036 (202) 466-8960
STEPHEN A. SALTZBURG THE GEORGE WASHINGTON UNIVERSITY LAW SCHOOL 2000 H STREET, N.W. WASHINGTON, DC 20052
Counsel for Amici Curiae
May 29, 2008
TABLE OF CONTENTS
Page
TABLE OF AUTHORITIES
BRIEF OF NATIONAL INSTITUTE OF MILITARY JUSTICE AND NATIONAL VETERANS LEGAL SERVICES PROGRAM AS AMICI CURIAE IN SUPPORT OF PETITIONER
INTEREST OF AMICI CURIAE 1
The National Institute of Military Justice ("NIMJ") is a District of Columbia not-for-profit corporation founded in 1991 to advance the fair administration of justice in the armed forces and to foster improved public understanding of the military justice system. NIMJ, which is affiliated with the Washington College of Law, American University, regularly appears as an amicus curiae in cases raising important issues of military law and policy. NIMJ's directors and advisors include law deans and professors and private practitioners, most of whom have served as military lawyers, up to and including flag and general officer rank.
The National Veterans Legal Services Program ("NVLSP") is an independent, nonpartisan, nonprofit advocacy, educational, and policy organization founded in 1980. It is dedicated to ensuring that veterans and their families receive the VA benefits
1 The parties have consented to the filing of this brief. Counsel of record for all parties received notice at least 10 days prior to the due date of the amici curiae's intention to file this brief. No counsel for a party authored this brief in whole or part, and no counsel or party made a monetary contribution intended to fund the preparation or submission of this brief. No person other than amici curiae, their members, or their counsel made a monetary contribution to its preparation or submission.
and assistance they need and deserve. NVLSP is a veterans service organization recognized by the VA and regularly represents veterans before VA regional offices, the Board of Veterans Appeals, and the Court of Appeals for Veterans Cases, and appears as an amicus curiae in other forums on important issues of veterans law.
SUMMARY OF ARGUMENT
Military justice is an exceptional jurisdiction which, because it does not provide the full panoply of rights conferred by the Constitution, should be no broader than necessary to achieve good order and discipline in the armed forces. It offends the Constitution to court-martial a retiree who is on the Permanent Disability Retired List ("PDRL").
ARGUMENT
In personam jurisdiction is the threshold, and in a democratic society, the central issue in the administration of justice through military courts. NIMJ and NVLSP believe the decision of the Court of Appeals reflects a misreading of the Uniform Code of Military Justice ("UCMJ") and runs counter to this Court's jurisprudence over the last half-century. It is also contrary to prevailing international human rights norms.
Beginning with United States ex rel. Toth v. Quarles, 350 U.S. 11 (1955), the Court has made clear that court-martial jurisdiction comes at the expense of important constitutional rights (such as trial by jury) and must therefore be confined to the least possible scope necessary to the end proposed. Id. at 22. The result is a series of decisions holding unconstitutional various provisions of the UCMJ that purport to extend court-martial jurisdictions to persons who are not, and in some instances never have been, on active duty. Reid v. Covert, 354 U.S. 1 (1954); Kinsella v. Singleton, 361 U.S. 234 (1960); Grisham v. Hagan, 361 U.S. 278 (1960); McElroy v. Guagliardo, 361 U.S. 281 (1960).
This case involves the UCMJ provision that brings within the sweep of the court-martial system retired regulars who are entitled to pay. UCMJ art. 2(a)(4), 10 U.S.C. § 802(a)(4). Whether or not that rarely-used provision is constitutional in the case of personnel who are retired by reason of longevity, it cannot plausibly be defended in the case of those who, like petitioner, are retired for physical disability and placed on the PDRL.
The petition ably marshals the arguments against court-martial jurisdiction. We believe they are unanswerable given the exacting test the Court has correctly applied in the past when considering the constitutionality of congressional efforts to subject various categories of individuals other than active duty military personnel to court-martial jurisdiction.
1. The petition is properly filed despite the fact that the Court of Appeals did not grant review of the Question Presented. That court's jurisdiction over this case was discretionary. UCMJ art. 67(a)(3), 10 U.S.C. § 867(a)(3). Although it granted petitioner's petition for grant of review, it did so only with respect to two other issues. Pet. App. 2a-3a. The Solicitor General has in the past taken the position that review by petition for a writ of certiorari is available only with respect to issues as to which the Court of Appeals has granted review. That position is plainly wrong. When Congress expanded the certiorari jurisdiction to include cases arising under the UCMJ, it did so with respect to "cases" in which the then Court of Military Appeals had granted review, abandoning the approach taken earlier in the legislative process of permitting review only of "issues" as to which that court had granted review. See generally Eugene R. Fidell, Review of Decisions of the United States Court of Appeals for the Armed Forces by the Supreme Court of the United States, in EVOLVING MILITARY JUSTICE 150-51 & nn.12-15 (Eugene R. Fidell & Dwight H. Sullivan eds. 2002). This is an "unresolved question." 2 Even if, contrary to our submission, the Court denies the petition in light of the considerations set forth in Rule 10, we respectfully suggest that it is important for the Court's order to make clear that a petition for a writ of certiorari will lie as to any issue in a case in which the Court of Appeals has granted review, regardless of whether that court's grant includes the issue with respect to which certiorari is sought. It is disturbing enough that Congress has given the service-members who defend our Nation narrower access to this Court than the untrammeled access enjoyed by other petitioners for certiorari; 3 there is no reason to make that discrepancy worse by construing the grant of certiorari jurisdiction in court-martial cases more narrowly than the statutory text or legislative history warrant.
2 EUGENE GRESSMAN, KENNETH S. GELLER, STEPHEN M. SHAPIRO, TIMOTHY S. BISHOP & EDWARD A. HARTNETT, SUPREME COURT PRACTICE 128 n.103 (9th ed. 2007).
3 Id. at 130; compare 28 U.S.C. § 1254 with 28 U.S.C. § 1259; see also UCMJ art. 67a(a), 10 U.S.C. § 867a(a).
2. Petitioner is correct in suggesting (at 18) that the Court should not delay consideration of the important jurisdictional issue as to which he seeks certiorari. A similar question arose in Solorio v. United States, 483 U.S. 435 (1987), which concerned subjectmatter, rather than personal jurisdiction, but the interest in resolution is the same. The Court granted review there even though the case was pending on interlocutory appeal. Given the number of PDRL retirees whose amenability to trial by court-martial would turn on a decision in this case, an authoritative determination by this Court would serve the public interest.
3. Permitting court-martial jurisdiction over PDRL retirees runs counter to the line of authority under which such retirees are outside the sweep of Feres v. United States, 340 U.S. 135 (1950). McGowan v. Scoggins, 890 F.2d 128, 137-39 (9th Cir. 1989); Crumpler v. United States, 495 F. Supp. 266 (S.D.N.Y. 1980). The reason, of course, is that they are as a practical matter civilians. They have no military duties and their involuntary recall to active duty is so deeply improbable as to be nonexistent. See Pet. at 12-13 & nn.11-12. 4 Allowing them to sue the government creates none of the tension and distraction that has been cited in connection with intramilitary litigation. See also Chappell v. Wallace, 462
4 While retirees have on occasion been recalled to active duty, see 1 FRANCIS A. GILLIGAN & FREDRIC I. LEDERER, COURTMARTIAL PROCEDURE § 2-20.00, at 2-28 (3d ed. 2006), we are unaware of any involuntary recall of a disabled retiree. Voluntary recalls are not probative with respect to the constitutionality of subjecting to military justice persons who have not agreed to be recalled.
U.S. 296 (1983). It exalts form over substance to view those who are on the PDRL as part of the military for the purpose of criminal jurisdiction.
4. The application of military justice to retired personnel is also contrary to prevailing international human rights norms. For example, in Case of Palamara-Iribarne v. Chile, Judgment of Nov. 22, 2005, Ser. C, No. 135, http://www.corteidh.or.cr/docs/casos/articulos/seriec_ 135_ing.doc, 5 the Inter-American Court of Human Rights, held that a retired officer who was employed by the Chilean Navy in a civilian capacity was not subject to trial by court-martial. The court found a violation of, among other things, Article 8(1) of the American Convention on Human Rights, O.A.S. Treaty Ser. No. 36, 1144 U.N.T.S. 123, entered into force July 18, 1978, commenting:
139. The Court has pointed out that the application of military justice must be strictly reserved to active-duty military members, based on a previous case wherein it noted that "when [the] proceedings [against the victim] were started and heard, [he was] a retired military member, and therefore, could not be trie[d] by the military courts." [Cf. Case of Cesti-Hurtado v. Peru, Judgment of Sept. 29, 1999, Ser. C, No. 56 (¶ 151).] Chile, as a democratic State, must respect the restrictive and
5 We are grateful to Agustina Del Campo, Impact Litigation Project Coordinator, Washington College of Law, for this reference.
exceptional scope of military courts, and exclude the trial of civilians from the jurisdiction thereof.
* * *
141. The Court considers that Chile has not adopted the necessary measures for Mr. Palamara-Iribarne to be tried by ordinary courts, since as a civilian her did not have the military status required to be deemed the perpetrator of a military criminal offense. The Court notes that, in Chile, establishing that a person has military status is a complex task which requires the interpretation of various provisions and regulations, which allowed the judicial authorities who applied them to make a broad interpretation of the concept of "military" in order to subject Mr. PalamaraIribarne to the military Courts.
142. Such broad jurisdiction of military courts in Chile, which allows them to hear cases which should be heard by civilian courts, is not in line with Article 8(1) of the American Convention.
The court ordered Chile to "align its domestic legal system to the international standards regarding criminal military jurisdiction within a reasonable period of time, so that in case it considers the existence of a military criminal jurisdiction to be necessary, this must be restricted only to crimes committed by military personnel in active service." P. 101 (¶ 14). Consistent with this analysis, the draft UN Principles Governing the Administration of Justice Through Military Tribunals, E/CN.4/2006/58 (Jan.
13, 2006), observe that "[m]ilitary courts should, in principle, have no jurisdiction to try civilians. In all circumstances, the State shall ensure that civilians accused of a criminal offence of any nature at tried by civilian courts." Id. at 10 (Principle No. 5); see also id. at 11 (¶ 21) (jurisprudence of European Court of Human Rights, Inter-American Court, InterAmerican Commission on Human Rights and African Commission on Human and Peoples' Rights is unanimous with respect to military courts' lack of jurisdiction to try civilians). While there may be circumstances in which a non-military person such as a dependent or a civilian accompanying the forces in the field might well prefer trial by court-martial over a foreign alternative forum, see Michael R. Gibson, International Human Rights Law and the Administration of Justice Through Military Tribunals: Preserving Utility While Precluding Impunity, 4 J. INT'L L. & INT'L REL. 1, 24-26 (2008), it is difficult to extend that approach to disabled retirees for whom the alternative is trial in a civilian American court of law. This Court's longstanding skepticism with respect to the trial of civilians by court-martial is consistent with international norms and warrants a narrow interpretation of UCMJ art. 2(a)(4).
CONCLUSION
For the foregoing reasons and those stated by petitioner, the petition for a writ of certiorari should be granted.
Respectfully submitted.
MELISSA EPSTEIN MILLS GIBSON DUNN & CRUTCHER LLP 333 SOUTH GRAND AVENUE LOS ANGELES, CA 90071
RONALD W. MEISTER COWAN, LIEBOWITZ & LATMAN, P.C. 1133 AVE. OF THE AMERICAS NEW YORK, NY 10036
EUGENE R. FIDELL Counsel of Record FELDESMAN TUCKER LEIFER FIDELL LLP 2001 L STREET, N.W. WASHINGTON, DC 20036 (202) 466-8960
STEPHEN A. SALTZBURG THE GEORGE WASHINGTON UNIVERSITY LAW SCHOOL 2000 H STREET, N.W. WASHINGTON, DC 20052
Counsel for Amici Curiae
May 29, 2008
|
Eating right, Blood Type B
The following list of foods, is a summary of the excellent work done by Dr D'Adamo, in his latest book "Live Right For Your Type", and includes updated information regarding "secretor Status", an important clinical distinction when it comes to food selection.
Consider the "Secretor" (around 80% of people) as a person with their blood type, and thus their immune components, expressed throughout their body fluids, like a well-guarded facility with a security fence and guard dogs, designed for all sorts of possible attacks.
In contrast consider the "Non-Secretor" as the more primitive or simplistic immune system, with its components present in the blood. The analogy would be a burglar alarm inside your house, when it goes off you are already in trouble, and the battle for survival may be expensive with the home invasion hard to reverse.
In life we find the non-secretor less able to cope with the modern existence of chemicals, high carbohydrate consumption and man-made bugs and viruses. Chronic fatigue, hypersensitivity to chemicals and foods, and diabetes are more common with non-secretor group.
The following lists, apply to Secretor only. To find out your secretor status you will need to order the saliva test kit from the web site at www.dadamo.com and follow the instructions. If you are type 2 diabetic, overweight and have had poor health all your life, with infections and allergies, then you may be a "Non-secretor", and need to eat accordingly from the Non-secretor list. If your health is fairly robust and "strong" then you are most likely a "Secretor", and this is the suitable list for you.
To maintain Acid/Alkaline ratios a 70% fruit and vegetable based diet daily should be attained.
If you want to recover from poor health, eat largely from the Highly Beneficial sections and supplement from the Neutral only.
The weakness for the B type is their Nervous system, and under stress they can end up with chronic fatigue and blood sugar problems. Nervous exhaustion is a real risk without balancing your activities.
The B is a strategist and seeks balance always in all things.
Strangely, B types handle dairy better than others, but realise that the quality of modern dairy with over 50 powerful growth hormones in it, is a real cancer risk. Goats milk and goats cheese are the exception, as Goat growth factor is different from cow, and cow is identical to human. Eggs are OK at 3 to 5 per week and if you eat fish then the fish list will be important to you.
There are 3 categories.
Highly beneficial - Excellent: is like a medicine
Neutral - OK: is neither good nor bad but will slow recovery if one is sick and eats too much from this category.
Avoid - NO: is harmful and will interfere with many body functions and prevent recovery.
The main risk foods are:
Chicken, as it causes blood clotting in the B type
Tomato, as it has the same effect
Corn, Buckwheat and Rye as they affect insulin effectiveness
Wheat and peanuts also.
The rule is to start the day with high water content foods such as fruit, and to make one's daily eating consist of 70% fruit and vegetables. Fresh fruit (3-5 varieties) and Yoghurt is an ideal breakfast for Type B, with a lunch and evening meal of protein and vegetables with rice.
Foods that encourage Weight Gain
Sweetcorn, lentils, peanuts, sesame seeds, buckwheat, wheat
Foods that encourage Weight Loss
Green vegetables, meat, eggs, liver, liquorice tea
Easy Reference Guide to Healthy Eating
Blood Type B, Secretor
| Type | Excellent – Highly beneficial | OK - neutral | NO NO and NO Avoid |
|---|---|---|---|
| Meat | Lamb, Mutton, Rabbit, Venison | Beef (including minced), Liver (calf, chicken, pig), Pheasant, Turkey, Veal | Bacon, Chicken, Duck, Goose, Ham, Heart, Partridge, Pork, Quail |
| Seafood | Caviar, Cod, Haddock, Hake, Halibut, Mackerel, Mahi mahi (Yellow-finned dolphin), Salmon, Sardines, Shad, Sturgeon, Sole | Abalone, Albacore (tuna), Carp, Catfish, Herring (fresh, pickled), Mussels, Red snapper, Sailfish, Scallop, Shark, Snapper , Squid, Swordfish | Anchovy, Barracuda, Clams, Crab, Crayfish, Eels, Frogs’ Legs, Lobster, Octopus, Oysters, Prawns, Sea Bass, Smoked Salmon, Snails, Striped bass, Salmon Roe, Trout (all varieties) |
| Eggs Cheeses Yoghurt Milk | Cottage cheese, Feta Cheese, Goat’s Cheese, Goat’s Milk, Kefir, Milk (preferably non-pasteurised), Mozzarella cheese, Ricotta cheese, Yoghurt (Jalna Bio- dynamic, Goats, Greek-style) | Brie, Butter, Buttermilk, Camembert, Cheddar cheese, Creme fraîche, Edam cheese, Eggs, Emmenthal cheese, Fromage frais, Ghee, Gouda cheese, Gruyere Cheese, High-/low-fat soft cheese, Jarlsburg cheese, Munster Cheese, Neufchatel cheese, Quark, Parmesan cheese, Provolone cheese, Whey | Blue cheese, Ice-cream, duck egg, goose egg, Soy milk |
| Oils and fats | Olive Oil | Cod Liver Oil, Ghee, Linseed (flaxseed) oil, Walnut oil | Canola Oil, Corn Oil, Cottonseed Oil, Safflower Oil, Sunflower Oil, Sesame Oil |
| Nuts and seeds | Walnuts (black) | Almonds, Almond Butter, Brazil Nuts, Chestnuts, Macadamia Nuts, Walnuts (English) | Cashews, Hazelnuts, Peanuts, Peanut Butter, Pistachios, Pine Nuts, Poppy Seeds, Pumpkin Seeds, Sesame Seeds, Sunflower Margarine, Sunflower Seeds, Tahini (sesame seed paste) |
| Beans | Kidney Beans, Lima Beans, Navy Beans (baked beans, but not in tomato sauce) | Broad Beans (Fava), Cannellini Beans, Green Beans, Peas (green, Sugar-snap), Soybean (whole) | Adzuki Beans, Black Beans, Black-eyed Beans, Chickpeas, Lentils (brown, green, red), Mung bean/sprouts, Pinto, Soy cheese, flakes, granules, lecithin, Tofu & Tempeh |
Type
Excellent – Highly beneficial
OK - neutral
NO NO and NO
Avoid
| Cereals | Millet, Oat Bran, Oatmeal, Rice Bran, Rice, Spelt (whole) | Barley, Quinoa, Spelt products, Semolina | Amaranth, Buckwheat, Cornflakes, Cornmeal, Couscous, Cream of Wheat, Gluten, Kamut, Popcorn, Rye, Shredded Wheat, Tapioca, Wheat Bran, Wheat germ, Wild Rice |
|---|---|---|---|
| Breads, Grains & Pastas | Oat flour, Rice flour | Oat bran muffins– Semolina, Spelt bread, Sprouted-wheat bread, Rice pasta, Semolina pasta, Spelt pasta | Bagels, Cornbread, Corn muffins, Durum Wheat bread, Multi-grain bread, Polenta, 100 per cent rye bread, Rye crisps, Ryvita crispbreads, Wheat Bran muffins, Wholewheat bread, Barley flour, Buckwheat flour, Bulgur wheat flour, Couscous, Durum wheat,Flour, Gluten flour, Rye flour, Soba (buckwheat) noodles, Tapioca, Whole wheat flour, Wild rice |
| Vegetables Soy products | Aubergines (eggplant), Beetroots, Beetroot leaves, Broad beans, Brussels sprouts, Cabbage (Chinese, red, white), Carrots, Cauliflower, Silver beet, Ginger, Kale, Mushrooms (shiitake), Parsley, Parsnips, Peppers (green, Red, yellow), Sweet potatoes, Yams | Alfalfa sprouts, Asparagus, Bamboo shoots, Bok choy, Caper, Celery, Celeriac, Chervil, Chicory, Chilli peppers, Jalapeno, Coriander, Courgettes, Cucumbers, Daikons, Dandelion greens, Dill, Endive, Escarole, Fennel, Garlic, Horseradish, Jicama beans, Kohlrabi, Leeks, Lettuce (Cos, Iceberg, Webb), Mesculin salad mixture, Mushrooms (abalone, chantarelles, cultivated, enoki, porcini, Portobello, tree oyster), Okra, Onions (green, red, Spanish, spring, yellow), Peas, Potatoes (red, white), Radicchio, Rappini, Rocket, Seaweeds, Shallots, Swedes, Spinach, Squash (all types), Turnips, Water chestnuts, Watercress, Zucchini | Avocado, Jerusalem artichokes, Globe artichokes, Mung bean sprouts, Olives (black, green, Greek, Spanish), Pumpkin, Radishes, Radish sprouts, rhubarb, Sweet corn, Tempe, Tofu, Tomatoes |
Type
Excellent – Highly beneficial
OK - neutral
NO NO and NO
Avoid
| Fruits Juices | Bananas, Cranberries, Grapes, Papaya, Pineapple, Plums Cabbage juice, Cranberry juice, Grape juice, Papaya juice, Pineapple juice (Freshly squeezed) | Apples, Apricots- Blackberries, Blackcurrants, Blueberries, Boysenberries, Cherries, Dates, Elderberries, Figs (dried, fresh), Gooseberries, Grapefruit, Guava, Kiwi, Kumquats, Lemons, Limes, Loganberries, Lychees, Mangoes, Melons ( cantaloupe, casaba, honeydew,) Nectarines, Oranges, Peaches, Pears, Plantains, Prunes, Raspberries, Redcurrants, Strawberries, Tangerines, Watermelons Apple cider, Apple juice, Apricot juice, Black cherry juice, Carrot juice, Celery juice, Cucumber juice, Grapefruit juice, Orange juice, Other vegetable Juices (corresponding with suitable vegetables), Prune juice, Water (with lemon juice) | Coconuts, Persimmons, Pomegranates, Prickly pears, Rhubarb, Star fruit Tomato juice |
|---|---|---|---|
| Herbs, spices | Curry powder, Horseradish, Parsley | Agar, Anise, Arrowroot, Basil, Bay leaf, Bergamot, Brown rice syrup, Capers, Caraway seeds, Cardamom, Carob, Cayenne pepper, Chervil, Chives, Chocolate (dark), Coriander, Cream of tartar, Cumin, Dill, Garlic, Honey, Maple syrup, Marjoram, Mint, Miso, Molasses, Mustard (dry), Nutmeg, Paprika, Pepper (red flakes), Peppermint, Pimento, Rice syrup, Rosemary, Saffron, Sage, Salt, Savoury, Seaweeds (dulse, kelp), Spearmint, Soy Sauce, Sugar (brown, white), Tamarind, Tarragon, Thyme, | Allspice, Almond essence, Barley malt, Cinnamon, Cornflour, Corn syrup, Gelatine (plain), Pepper (ground black & white, peppercorns) |
| Type | Excellent – Highly beneficial | OK - neutral | NO NO and NO Avoid |
|---|---|---|---|
| | | Turmeric, Vanilla (essence, pod), Vinegars (balsamic, cider, herb, red & white wine, white) | |
| Herbal teas | Ginger, Ginseng, Liquorice, Parsley, Peppermint, Raspberry leaf, Rosehip, Sage | Alfalfa, Burdock root, Catnip, Cayenne, Camomile, Chickweed, Dandelion, Dong quai (Chinese angelica), Echinacea, Elderflower, Golden seal, Green tea Hawthorn, Horehound, Sarsaparilla, spearmint, St John’s wort, Strawberry leaf, Thyme, Valerian, Vervain, Yarrow, Yellow dock | Aloe, Coltsfoot, Cornsilk, Fenugreek, Gentian, Hops, Linden, Mullein, Red clover, Rhubarb, Senna, Shepherd’s purse, Skullcap |
| Beverages | Green tea | Coffee (decaffeinated, regular), Lager, Tea (decaffeinated, regular), Wine (red, white) | Distilled spirits, Soda (club, cola, diet, others), Seltzer water |
| Condiments | | Jam (from acceptable fruits on p. 4), Jelly (from acceptable fruits on p. 4), Mayonnaise, Mustard, Pickles (dill, kosher, sweet, sour), Relish, Salad Dressing (low-fat, from acceptable ingredients), Worcestershire sauce | Ketchup, tomato sauce |
The above information is courtesy of Dr James D'Adamo. For more information please visit the website www.dadamo.com or arrange a personalised consultation at True Medicine by calling 07-5530 1863.
|
GENERAL MILLS, INC. DIRECT PURCHASE PLAN
The Direct Purchase Plan (the "Plan") of General Mills, Inc. ("General Mills") provides participants with a convenient and economical method of purchasing shares of General Mills' common stock, par value $0.10 per share ("Common Stock"), and reinvesting cash dividends paid on Common Stock in additional shares of Common Stock.
Participation in the Plan is open to any registered holder of Common Stock and to any person who becomes a registered holder of Common Stock by enrolling in the Plan, paying a one-time account set-up fee of $15 and either making an initial investment of at least $250 or authorizing at least five automatic cash investments of at least $50. Beneficial owners of Common Stock whose only shares are registered in names other than their own (e.g., held in street name in a brokerage account) are not eligible to participate in the Plan until they become stockholders of record either by withdrawing the shares from their brokerage account and registering the shares in their own name or by enrolling in the Plan in the same manner as a non-stockholder.
Participants in the Plan may elect to have the cash dividends paid on all or a percentage of their shares of Common Stock automatically reinvested in additional shares of Common Stock. Holders of Common Stock who choose not to participate in the Plan's dividend reinvestment feature will continue to receive cash dividends on shares of Common Stock registered in their name, as declared, by check or direct deposit. Participants may also purchase additional shares of Common Stock by making optional cash investments in accordance with the provisions of the Plan.
Shares of Common Stock purchased by participants in the Plan may be treasury or new issue Common Stock or, at General Mills' option, Common Stock purchased in the open market or in negotiated transactions. Treasury or new issue Common Stock is purchased from General Mills at the market price on the applicable investment date. The price of Common Stock purchased in the open market or in negotiated transactions is the weighted average price at which the shares are actually purchased. This prospectus relates to 1,750,000 shares of Common Stock. The Common Stock is listed on the New York Stock Exchange under the ticker symbol GIS, and its closing price as of August 11, 2017 was $56.59 per share.
A complete description of the Plan begins on page 4 of this prospectus.
Shares of Common Stock offered under the Plan to persons who are not currently stockholders of General Mills are offered through a registered broker. The Plan Administrator will furnish the name of the registered broker utilized in share transactions within a reasonable time upon written request from the participant.
Investing in our Common Stock involves risks. See "Risk Factors" beginning on page 1 of this prospectus.
Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or determined if this prospectus is truthful or complete. Any representation to the contrary is a criminal offense.
TABLE OF CONTENTS
i
ABOUT THIS PROSPECTUS
You should rely only on the information contained or incorporated by reference in this prospectus. Neither we nor the Plan Administrator have authorized anyone else to provide you with different or additional information. If anyone provides you with different or additional information, you should not rely on it. This prospectus does not constitute an offer to sell, or a solicitation of an offer to buy, any of the securities offered in this prospectus by any person in any jurisdiction in which it is unlawful for such person to make such an offering or solicitation. Neither the delivery of this prospectus nor any sale made under this prospectus of the securities described herein shall under any circumstances imply, and you should not assume, that the information contained in this prospectus or any document incorporated by reference is accurate as of any date other than the date on the front cover of the applicable document, regardless of the time of delivery of this prospectus or of any sale of our securities. Our business, financial condition, results of operations and prospects may have changed since those dates.
Except as otherwise indicated or required by the context, all references in this prospectus to "General Mills," the "Company," "we," "us" and "our" are to General Mills, Inc. and not to its subsidiaries.
All references in this prospectus to "$" and "dollars" are to United States dollars.
ABOUT GENERAL MILLS
General Mills, Inc. is a leading global manufacturer and marketer of branded consumer foods sold through retail stores. We are also a leading supplier of branded and unbranded food products to the North American foodservice and commercial baking industries. As of May 28, 2017, we manufactured our products in 13 countries and marketed them in more than 100 countries. In addition to our consolidated operations, we have 50 percent interests in two strategic joint ventures that manufacture and market food products sold in more than 130 countries worldwide.
We were incorporated under the laws of the State of Delaware in 1928. As of May 28, 2017, we employed approximately 38,000 persons worldwide. Our principal executive offices are located at Number One General Mills Boulevard, Minneapolis, Minnesota 55426; our telephone number is (763) 764-7600.
General Mills provides a more detailed description of our business and important factors that could affect our financial performance in our annual report on Form 10-K and other reports filed with the Securities and Exchange Commission ("SEC") and incorporated by reference herein. A copy of General Mills' most recent annual report on Form 10-K can be obtained without charge. See "Where You May Find More Information About General Mills."
RISK FACTORS
An investment in the Common Stock involves risks. Before deciding whether to purchase any shares of Common Stock, you should consider the risks discussed below or elsewhere in this prospectus, including those set forth under the heading "Cautionary Statement Regarding Forward-Looking Statements," and in our filings with the SEC that we have incorporated by reference in this prospectus. Additional risks and uncertainties not presently known to us or that we currently believe to be immaterial may also impair our business operations.
Any of the risks discussed below or elsewhere in this prospectus or in our SEC filings incorporated by reference, and other risks we have not anticipated or discussed, could have a material impact on our business, financial condition or results of operations. As a result, the trading price of the Common Stock could decline.
The price of the Common Stock may fluctuate significantly, and this may make it difficult for you to sell any shares of the Common Stock when you want or at prices you find attractive.
The price of the Common Stock on the New York Stock Exchange constantly changes. We expect that the market price of the Common Stock will continue to fluctuate.
In addition, the stock markets from time to time experience price and volume fluctuations that may be unrelated or disproportionate to the operating performance of companies and that may be extreme. These fluctuations may adversely affect the trading price of the Common Stock, regardless of our actual operating performance.
For a further discussion of risks affecting the Common Stock, see the factors set forth below under "Cautionary Statement Regarding Forward-Looking Statements" and the discussion of our business and related matters set forth in the information incorporated in this prospectus by reference.
Future sales of the Common Stock or equity-related securities in the public market could adversely affect the trading price of the Common Stock and our ability to raise funds in new stock offerings.
In the future, we may sell additional shares of the Common Stock to raise capital. In addition, shares of the Common Stock are reserved for issuance on the exercise of stock options and the vesting of restricted stock units and performance share units. We cannot predict the size of future issuances or the effect, if any, that they may have on the market price for the Common Stock. Sales of significant amounts of the Common Stock or equityrelated securities in the public market, or the perception that such sales will occur, could adversely affect prevailing trading prices of the Common Stock and could impair our ability to raise capital through future offerings of equity or equity-related securities. Future sales of shares of the Common Stock or the availability of shares of the Common Stock for future sale could adversely affect the trading price of the Common Stock.
We can issue shares of preference stock that may adversely affect your rights as a holder of the Common Stock.
Our certificate of incorporation currently authorizes the issuance of five million shares of cumulative preference stock. Our board of directors is authorized to approve the issuance of one or more series of preference stock without further authorization of our stockholders and to fix the number of shares, the designations, the relative rights and the limitations of any series of preference stock. As a result, our board, without stockholder approval, could authorize the issuance of preference stock with voting, conversion and other rights that could proportionately reduce, minimize or otherwise adversely affect the voting power and other rights of holders of the Common Stock or other series of preference stock or that could have the effect of delaying, deferring or preventing a change in our control.
CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS
We and our representatives may from time to time make written or oral forward-looking statements with respect to our annual or long-term goals, including statements contained in this prospectus, the documents incorporated by reference in this prospectus, our filings with the SEC and our reports to stockholders.
The words or phrases "will likely result," "are expected to," "will continue," "is anticipated," "estimate," "plan," "project" or similar expressions identify "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995. Such statements are subject to certain risks and uncertainties that could cause actual results to differ materially from historical results and those currently anticipated or projected. We wish to caution you not to place undue reliance on any such forward-looking statements, which speak only as of the date made.
In connection with the "safe harbor" provisions of the Private Securities Litigation Reform Act of 1995, we are identifying important factors that could affect our financial performance and could cause our actual results in future periods to differ materially from any current opinions or statements.
Our future results could be affected by a variety of factors, such as:
* competitive dynamics in the consumer foods industry and the markets for our products, including new product introductions, advertising activities, pricing actions and promotional activities of our competitors;
* economic conditions, including changes in inflation rates, interest rates, tax rates or the availability of capital;
* product development and innovation;
* consumer acceptance of new products and product improvements;
* consumer reaction to pricing actions and changes in promotion levels;
* acquisitions or dispositions of businesses or assets;
* changes in capital structure;
* changes in the legal and regulatory environment, including labeling and advertising regulations and litigation;
* impairments in the carrying value of goodwill, other intangible assets or other long-lived assets, or changes in the useful lives of other intangible assets;
* changes in accounting standards and the impact of significant accounting estimates;
* product quality and safety issues, including recalls and product liability;
* changes in consumer demand for our products;
* effectiveness of advertising, marketing and promotional programs;
* changes in consumer behavior, trends and preferences, including weight loss trends;
* consumer perception of health-related issues, including obesity;
* consolidation in the retail environment;
* changes in purchasing and inventory levels of significant customers;
* fluctuations in the cost and availability of supply chain resources, including raw materials, packaging and energy;
* disruptions or inefficiencies in the supply chain;
* effectiveness of restructuring and cost saving initiatives;
* volatility in the market value of derivatives used to manage price risk for certain commodities;
* benefit plan expenses due to changes in plan asset values and discount rates used to determine plan liabilities;
* failure or breach of our information technology systems;
* foreign economic conditions, including currency rate fluctuations; and
* political unrest in foreign markets and economic uncertainty due to terrorism or war.
You should also consider the risk factors that we identify and incorporate by reference in this prospectus, which could also affect the price of the Common Stock.
We undertake no obligation to publicly revise any forward-looking statements to reflect events or circumstances after the date of those statements or to reflect the occurrence of anticipated or unanticipated events.
DESCRIPTION OF THE PLAN
PURPOSES
The Plan provides participants with a convenient and economical method of systematically increasing their ownership interest in General Mills through purchases of Common Stock and the reinvestment of cash dividends in additional shares of Common Stock. General Mills may use the Plan to raise capital for general corporate purposes through the sale to participants of treasury or new issue Common Stock.
FEATURES
The Plan has the following features:
* Open to Non-Stockholders – If you do not currently own shares of Common Stock you may become a participant in the Plan by paying an enrollment fee and either making an initial investment of at least $250 or authorizing at least five automatic cash investments of at least $50.
* Automatic Reinvestment of Dividends – Cash dividends paid on all or a specified percentage of shares of Common Stock are automatically reinvested in additional shares of Common Stock.
* Optional Cash Investments – You may make optional cash investments in Common Stock of at least $50 per investment up to an aggregate of $250,000 per calendar year. Optional cash investments may be made by automatic withdrawal or by check.
* Full Investment of Plan Funds – Funds invested in the Plan are fully invested through the purchase of fractional shares, computed to three decimals, as well as full shares. Cash dividends on fractional shares are reinvested in additional shares of Common Stock.
* Automated Requests – You may establish automated privileges for your Plan account, enabling you to execute certain Plan orders online or by phone.
* Share Safekeeping – You may deposit for safekeeping certificates representing shares of Common Stock held in physical certificate form, whether or not the shares were issued under the Plan, at no cost to you.
* Account Statements – Account statements detailing your Plan activities are mailed to you following each Plan transaction.
CONSIDERATIONS
You should consider the following prior to participating in the Plan:
* Fees – See "Brokerage Commissions, Service Fees and Other Costs – Investment Summary and Fees."
* Investment Timing; Price Risks – Because the prices at which Plan shares are purchased are determined as of specified dates or as of dates otherwise beyond your control, you may lose certain advantages otherwise available from being able to select the timing of your investment. For example, because the price charged to you for shares purchased in the open market or in negotiated transactions is the weighted average price at which the shares are actually purchased and may be over a period of days following an investment date, you may pay a higher price for shares purchased under the Plan than for shares purchased on the investment date outside of the Plan.
* No Interest Pending Investment – No interest is paid on optional cash investments pending their investment in Common Stock.
ADMINISTRATION
As of the date of this prospectus, administration of the Plan is handled by Wells Fargo Shareowner Services, a division of Wells Fargo Bank, N.A. (the "Plan Administrator"). The Plan Administrator is responsible for the clerical and ministerial administration of the Plan, including receiving initial and optional cash investments of participants, forwarding funds received from or on behalf of participants to a registered broker for purchases of Common Stock, issuing statements to participants of their Plan account activities and performing certain other administrative duties related to the Plan.
Contact Information
Internet
shareowneronline.com
Available 24 hours a day, 7 days a week for access to account information and answers to many common questions and general inquiries.
To enroll in the Plan:
If you are an existing registered stockholder:
1. Go to shareowneronline.com
2. Select "Sign Up Now!"
3. Enter your Authentication ID* and Account Number
*If you do not have your Authentication ID, select "I do not have my Authentication ID." For security, this number is required for first time sign on.
If you are a new investor:
1. Go to shareowneronline.com
2. Under "Invest in a Plan," select "Direct Purchase Plan"
3. Select "General Mills, Inc."
4. Under "New Investors," select "Invest Now"
5. Follow instructions on "Buy Shares"
Email
Go to shareowneronline.com and select "Contact Us."
Telephone
(800) 670-4763 Toll-Free
+1 (651) 450-4064 outside the United States
Shareowner Relations Specialists are available Monday through Friday, from 7:00 a.m. to 7:00 p.m. Central Time.
You may also access your account information 24 hours a day, 7 days a week using our automated voice response system.
Written correspondence
Wells Fargo Shareowner Services P.O. Box 64856 St. Paul, MN 55164-0856
Registered, certified and overnight delivery and deposit of certificated shares**
Wells Fargo Shareowner Services 1110 Centre Pointe Curve, Suite 101 Mendota Heights, MN 55120-4100
**If sending in a certificate for deposit, see "Share Safekeeping."
The Plan Administrator is responsible for purchasing and selling shares of Common Stock for your Plan account, including the selection of any broker through which Plan purchases and sales are made. General Mills has no control over the times or prices at which the Plan Administrator effects transactions or the selection of any broker used by the Plan Administrator.
AUTOMATED REQUESTS
ONLINE. You may establish automated privileges for your Plan account, enabling you to execute the following Plan orders online:
* enroll in the Plan;
* sell a portion or all of your Plan shares, if you have a United States bank account and, for joint accounts, you have previously authorized automated account access;
* authorize, change or terminate automatic withdrawals from your financial institution; and
* change your dividend reinvestment option (example: change from full reinvestment to partial reinvestment).
Certain restrictions may apply.
After you have successfully signed up, you will be able to access your account immediately. You will also receive written confirmation to your mailing address on file that your account has been activated for online access.
TELEPHONE. You may establish automated privileges for your Plan account, enabling you to execute the following Plan orders by telephone:
* sell a portion or all of your Plan shares, if you have a United States bank account and, for joint accounts, you have previously authorized automated account access;
* change or terminate automatic withdrawals from your bank account; and
* change your dividend reinvestment option (example: change from full reinvestment to partial reinvestment).
Certain restrictions may apply.
FORMS
ACCOUNT AUTHORIZATION FORM. An Account Authorization Form is used to enroll in the Plan and for stockholders to change automatic cash withdrawal and investment dollar amounts, automated privileges and direct deposit of dividends. An Account Authorization Form can be obtained from the Plan Administrator upon request, or you can enroll online at shareowneronline.com.
TRANSACTION REQUEST FORM. A Transaction Request Form is used to make optional cash investments, sell Plan shares, deposit physical certificate shares with the Plan Administrator, discontinue or change automatic cash withdrawal and investment dollar amounts, and terminate participation in the Plan. A Transaction Request Form is attached to each account statement mailed to participants.
Additional Account Authorization Forms and Transaction Request Forms can be obtained from the Plan Administrator upon request.
ELIGIBILITY
Any person or entity, whether or not currently a registered holder of Common Stock, may participate in the Plan by enrolling in accordance with the procedures (see "Enrollment and Participation"). General Mills reserves the right to deny, modify, suspend or terminate participation by any person or entity (see "Other Information – Denial or Termination of Participation by General Mills").
We encourage you to access your account information online at shareowneronline.com to perform transactions. Accounts that are registered in the name of an investment club, corporation or partnership will not be allowed online access. Please note that additional access restrictions may apply.
Note: Regulations in certain countries may limit or prohibit participation in this type of Plan. Accordingly, persons residing outside the United States who wish to participate in the Plan should first determine whether they are subject to any governmental regulation prohibiting their participation.
ENROLLMENT AND PARTICIPATION
You may enroll in the Plan at any time by going online (see "Automated Requests – Online") or by completing the Account Authorization Form and returning it to the Plan Administrator at the address set forth on the form.
STOCKHOLDERS. If you are a registered holder of Common Stock, you may go online at shareowneronline.com (see "Automated Requests – Online") or complete an Account Authorization Form to participate in the Plan. If you are a beneficial owner of Common Stock whose only shares are held in the name of a bank, broker or other nominee, you must either (a) arrange for the bank, broker or nominee to register in your name the number of shares of Common Stock that you want to participate in the Plan and then go online or complete an Account Authorization Form to enroll in the Plan or (b) go online or complete an Account Authorization Form and become a stockholder of record by enrolling in the Plan in the same manner as a non-stockholder.
NON-STOCKHOLDERS. If you are not a registered owner of Common Stock, you may go online at shareowneronline.com (see "Automated Requests – Online") or complete an Account Authorization Form and pay a one-time enrollment fee of $15 (see "Brokerage Commissions, Service Fees and Other Costs – Investment Summary and Fees"). You must also make an initial cash investment of at least $250. The initial cash investment will be waived if you authorize at least five automatic cash investments of at least $50. You need only include a check in the amount of the initial cash investment in United States dollars and drawn on a United States or Canadian financial institution (or authorization for automatic cash investment) plus the enrollment fee. If you enroll online, your enrollment fee and initial cash investment or automatic cash investment funds will be automatically debited from your bank account and you need not send any check. A maximum of $250,000 may be invested in the Plan through optional cash investments during any calendar year.
DIVIDEND REINVESTMENT
As described below, by participating in the Plan, you may have the cash dividends paid on all or a percentage of your shares of Common Stock automatically reinvested in Common Stock on the dividend payment date. The payment of dividends on common stock is at the discretion of General Mills' Board of Directors. General Mills' Board of Directors has the right to stop paying or to change the amount of dividends at any time.
REINVESTMENT OPTIONS
You may change your reinvestment option at any time by going online at shareowneronline.com (see "Automated Requests – Online"), calling (see "Automated Requests – Telephone") or sending written notice to the Plan Administrator. If you do not select an option, the Plan Administrator will default your choice to full reinvestment. Notices received on or before a dividend record date will be effective for that dividend. Notices received after a dividend record date will not be effective until after that dividend has been paid.
FULL DIVIDEND REINVESTMENT. If you elect this option online, by calling or on your Account Authorization Form, all cash dividends payable on shares held in the Plan, along with any shares held in physical certificate form or through book-entry Direct Registration Shares ("DRS"), will be used to purchase additional shares. The participant will not receive cash dividends from the Company; instead, all dividends will be reinvested. Whole and fractional shares will be credited to the Plan account.
PARTIAL DIVIDEND REINVESTMENT. If you elect this option online, by calling or on your Account Authorization Form, a participant may elect to reinvest a portion of the dividend and receive the remainder in cash. The percentage elected will be applied to the total shares held in the Plan, along with any shares held in physical certificate form or held through book-entry DRS. A participant may elect percentages from 10% to 90%, in increments of 10%. The cash portion of dividends will be sent by check unless the participant has elected to have those dividends deposited directly to a designated financial institution.
An example of partial reinvestment by percentage: A participant has a total of 150 shares; 120 shares are held in the Plan, 15 in physical certificate form and 15 shares in book-entry DRS. The participant chooses to have 50% of the total dividend reinvested. This will equate to 75 shares having dividends reinvested and 75 shares having dividends paid in cash. Shares that are held in the Plan will have dividends reinvested before any shares held in physical certificate form or held through book-entry DRS.
CASH PAYMENTS ONLY. If you elect this option online, by calling or on your Account Authorization Form, all dividends payable to the participant will be paid in cash. This includes the dividend payable on all shares held in the Plan, in physical certificate form and through book-entry DRS. The participant's dividend payment will be sent by check unless the participant has elected to have those dividends deposited directly to a designated financial institution.
DIRECT DEPOSIT OF DIVIDENDS. You can have your unreinvested cash dividends transferred directly to your bank for deposit. For electronic direct deposit of dividend funds, contact the Plan Administrator to request a Direct Deposit of Dividends Authorization Form, and complete and return the form to the Plan Administrator. Be sure to include a voided check for checking accounts or savings deposit slip for savings accounts. If your stock is jointly owned, all owners must sign the form.
DIVIDEND PAYMENT DATES
Dividends on Common Stock have historically been paid on the first day of February, May, August and November, and the tenth day of January, April, July and October, respectively, have generally been the record dates for the payment of such dividends.
CASH INVESTMENTS
See "Brokerage Commissions, Service Fees and Other Costs – Investment Summary and Fees" for any fees that may apply. You are under no obligation to make additional cash investments after the initial cash investment.
INITIAL CASH INVESTMENT. If you are not a registered owner of Common Stock, you must include an initial cash investment of at least $250 with your completed Account Authorization Form or authorize at least five automatic cash investments of at least $50. For automatic cash investments, your first investment of at least $50 must be made by check. In either case, you must also pay a one-time enrollment fee of $15 (see "Brokerage Commissions, Service Fees and Other Costs – Investment Summary and Fees" and "Enrollment and Participation"). If you enroll online, your enrollment fee and initial cash investment or automatic cash investment funds will be automatically debited from your bank account and you need not send any check. If you are already a stockholder of record, no initial investment or enrollment fee is required.
OPTIONAL CASH INVESTMENTS. You may make optional cash investments at any time by personal check, along with a Transaction Request Form from one of your Account Statements, or by automatic cash withdrawals from a United States or Canadian financial institution. You may vary optional cash investments from a minimum of $50 per investment up to a maximum of $250,000 per calendar year. Initial cash investments are included in the month in which they are made for purposes of determining whether the $250,000 maximum has been reached.
CHECK. Optional cash investments made by check must be accompanied by a completed Transaction Request Form and received by the Plan Administrator no later than one business day prior to an investment date for an initial cash investment and optional cash investments; otherwise, optional cash investments are held by the Plan Administrator for investment on the next investment date. Optional cash investments made by check must be payable to "Shareowner Services" in United States dollars. Cash, money orders, traveler's checks and third party checks are not accepted.
AUTOMATIC CASH WITHDRAWAL AND INVESTMENT. A participant may set up a one-time, semimonthly or monthly automatic withdrawal from a designated bank account. The request may be submitted online, by telephone or by mailing an Account Authorization Form. Requests are processed and become effective as promptly as administratively possible. Once the automatic withdrawal is initiated, funds will be debited from the participant's designated bank account on or about the 9th and/or the 25th of each month and will be invested in Common Stock within five trading days. Changes or a discontinuation of automatic withdrawals can be made online, by telephone or by using the Transaction Request Form attached to the participant's statement. To be effective with respect to a particular investment date, a change request must be received by the Plan Administrator at least 15 trading days prior to the investment date. Participants do not receive any confirmation of the transfer of funds other than as reflected in their Plan account statements and in their bank account statements. The minimum withdrawal amount is $50 and the maximum aggregate optional cash investment, including an initial investment, during any calendar year is $250,000.
To authorize automatic cash withdrawals, go online or complete and sign the Bank Authorization Agreement section of the Account Authorization Form and return it to the Plan Administrator together with a voided blank check for checking accounts or a deposit slip for savings accounts from which funds are to be transferred.
A participant may obtain the return of any cash investment upon request received by the Plan Administrator on or before the second business day prior to the date on which it is to be invested. See "Investment Dates – Optional Cash Investments."
NO INTEREST IS PAID ON FUNDS HELD BY THE PLAN ADMINISTRATOR PENDING THEIR INVESTMENT IN COMMON STOCK. ALL OPTIONAL CASH INVESTMENTS, INCLUDING THE INITIAL CASH INVESTMENT, ARE SUBJECT TO THE COLLECTION BY THE PLAN ADMINISTRATOR OF FULL FACE VALUE IN UNITED STATES DOLLARS.
During the period that an optional cash investment is pending, the collected funds in the possession of the Plan Administrator may be invested in certain Permitted Investments. For purposes of this Plan, "Permitted Investments" shall mean uninvested or invested in select Wells Fargo deposit products. The risk of any loss from such Permitted Investments shall be the responsibility of the Plan Administrator. Investment income from such Permitted Investments shall be retained by the Plan Administrator.
If any optional cash contribution, including payments by check or automatic withdrawal, is returned for any reason, the Plan Administrator will remove from the participant's account any shares purchased upon prior credit of such funds, and will sell these shares. The Plan Administrator may sell other shares in the account to recover the returned funds fee (see "Brokerage Commissions, Service Fees and Other Costs – Investment Summary and Fees") for each optional cash contribution returned unpaid for any reason and may sell additional shares as necessary to cover any market loss incurred by the Plan Administrator.
SOURCE OF SHARES. Shares purchased by participants under the Plan are treasury or new issue Common Stock that General Mills has registered under the Securities Act of 1933, as amended, or Common Stock purchased by the Plan Administrator in the open market or in negotiated transactions. The Plan Administrator purchases shares in the open market or in negotiated transactions as soon as administratively possible (but in no event more than five trading days) after the applicable investment date, subject to any waiting periods required under applicable securities laws or stock exchange regulations. General Mills determines the source or sources of shares used to fulfill Plan requirements and, subject to certain regulatory restrictions on the frequency with which it can change its determination, may change such determination from time to time without notice to Plan participants. General Mills expects that generally all Plan purchases will be effected in open market transactions. The Plan Administrator will furnish the name of the registered broker utilized in share transactions within a reasonable time upon written request from the participant.
PRICE OF SHARES. The price per share of treasury or new issue Common Stock is the average of the high and low sale prices of the Common Stock (as reported on the New York Stock Exchange Composite Tape) on the applicable investment date or, if the New York Stock Exchange is closed on the investment date, on the next business day the New York Stock Exchange is open. The price of shares purchased in the open market or in negotiated transactions is the weighted average price at which the shares are actually purchased for the applicable investment date. The Plan Administrator may, in its discretion, commingle participants' funds for the purpose of purchasing shares. Because the prices at which shares are purchased under the Plan are determined as of specified dates or as of dates otherwise beyond the control of participants, participants may lose any advantage otherwise available from being able to select the timing of their investment. Participants' accounts will be credited with the number of full and fractional shares purchased, computed to three decimal places.
INVESTMENT DATES
DIVIDEND REINVESTMENT. Cash dividends are reinvested on the applicable dividend payment date or, if the dividend payment date is not a business day, the business day next following the dividend payment date. If a participant's Account Authorization Form is received by the Plan Administrator on or before the record date for a particular dividend, dividend reinvestment will begin with respect to dividends paid on the next dividend payment date. If the Account Authorization Form is received by the Plan Administrator after the record date, dividend reinvestment will not begin until the dividend payment date following the next record date.
OPTIONAL CASH INVESTMENTS. Any initial, recurring or one-time optional cash investment will be invested generally within five trading days, except where postponement (not to exceed 35 trading days) is necessary to comply with Regulation M under the Securities Exchange Act of 1934 or other applicable provisions of securities law. In making purchases for the participant's account, the Plan Administrator may commingle the participant's funds with those of other participants of the Plan. Purchases may be subject to certain fees (see "Brokerage Commissions, Service Fees and Other Costs – Investment Summary and Fees").
BROKERAGE COMMISSIONS, SERVICE FEES AND OTHER COSTS
BROKERAGE COMMISSIONS. Brokerage commissions payable with respect to Plan purchases are paid by General Mills. Brokerage commissions payable with respect to Plan sales are deducted from the proceeds payable to participants.
SERVICE FEES. Dividend reinvestment and optional cash investment service fees are paid by General Mills. Participants pay a service fee in connection with sales of Plan shares. The service fee is in addition to brokerage commissions and is deducted from the proceeds payable to the selling participant.
COMMISSIONS AND FEES SUBJECT TO CHANGE. General Mills may change from time to time the amount of commissions and fees charged participants upon 30 days' prior notice to participants.
INVESTMENT SUMMARY AND FEES
Summary
Minimum cash investments
Fees
ACCOUNT STATEMENTS
Following each purchase or other transaction involving your account, you will be furnished with a statement that includes:
* the amount of any investment from:
* cash dividends paid on shares registered in your name;
* cash dividends paid on full and fractional Plan shares in your account;
* cash investments;
* the date of the transaction;
* the number and price per share of any Plan shares purchased for your account;
* the number and price per share of any Plan shares sold for your account;
* the number of Plan shares withdrawn from or deposited to your account;
* the fees and brokerage commission, if any, for the transaction;
* the total number of book-entry (DRS) shares, shares held in certificate form and Plan shares in your account; and
* a year-to-date summary of transactions in your account.
These statements contain information that is required for tax reporting purposes. Therefore, it is imperative that you keep the statements until Plan shares have been disposed of and all tax obligations have been met. If this information is lost, a written request stating the information required may be sent to the Plan Administrator at the address contained in this prospectus. A fee for past account information may be charged (see "Brokerage Commissions, Service Fees and Other Costs – Investment Summary and Fees").
DIRECT REGISTRATION
General Mills is a participant in the Direct Registration System ("DRS"). DRS is a method of recording shares of stock in book-entry form. Book-entry means that your shares are registered in your name on the books of the Company without the need for physical certificates and are held separately from any Plan shares you may own. Shares held in book-entry have all the traditional rights and privileges of shares held in certificate form. With DRS, stockholders can:
* eliminate the risk and cost of storing certificates in a secure place;
* eliminate the cost associated with replacing lost, stolen or destroyed certificates; and
* move shares electronically to their broker.
HOW TO BEGIN. Any future share transactions will be issued in book-entry form rather than physical certificates unless you specify otherwise. You may convert any stock certificate(s) you are currently holding into book-entry form. Send the stock certificate(s) to the Plan Administrator with a request to deposit them to your DRS account. There is no cost to you for this custodial service and by doing so you will be relieved of the responsibility for loss or theft of your certificate(s).
General Mills strongly recommends that you use registered or certified mail to mail your certificates to the Plan Administrator, insuring the certificates for 3% of the current market value of the shares represented thereby. In any case, you bear the full risk of loss, regardless of the method used, in the event the certificates are lost. You should not endorse your certificates prior to mailing. (See "Share Safekeeping – Optional Mail Loss Insurance").
ELECTRONIC SHARE MOVEMENT. You may choose to have a portion or all of your full book-entry (DRS) or Plan shares delivered directly to your broker by contacting your broker. When using your broker to facilitate a share movement, provide them with a copy of your DRS account statement.
SHARE CERTIFICATES
Plan purchases are credited to your account and shown on your account statement. You do not receive certificates for your Plan shares unless requested in writing. This protects against loss, theft or destruction of stock certificates and reduces General Mills' administrative costs associated with the Plan. You may obtain certificates for some or all full Plan shares by submitting a written request to the Plan Administrator. Your request should specify the number of full Plan shares to be withdrawn from your account. Stock certificates will be issued and sent to the holder of record. Fractional shares are not issued under any conditions.
You may not pledge or grant a security interest in Plan shares unless certificates representing the shares have been issued by the Plan Administrator.
SHARE SAFEKEEPING
At any time beginning with enrollment in the Plan, you may deposit with the Plan Administrator physical certificates representing shares of Common Stock, whether or not the shares were acquired under the Plan, at no cost to you. To use this service, you must send your physical certificates to the Plan Administrator with a properly completed Transaction Request Form or Account Authorization Form. Shares represented by certificates deposited with the Plan Administrator are credited to your account and thereafter are treated as if acquired under the Plan. You are responsible for maintaining your own records of the cost basis of certificated shares deposited with the Plan Administrator.
General Mills strongly recommends that you use registered or certified mail to mail your certificates to the Plan Administrator, insuring the certificates for 3% of the current market value of the shares represented thereby. In any case, you bear the full risk of loss, regardless of the method used, in the event the certificates are lost. You should not endorse your certificates prior to mailing.
OPTIONAL MAIL LOSS INSURANCE. Please be advised that choosing registered, express or certified mail alone will not protect you should your certificates become lost or stolen.
The Plan Administrator can provide low-cost loss insurance for certificates being returned for conversion to book-entry form. Mail loss insurance covers the cost of the replacement surety bond only. Replacement transaction fees may also apply. To take advantage of the optional mail loss insurance, include a $10.00 check made payable to WFSS Surety Program along with your certificates and instructions.
To qualify for this service you must choose to use an accountable mail delivery service such as Federal Express, United Parcel Service, DHL, Express Mail, Purolator, TNT or United States Postal Service Registered Mail. Any one shipping package may not contain certificates exceeding a total value of $100,000.
The value of certificate shares is based on the closing market price of the common stock on the trading day prior to the mail date. Claims related to lost certificates under this service must be made within 60 days of the mail date. This is specific coverage for the purpose of converting shares to book-entry form, and the surety is not intended to cover certificates being tendered for sale, certificate breakdown or exchange for other certificates.
SHARE TRANSFERS WITHIN PLAN
Plan shares also may be transferred to a Plan account of another person subject to compliance with any applicable laws. To do this, you must complete and sign a Stock Power Form and return it to the Plan Administrator. The signature of the transferring participant on the stock power must be medallion guaranteed by an eligible financial institution. Stock Power Forms can be obtained online at shareowneronline.com or from the Plan Administrator. If the person to whom the shares are transferred is not a participant in the Plan, the Plan Administrator will automatically open an account for the person and enroll him or her in the Plan.
GIFTS OR SHARE TRANSFERS OUTSIDE PLAN
You can give or transfer shares from your Plan account to anyone you choose by:
* making an initial cash investment of at least $250 (plus the $15 enrollment fee) to establish an account in the recipient's name;
* submitting an optional cash investment on behalf of an existing Plan participant in an amount of not less than $50 per investment or more than $250,000 per calendar year;
* transferring shares from your Plan account to the account of an existing Plan participant; or
* transferring a whole number of shares from your account to a recipient outside the Plan.
You may transfer shares of Common Stock to the accounts of existing Plan participants or establish a new account. If your investments or transfers are made to an existing account, dividends on the shares credited pursuant to such investments or transfers will be invested in accordance with the elections made by the existing account owner. New Plan participants may elect any of the Plan's available dividend reinvestment options by completing an Account Authorization Form.
When authorizing a transfer of shares, you must send written instructions to the Plan Administrator and must have your signature on the letter of instruction medallion guaranteed by a financial institution participating in the Medallion Signature Guarantee program. A Medallion Signature Guarantee is a special guarantee for securities that may be obtained through a financial institution such as a broker, bank, savings and loan association, or credit union. The guarantee ensures that the individual requesting the transfer of securities is the owner of those securities. Most banks and brokers participate in the Medallion Signature Guarantee program.
If you need additional assistance regarding the transfer of your shares, please telephone the Plan Administrator. You also may find information and obtain forms on the Plan Administrator's website at shareowneronline.com.
SALE OF SHARES
You can sell your Plan shares at any time by submitting a request to sell through the mail. You may also submit a request to sell either online or by telephone. A check will be issued for your sale proceeds, unless you elect to receive the funds by direct deposit into your bank account.
Sales are usually made through a registered broker affiliated with the Plan Administrator, who will receive brokerage commissions. Typically, the shares are sold through the exchange on which the Common Stock is traded. Depending on the number of shares of Common Stock to be sold and current trading volume, sale transactions may be completed in multiple transactions and over the course of more than one day. All sales are subject to market conditions, system availability, restrictions and other factors. The actual sale date, time and price received for any shares sold through the Plan cannot be guaranteed.
Participants may instruct the Plan Administrator to sell shares under the Plan through a Batch Order, Market Order, Day Limit Order, Good-'Til-Date/Canceled Limit Order or Stop Order.
Batch Order (online, telephone or mail) – The Plan Administrator will combine each request to sell through the Plan with other Plan participant sale requests for a Batch Order. Shares are then periodically submitted in bulk to a broker for sale on the open market. Shares will be sold no later than five trading days (except where deferral is necessary under state or federal regulations) following the request by the participant. Bulk sales may be executed in multiple transactions and over more than one day depending on the number of shares being sold and current trading volumes. A Batch Order request cannot be canceled after submission by a participant.
Market Order (online or telephone) – The participant's request to sell shares in a Market Order will be at the prevailing market price when the trade is executed. If such an order is placed during market hours, the Plan Administrator will promptly submit the shares to a broker for sale on the open market. A Market Order request cannot be canceled after submission by a participant. Sale requests submitted near the close of the market may be executed on the next trading day, along with other requests received after market close.
Day Limit Order (online or telephone) – The participant's request to sell shares in a Day Limit Order will be promptly submitted by the Plan Administrator to a broker. The broker will execute the request as a Market Order when and if the stock reaches or exceeds the specified price on the day the order was placed (for orders placed outside of market hours, the next trading day). The order is automatically canceled if the price is not met by the end of that trading day. Depending on the number of shares being sold and current trading volumes, the order may only be partially filled and the remainder of the order canceled. A Day Limit Order request cannot be canceled after submission by a participant.
Good-'Til-Date/Canceled (GTD/GTC) Limit Order (online or telephone) – A GTD/GTC Limit Order request will be promptly submitted by the Plan Administrator to a broker. The broker will execute the request as a Market Order when and if the stock reaches or exceeds the specified price at any time while the order remains open (up to the date requested or 90 days for GTC). Depending on the number of shares being sold and current trading volumes, sales may be executed in multiple transactions and may be traded on more than one day. The order or any unexecuted portion will be automatically canceled if the price is not met by the end of the order period. The order may also be canceled by the applicable stock exchange or the participant at any time prior to execution.
Stop Order (online or telephone) – The Plan Administrator will promptly submit a participant's request to sell shares in a Stop Order to a broker. A sale will be executed when the stock reaches a specified price, at which time the Stop Order becomes a Market Order and the sale will be at the prevailing market price when the trade is executed. The price specified in the order must be below the current market price (generally used to limit a market loss). The order may be canceled by the participant at any time prior to execution.
Sales proceeds will be net of any fees and commissions to be paid by the participant (see "Brokerage Commissions, Service Fees and Other Costs – Investment Summary and Fees" for details). The Plan Administrator will deduct any fees and commissions and applicable tax withholding from the sale proceeds. Sales processed on accounts without a valid Form W-9 for United States citizens or Form W-8BEN for non-United States citizens will be subject to federal backup withholding. This withholding can be avoided by furnishing the appropriate form prior to the sale. Forms are available online at shareowneronline.com.
A check for the proceeds of the sale of shares (in United States dollars), less applicable taxes, commissions and fees, will generally be mailed by first class mail as soon as administratively possible after the settlement date. If a participant submits a request to sell all or part of the Plan shares and the participant requests net proceeds to be automatically deposited to a checking or savings account, then the participant must provide a voided blank check for a checking account or blank savings deposit slip for a savings account. If the participant is unable to provide a voided check or deposit slip, the participant's written request must have the participant's signature(s) medallion guaranteed by an eligible financial institution for direct deposit. Requests for automatic deposit of sale proceeds that do not provide the required documentation will not be processed and a check for the net proceeds will be issued.
A participant who wishes to sell shares currently held in certificate form may send them in for deposit to the Plan Administrator and then proceed with the sale. General Mills strongly recommends that you use registered or certified mail to mail your certificates to the Plan Administrator, insuring the certificates for 3% of the current market value of the shares represented thereby. In any case, you bear the full risk of loss, regardless of the method used, in the event the certificates are lost. To sell shares through a broker of their choice, the participant may request the broker to transfer shares electronically from the Plan account to their brokerage account. Alternatively, a stock certificate can be requested that the participant can deliver to their broker.
The Plan Administrator shall not be liable for any claim arising out of failure to sell on a certain date or at a specific price. Neither the Plan Administrator nor any of its affiliates will provide any investment recommendations or investment advice with respect to transactions made through the Plan. This risk should be evaluated by the participant and is a risk that is borne solely by the participant.
Selling participants should be aware that the share price of Common Stock may fall or rise during the period between a request for sale, its receipt by the Plan Administrator and the ultimate sale in the open market. You should evaluate these possibilities when deciding whether and when to sell any shares through the Plan. The price risk will be borne solely by you.
TERMINATION
Participants may terminate their participation in the Plan. A participant may terminate their participation in the Plan online (see "Automated Requests – Online") or by contacting the Plan Administrator via phone (see "Automated Requests – Telephone"). A participant may also submit the appropriate information on a Transaction Request Form or submit a written request to the Plan Administrator. A participant's written request for termination should be signed by the authorized signer(s) as their name(s) appears on their account statement. If
your request to terminate participation in the Plan is received on or after a dividend record date, but before the dividend payment date, your termination will be processed as soon as administratively possible, and a separate dividend check will be mailed to you. Future dividends will be paid in cash, unless you rejoin the Plan.
In addition, termination requests of participants making optional cash investments by automatic cash withdrawal must be received by the Plan Administrator at least 15 business days prior to the scheduled investment date to ensure that the request is effective as to the next optional cash investment date.
Upon termination of a participant's participation in the Plan, unless you have requested that some or all Plan shares be sold, the Plan Administrator will convert your full Plan shares to book-entry (DRS) representing the number of full shares in your Plan account and a check in the amount of the market value, less applicable taxes, commissions and fees, of any fractional share. If a participant so requests on the Transaction Request Form, the Plan Administrator will sell some or all Plan shares on behalf of the participant (see "Sale of Shares"). After settlement of the sale, the Plan Administrator will send the participant a check (or provide for direct deposit to a bank checking or savings account, as appropriate) in the amount of the proceeds of the sale, less applicable taxes, commissions and fees, of full and fractional shares and a certificate representing any full Plan shares not sold.
After termination, previous participants may re-enroll in the Plan by going online or submitting a new Account Authorization Form and complying with all other enrollment procedures (see "Enrollment and Participation"). In order to minimize unnecessary Plan administrative costs and to encourage use of the Plan as a long-term investment vehicle, General Mills reserves the right to deny participation in the Plan to previous participants who General Mills or the Plan Administrator believes have been excessive in their enrollments and terminations.
At the direction of General Mills, the Plan Administrator can terminate your participation in the Plan if you do not own at least one full share.
OTHER INFORMATION
STOCK DIVIDENDS AND STOCK SPLITS. Any shares distributable to a Plan participant pursuant to a stock dividend or stock split on Plan shares will be added to the participant's Plan account and not mailed or delivered directly to the participant. The participant, however, may request the Plan Administrator to issue certificates for such stock dividends or split shares once they are added to the participant's account (see "Share Certificates"). If a participant sends notice of termination or a request to sell to the Plan Administrator between the record date and the payment date for a stock distribution, the request will not be processed until the stock distribution is credited to the participant's account.
DIVIDEND AND VOTING RIGHTS. Dividend and voting rights of shares purchased under the Plan commence upon settlement of the transaction. Shares of Common Stock purchased on or within two business days prior to a dividend record date are considered "ex-dividend" and therefore not entitled to payment of that dividend.
VOTING OF PLAN SHARES. For each meeting of stockholders, participants receive proxy materials that allow them to vote their Plan shares by proxy. Alternatively, participants can elect to vote their Plan shares in person at the meeting.
LIMITATION OF LIABILITY. In administering the Plan, neither General Mills nor the Plan Administrator is liable for any good faith act or omission to act, including but not limited to any claim of liability (i) arising out of the failure to terminate a participant's account upon such participant's death prior to receipt of a notice in writing of such death, (ii) with respect to the prices or times at which shares are purchased or sold or (iii) as to the value of the shares acquired for participants.
The Plan Administrator is acting solely as agent of General Mills and owes no duties, fiduciary or otherwise, to any other person by reason of the Plan, and no implied duties, fiduciary or otherwise, shall be read into the Plan. The Plan Administrator undertakes to perform such duties and only such duties as are expressly set forth herein, to be performed by it, and no implied covenants or obligations shall be read into the Plan against the Plan Administrator or General Mills.
In the absence of negligence or willful misconduct on its part, the Plan Administrator, whether acting directly or through agents or attorneys, shall not be liable for any action taken, suffered or omitted or for any error of judgment made by it in the performance of its duties in connection with the Plan. In no event shall the Plan Administrator be liable for special, indirect or consequential loss or damage of any kind whatsoever (including but not limited to lost profit), even if the Plan Administrator has been advised of the likelihood of such loss or damage and regardless of the form of action.
The Plan Administrator shall: (i) not be required to and shall make no representations and have no responsibilities as to the validity, accuracy, value or genuineness of any signatures or endorsements, other than its own and (ii) not be obligated to take any legal action hereunder that might, in its judgment, involve any expense or liability, unless it has been furnished with reasonable indemnity.
The Plan Administrator shall not be responsible or liable for any failure or delay in the performance of its obligations under the Plan arising out of or caused, directly or indirectly, by circumstances beyond its reasonable control, including, without limitation: acts of God; earthquakes; fires; floods; wars; civil or military disturbances; sabotage; epidemics; riots; interruptions, loss or malfunctions of utilities or computer (hardware or software) or communications services; accidents; labor disputes; acts of civil or military authority or governmental actions; it being understood that the Plan Administrator shall use reasonable efforts which are consistent with accepted practices in the banking industry to resume performance as soon as administratively possible under the circumstances.
MODIFICATION OR TERMINATION OF THE PLAN. General Mills may suspend, modify or terminate the Plan at any time in whole or in part or with respect to participants in certain jurisdictions. Notice of such suspension, modification or termination will be sent to all affected participants. No such event will affect any shares then credited to a participant's account. Upon any whole or partial termination of the Plan by General Mills, each affected participant will have all full Plan shares converted to book-entry (DRS) or a physical certificate issued for all full Plan shares and a check, less applicable taxes, commissions and fees, in the amount of the market value of any fractional Plan share.
DENIAL OR TERMINATION OF PARTICIPATION BY GENERAL MILLS. The Plan Administrator may terminate a participant's participation in the Plan if the participant does not own at least one full share. General Mills also reserves the right to deny, modify, suspend or terminate participation in the Plan by otherwise eligible persons to the extent General Mills deems it advisable or necessary in its discretion to comply with applicable laws or to eliminate practices that are not consistent with the purposes of the Plan. Participants whose participation in the Plan is terminated will have all full Plan shares converted to book-entry (DRS) or a physical certificate issued for all full Plan shares and a check, less applicable taxes, commissions and fees, in the amount of the market value of any fractional Plan share.
UNITED STATES FEDERAL INCOME TAX INFORMATION
THE INFORMATION SET FORTH BELOW IS ONLY A SUMMARY AND DOES NOT CLAIM TO BE A COMPLETE DESCRIPTION OF ALL TAX CONSEQUENCES OF PARTICIPATION IN THE PLAN. TAX CONSEQUENCES VARY DEPENDING ON INDIVIDUAL CIRCUMSTANCES AND MAY BE AFFECTED BY FUTURE LEGISLATION, IRS RULINGS AND REGULATIONS AND COURT DECISIONS. ACCORDINGLY, PARTICIPANTS SHOULD CONSULT WITH THEIR OWN TAX ADVISORS WITH RESPECT TO THE FEDERAL, STATE, LOCAL AND FOREIGN TAX CONSEQUENCES OF PARTICIPATION IN THE PLAN.
UNITED STATES FEDERAL INCOME TAX CONSEQUENCES
DIVIDEND INCOME. Reinvested dividends are treated for federal income tax purposes in the same manner as if the participant had received the dividends in cash on the applicable dividend payment date. Brokerage commissions and investment fees paid by General Mills on behalf of a participant are treated as taxable dividend income to the participant and reported accordingly.
Distributions will be treated as dividends for federal income tax purposes to the extent of General Mills' current or accumulated earnings and profits. Distributions in excess of General Mills' current or accumulated earnings and profits will reduce a participant's tax basis in the shares with respect to which the dividend was received, and, to the extent in excess of basis, result in capital gain.
Dividends received by a corporate participant will be eligible for the dividends-received deduction if the participant meets certain holding period and other applicable requirements.
COST BASIS OF SHARES. For federal income tax purposes, the cost basis of shares (or any fraction of a share) purchased with reinvested dividends or optional cash investments is the purchase price of the shares, plus any related brokerage commissions and investment fees treated as taxable dividend income.
This Plan assumes that each participant will use the first-in, first-out ("FIFO") method when determining the tax basis of any shares sold. Participants may designate their preference for a different method of determining the tax basis of shares by identifying this preference in writing to the Plan Administrator. Participants may designate their preference for "specific identification" cost basis at any time. Each participant should consult with their tax advisor regarding whether or not the "average basis method" is available for some or all of the shares acquired in connection with the Plan and which tax basis methods and elections are appropriate for such participant.
GAINS AND LOSSES FROM THE SALE OF SHARES. Participants do not realize any taxable income when stock certificates for full shares are credited to Plan accounts. Participants may realize gain or loss, however, at the time the shares are sold by the Plan Administrator or by the participant after withdrawal of the shares from the Plan. In addition, terminating participants will recognize gain or loss with respect to fractional shares sold. The amount of realized gain or loss in each case is the difference between the amount the participant receives for the shares or fractional shares sold and the participant's cost basis in those shares. This gain or loss will be capital gain or loss provided the participant holds the shares as a capital asset, which is usually the case. Any capital gain will be taxed at long-term rates if the shares are held for more than one year and at short-term rates if held for one year or less.
IRS REPORTS. The Plan Administrator reports dividend income to participants and the IRS on Form 1099-DIV. The Plan Administrator reports the proceeds from the sale of Plan shares to the selling participants and the IRS on Form 1099-B.
DIVIDENDS SUBJECT TO WITHHOLDING
A participant's dividends are subject to federal withholding if the participant fails to provide a taxpayer identification number to the Plan Administrator. Dividends of participants residing in certain foreign countries may also be subject to federal withholding. In any case in which federal income taxes are required to be withheld, the Plan Administrator reinvests an amount equal to the dividends less the amount of tax withheld. For IRS reporting purposes, the amount of the dividend withheld is included in the dividend income. Account statements will reflect the amount of dividends reinvested and tax withheld.
USE OF PROCEEDS
The proceeds from the sales, if any, of treasury or new issue Common Stock pursuant to the Plan are expected to be used for general corporate purposes. General Mills has no basis for estimating either the number of shares of Common Stock that will ultimately be sold pursuant to the Plan or the prices at which such shares will be sold.
VALIDITY OF THE SECURITIES
The validity of the shares of Common Stock offered hereby will be passed upon for General Mills by Chris A. Rauschl, Senior Counsel and Assistant Secretary.
EXPERTS
The consolidated financial statements and related financial statement schedule of General Mills, Inc. and subsidiaries as of May 28, 2017 and May 29, 2016, and for each of the fiscal years in the three-year period ended May 28, 2017, and management's assessment of the effectiveness of internal control over financial reporting as of May 28, 2017 have been incorporated by reference herein in reliance upon the report of KPMG LLP, independent registered public accounting firm, incorporated by reference herein, and upon the authority of said firm as experts in accounting and auditing.
WHERE YOU MAY FIND MORE INFORMATION ABOUT GENERAL MILLS
We file annual, quarterly and current reports, proxy statements and other information with the SEC. Our SEC filings are available to the public through the Internet at the SEC web site at http://www.sec.gov. You may also read and copy any document we file with the SEC at the SEC's public reference room at 100 F Street N.E., Washington, DC, 20549. Please call the SEC at 1-800-732-0330 for further information on the public reference facilities and its copy charges.
We have filed with the SEC a registration statement on Form S-3 to register the shares offered hereby. This prospectus is part of the registration statement. As allowed by SEC rules, this prospectus does not contain all of the information that is in the registration statement and the exhibits to the registration statement. For further information regarding General Mills, investors should refer to the registration statement and its exhibits. The full registration statement can be obtained from the SEC as indicated above.
The SEC allows us to incorporate by reference the information we file with the SEC into this prospectus. This means that we can disclose important information to you by referring you to another document that we have filed separately with the SEC that contains that information. The information incorporated by reference is considered to be part of this prospectus. Information that we file with the SEC after the date of this prospectus will automatically update and, where applicable, modify or supersede the information included or incorporated by reference in this prospectus. We incorporate by reference the documents listed below (other than any portions of any such documents that are not deemed "filed" under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in accordance with the Exchange Act and applicable SEC rules) and any future filings made by us with the SEC under Section 13(a), 13(c), 14 or 15(d) of the Exchange Act after the date of the initial filing of the registration statement of which this prospectus is a part and before the filing of a post-effective amendment to that registration statement that indicates that all securities offered hereunder have been sold or that deregisters all securities then remaining unsold:
* annual report on Form 10-K for the year ended May 28, 2017;
* current report on Form 8-K filed on June 22, 2017; and
* the description of the Common Stock contained in General Mills' Registration Statement on Form S-3 (File No. 333-145358) filed with the SEC on August 9, 2007.
You may request a copy of these filings (excluding exhibits to those documents unless they are specifically incorporated by reference into those documents) at no cost by contacting us at:
General Mills, Inc. Number One General Mills Boulevard Minneapolis, Minnesota 55426 Attention: Corporate Secretary (763) 764-7600
PROSPECTUS
CUSIP 370334 10 4
GENERAL MILLS, INC. DIRECT PURCHASE PLAN
|
]
In the Supreme Court of the United States
OCTOBER TERM, 1997
__________
WILLIAM J. CLINTON, PRESIDENT OF THE UNITED STATES, ET AL., Petitioner,
v.
JAMES T. GOLDSMITH, Respondent.
__________
ON PETITION FOR A WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE ARMED FORCES
_________
MOTION OF NATIONAL INSTITUTE OF MILITARY JUSTICE FOR LEAVE TO FILE BRIEF AS AMICUS CURIAE AND BRIEF OF NATIONAL INSTITUTE OF MILITARY JUSTICE AS AMICUS CURIAE IN SUPPORT OF PETITIONER
EUGENE R. FIDELL (Counsel of Record)
DAVID P. SHELDON FELDESMAN, TUCKER, LEIFER, FIDELL & BANK LLP 2001 L Street, N.W. Washington, D.C. 20036 (202) 466-8960
JOHN S. JENKINS STEPHEN A. SALTZBURG 720 20th Street, N.W. Washington, D.C. 20052
Counsel for Amicus Curiae
SEPTEMBER 1998
MOTION OF
NATIONAL INSTITUTE OF MILITARY JUSTICE FOR LEAVE TO FILE BRIEF AS AMICUS CURIAE
Pursuant to Rule 37.2, the National Institute of Military Justice (``NIMJ'') respectfully moves for leave to file the attached brief as amicus curiae urging that the petition for a writ of certiorari be granted.
1. NIMJ is a District of Columbia nonprofit corporation organized in 1991. Its overall purpose is to advance the fair administration of military justice in the Armed Forces of the United States. NIMJ takes an active interest in the entire field of military justice, and fosters improved public understanding by such means as publication of the monthly Military Justice Gazette and the Guide to the Rules of Practice and Procedure for the United States Court of Appeals for the Armed Forces, and the sponsorship of seminars and training programs. NIMJ has commented on and proposed changes to military procedural rules, testified before Congress, and appeared as an amicus curiae in the United States Court of Appeals for the Armed Forces. NIMJ's advisory board includes law professors, private practitioners and other experts in the field, none of whom are currently on active duty, but nearly all of whom have served as active duty military lawyers, up to and including flag and general officer rank. NIMJ is entirely independent of the government and relies exclusively on voluntary contributions for its programs.
2. NIMJ seeks leave to file this brief because the decision below, if allowed to stand, will continue the uncertainty that has long plagued the military justice system as to the scope of the authority of the Court of Appeals for the Armed Forces under the All Writs Act. Especially given the influence of the Court of Appeals' approach to the All Writs Act on the four service Courts of Criminal Appeals, continuing uncertainty on this issue ill serves the public interest.
3. Counsel for petitioner has consented to the filing of this brief; counsel for respondent has withheld consent. Copies of their responses to our requests for consent have been lodged with the Clerk.
For the foregoing reasons, NIMJ respectfully moves for leave to file the attached brief.
Respectfully submitted.
//Eugene R. Fidell EUGENE R. FIDELL (Counsel of Record)
DAVID P. SHELDON FELDESMAN, TUCKER, LEIFER, FIDELL & BANK LLP 2001 L Street, N.W. Washington, D.C. 20036 (202) 466-8960
JOHN S. JENKINS STEPHEN A. SALTZBURG
720 20th Street, N.W.
Washington, D.C. 20052
Counsel for Amicus Curiae
SEPTEMBER 1998
TABLE OF CONTENTS
Page
MOTION FOR LEAVE TO FILE BRIEF AS AMICUS CURIAE i
BRIEF OF NATIONAL INSTITUTE OF MILITARY JUSTICE AS AMICUS CURIAE
IN SUPPORT OF PETITIONER 1
STATEMENT 3
REASONS FOR GRANTING THE WRIT 5
CONCLUSION 11
TABLE OF AUTHORITIES
Cases:
Dew v. United States
, 48 M.J. 639 (Army Ct. Crim. App. 1998) (en banc), petition filed
, No. 98-817 (C.A.A.F. May 15, 1998) 8
FTC v. Dean Foods Co. , 384 U.S. 597 (1966) 9
Fletcher v. Covington, 42 M.J. 215 (1995) 6
Goldsmith v. Clinton, 48 M.J. 84 (1998) passim
Gray v. Mahoney, 39 M.J. 299 (1994) 6
McPhail v. United States, 1 M.J. 457 (1976) 5
Noyd v. Bond, 395 U.S. 683 (1969) 5
Roche v. Evaporated Milk Ass'n, 319 U.S. 21 (1943) 8
Stewart v. Stevens, 5 M.J. 220 (1978) (mem.) 6
Unger v. Ziemniak, 27 M.J. 349 (1989) 6, 9
United States v. Edwards, 46 M.J. 41 (1997) 9
United States v. Gorski, 47 M.J. 370 (1997) 4
United States v. Snyder, 18 C.M.A. 480, 40 C.M.R. 192 (1969) 5
U.S. Navy-Marine Corps Court of Military Review v. Carlucci, 26 M.J. 328 (1988) 6, 10
Statutes:
All Writs Act, 28 U.S.C. § 1651(1994)
Uniform Code of Military Justice passim
, 10 U.S.C. § 801
Art. 6, 10 U.S.C. § 806 7
Art. 62, 10 U.S.C. § 862 8
Art. 66, 10 U.S.C. § 866 5, 8
Art. 67, 10 U.S.C. § 867 3, 5, 9
Art. 69, 10 U.S.C. § 869 7, 8
Art. 142(b)(1), 10 U.S.C. § 942(b)(1) 9
Art. 146, 10 U.S.C. § 946 9
National Defense Authorization Act for Fiscal Years 1990 and 1991, Pub. L. No. 101-
189, § 1302, 103 Stat. 1576 (1989) 9
National Defense Authorization Act for Fiscal Year 1996, Pub. L. No. 104-106, § 551, et seq
. (1994)
passim writ app.
110 Stat. 318 (1996) 10
Tucker Act, 28 U.S.C. § 1491
Rules of Court
(1994) 4:
C.A.A.F.R. 4(b)(1) 3
C.A.A.F.R. 4(b)(2) 3
C.A.A.F.R. 18(a)(4) 3
C.A.A.F.R. 21(b)(4) 3
S. Ct. R. 10 3
S. Ct. R. 37.2 i
Miscellaneous:
Michael E. Brown, Note, Building a System of Military Justice Through the All Writs Act, 52 IND. L.J. 189 (1976) 5
John S. Cooke, The Twenty-Sixth Kenneth J. Hodson Lecture: Manual for Courts-Martial 20X, 156 MIL. L. REV. 1 (1998) 2
Edward H. Cooper, Extraordinary Writ Practice in Criminal Cases: Analogies for the Military Courts, 98 F.R.D. 593 (1983) 10
FRANCIS A. GILLIGAN & FREDRIC I. LEDERER, COURT-MARTIAL PROCEDURE (1991 & Cum. Supp. 1995) 10
JONATHANLURIE, PURSUINGMILITARYJUSTICE: THEHISTORY OF THEUNITED
TATES
S COURT OFAPPEALS FOR THEARMEDFORCES,
1951-1980 (1998) 10
DAVID A. SCHLUETER, MILITARY CRIMINAL JUSTICE: PRACTICE AND PROCEDURE (4th ed. 1996) 6
S. Rep. No. 81, 101st Cong., 1st Sess. (1989) 2
In the Supreme Court of the United States
OCTOBER TERM, 1997
__________
No. 98-347 __________
WILLIAM J. CLINTON,
PRESIDENT OF THE UNITED STATES, ET AL.,
Petitioner,
.
JAMES T. GOLDSMITH, Respondent.
__________
ON PETITION FOR A WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE ARMED FORCES
_________
BRIEF OF NATIONAL INSTITUTE OF MILITARY JUSTICE AS AMICUS CURIAE IN SUPPORT OF PETITIONER
The National Institute of Military Justice (``NIMJ'') respectfully submits this brief amicus curiae with regard to the first question stated in the petition. (1) We submit this brief because, although dropping an officer from the rolls is not a frequent occurrence, the scope of the All Writs Act authority of the United States Court of Appeals for the Armed Forces is an important and recurring issue, and that court's critical institutional role is compromised when it asserts jurisdiction in excess of its statutory authority.
The Court of Appeals stands at the apex of the military justice system. What it does counts for much in setting the tone throughout the system. What it says also counts for much. ``Through its decisions, the Court [of Appeals] has a significant impact on the state of discipline in the armed forces, military readiness, and the rights of servicemembers. The Court plays an indispensable role in promoting public confidence in the military justice system.'' S. Rep. No. 81, 101st Cong., 1st Sess. 171 (1989). It is selfdefeating if, in pursuit of that objective, it compromises its own role by claiming authority Congress has not conferred on it, and invites others who properly look to it for leadership to do the same. (2)
Because of the breadth of its potential appellate jurisdiction, the Court of Appeals enjoys sweeping authority under the All Writs Act. That authority rests on a firmer footing than the decision below suggests, but it does not extend to deciding whether the Constitution forbids dropping respondent from the rolls under the legislation Congress passed in 1996.
1. Goldsmith, an Air Force officer, was convicted at a general court-martial and sentenced to a period of confinement and forfeiture of pay. His case was subject to review by the Air Force Court of Criminal Appeals as a matter of right and then to discretionary review by the Court of Appeals for the Armed Forces. The Air Force Court affirmed the findings and sentence. Goldsmith elected not to seek discretionary review by the Court of Appeals. (3)
2. After the time for seeking discretionary review had expired, Goldsmith sought extraordinary relief from the Air Force Court based on the fact that medication he needed as a result of his medical condition was being withheld by authorities at the United States Disciplinary Barracks. That court denied the writ. Thereafter, he filed a ``writ appeal petition'' seeking review of the Air Force Court's denial. See C.A.A.F.R. 4(b)(2), 18(a)(4). While that petition was pending, he added a further claim--not presented to the Air Force Court (4) --seeking to bar the Air Force from dropping him from the rolls in accordance with legislation Congress passed in 1996, after his offenses. That legislation was part of a larger measure, another provision of which, concerning automatic forfeiture of pay, was held unconstitutional as an ex post facto law in United States v. Gorski, 47 M.J. 370 (1997). By the time the Court of Appeals decided his case, Goldsmith had been released from confinement, but the Air Force continued to propose dropping him from the rolls as provided in the new statute.
3. In an opinion by Senior Judge Everett, the Court of Appeals held that the medication issue had become moot, Pet. App. 8a, 15a, but noted that the court would have jurisdiction under the All Writs Act to address issues of unlawful confinement and cruel or unusual punishment. Pet. App. 6a-7a. As for the dropping-from-the-rolls issue, the court concluded that it had jurisdiction under the All Writs Act, Pet. App. 4a-6a, that the legislation could not constitutionally be applied to Goldsmith, Pet. App. 11a-14a, and that the Air Force was barred from dropping him from the rolls. Pet. App. 14a-15a. Chief Judge Cox and Judge Sullivan wrote separate concurring opinions. Pet. App. 15a, 17a. Judges Gierke and Crawford dissented, maintaining that dropping from the rolls would be a collateral administrative consequence of Goldsmith's confinement, over which the Court of Appeals had no jurisdiction. Pet. App. 17a.
4. Goldsmith's constitutional claim can be addressed in a variety of forums. In addition to those noted in the petition (at 12), he could sue in the United States Court of Federal Claims under the Tucker Act, 28 U.S.C. § 1491, for pay and allowances lost as a result of being dropped from the rolls.
Reasons for Granting the Writ
The linchpin of the Court of Appeals' exercise of jurisdiction is its view that if this Court is empowered to grant extraordinary relief in a case that it cannot possibly review directly, it is also empowered by the All Writs Act to grant extraordinary relief in a case in which the court-martial rendered a sentence that constituted an adequate basis
for direct review in this Court after review in the intermediate court. Moreover, in our view, Goldsmith's failure to petition this Court for discretionary review pursuant to Article 67 did not waive or otherwise affect our extraordinary-writ jurisdiction in connection with this case. Pet. App. 6a.
This view disregards the requirement that an extraordinary writ be ``in aid of'' the issuing court's basic grant of jurisdiction. 28 U.S.C. § 1651(a). This error is more fundamental than whether dropping from the rolls is administrative or punitive.
The UCMJ defines the categories of cases that are subject to review by the Court of Appeals. UCMJ Arts. 66- 67, 10 U.S.C. §§ 866-67. The court's application of the All Writs Act to cases outside those categories has been inconsistent. After some initial uncertainty, see Michael E. Brown, Note, Building a System of Military Justice Through the All Writs Act, 52 IND. L.J. 189, 190-91 & n.17 (1976) (quoting Noyd v. Bond, 395 U.S. 683, 695 n.7 (1969)); United States v. Snyder, 18 C.M.A. 480, 40 C.M.R. 192 (1969), it claimed in McPhail v. United States, 1 M.J. 457 (1976), to have writ authority in a subjurisdictional special court-martial. The author of McPhail later repudiated it, Stewart v. Stevens, 5 M.J. 220, 221 (1978) (Cook, J., concurring), but the doctrinal course had been set.
Since then, the Court of Appeals has claimed All Writs Act authority in such settings as a Navy special court-martial that could not have triggered review by the military appellate courts because the accused was a commissioned officer, Unger v. Ziemniak, 27 M.J. 349 (1989); a Navy general court-martial that could not have reached it because the intermediate court had in effect entered an unappealable acquittal, U.S. Navy-Marine Corps Court of Military Review v. Carlucci, 26 M.J. 328 (1988); Air Force general courts-martial that were not subject to appellate court review because the accused had been acquitted at trial, Gray v. Mahoney, 39 M.J. 299 (1994); and a nonjudicial punishment that falls outside the military appellate courts' normal purview. Fletcher v. Covington, 42 M.J. 215 (1995); see note 8 infra.
With the exception of Carlucci, where the court blocked an Inspector General investigation of intermediate military appellate judges, (5) it has claimed jurisdiction but declined to issue any writ beyond a stay. (6) As a result, its jurisdictional claims have, until now, escaped review on certiorari. It is on this line of cases (and the notion of pendent jurisdiction) that the Court of Appeals rested its claim to authority in Goldsmith's case. See Pet. App. 5a-6a & n.3, 9a. (7)
While dropping from the rolls is scarcely an everyday occurrence, the mischief threatened by the Court of Appeals' claim to All Writs Act authority that exceeds its broad potential appellate jurisdiction is substantial. It blurs the line between the statutory supervisory responsibility of the Judge Advocates General, see UCMJ Arts. 6, 69, 10 U.S.C. §§ 806, 869, and other military authorities, on the one hand, and the role of the Court of Appeals, on the other. By doing so, it creates a possible no-man's land where real abuses may lurk undetected or, worse yet, become the object of a corrosive tug-ofwar between court and military. By perpetuating past claims to a sweeping jurisdiction whose parameters are necessarily uncharted, the decision below fosters uncertainty and compromises the ability of all concerned in the court-martial process--commanders and their legal advisers, prosecutors, defense counsel and accuseds--to exercise their rights intelligently and perform their functions in a lawful manner. Ironically, because the Court of Appeals' claimed jurisdiction is subject to the prudential standards applicable to extraordinary relief, it may also prove to be illusory for GIs who might seek to invoke it.
Significantly, to the extent that the four service Courts of Criminal Appeals take their lead from the Court of Appeals in considering the limits of their own All Writs Act authority over cases not subject to normal review, the danger that those courts will adopt a similar approach cannot be dismissed. Indeed, even before the decision below was handed down, there was reason to be concerned on this score. For example, in Dew v. United States, 48 M.J. 639, 645 (Army Ct. Crim. App. 1998) (en banc), writ app. petition filed, No. 98-817 (C.A.A.F. May 15, 1998), the Army Court asserted that ``[o]ur authority to issue extraordinary writs `in aid of jurisdiction' under the All Writs Act is not limited to our actual or potential appellate jurisdiction defined in Articles 62, 66, and 69'' of the UCMJ, 10 U.S.C. §§ 862, 866, 869.
The second prong of the Court of Appeals' jurisdictional claim, see p. 5 supra, is also troublesome. It is difficult to view an extraordinary writ as being ``in aid of'' the issuing court's jurisdiction where the party seeking the writ elected not to invoke that jurisdiction in the first place and there is no suggestion of chicanery or a miscarriage of justice in the appellate process. (8) Of course, a different question would be presented if, for example, the waiver were claimed to have been the result of ineffective assist-ance of counsel, overreaching, or some other factor that compromised the appellate process. Nothing in the decision below suggests that this is such a case.
The principle of civilian appellate review of courts-martial is at the core of the UCMJ. It is a model that has been embraced by other common law democracies with which we share cherished legal and political traditions. Not for nothing has Congress insisted that the judges of the Court of Appeals be drawn from civilian life, UCMJ Art. 142(b)(1), 10 U.S.C. § 942(b)(1), and included them in the Code Committee that Congress intended to function as its eyes and ears on the military justice system. UCMJ Art. 146, 10 U.S.C. § 946. A strong Court of Appeals for the Armed Forces is central to both civilian control of the military and public confidence in the fair administration of military justice. Experience over the years teaches that the power to grant extraordinary relief is indeed integral to the Court of Appeals' role. At the same time, however, excessive claims, framed in the language of the All Writs Act, may squander the court's hard-earned institutional capital and thus defeat the larger congressional purpose.
These considerations favor a grant of certiorari. If, in the end, the decision below is reversed, the congressional goal of effective civilian appellate oversight of military justice will still be served because the Court of Appeals will still enjoy broad All Writs Act power not only as to cases that reach it as a result of its core Article 67 grant of jurisdiction but also as to those cases that remain subject to its potential appellate jurisdiction. See FTC v. Dean Foods Co., 384 U.S. 597, 603-04 (1966). (9)
While Congress has not conducted extended hearings on military justice in many years, the entire subject has received unusual public attention in recent years as a result of a spate of high-profile courts-martial. For this reason, one might expect that Congress would revisit the military appellate architecture and make whatever alterations seem warranted in light of this Court's disposition of this case. (10) Perhaps the ``particular needs of the military justice system . . . may be enough'' to warrant a departure from conventional All Writs Act analysis. Edward H. Cooper, Extraordinary Writ Practice in Criminal Cases: Analogies for the Military Courts , 98 F.R.D. 593, 604 (1983), noted in Carlucci, supra , 26 M.J. at 331 n.5. That, however, is for Congress to decide.
This case concerns what Congress has done, not what it might do. Whether the Court of Appeals and the service Courts of Criminal Appeals have supervisory power over their subordinate courts ``is a highly controversial topic of great significance.'' 2 FRANCIS A. GILLIGAN & FREDRIC I. LEDERER, COURT-MARTIAL PROCEDURE § 25-20.00, at 36 & n.65.1 (Cum. Supp. 1995). ``The legitimacy and parameters of [the Court of Appeals'] supervisory jurisdiction remain[] uncertain.'' JONATHAN LURIE, PURSUING MILITARY JUSTICE: THE HISTORY OF THE UNITED STATES COURT OF APPEALS FOR THE ARMED FORCES, 1951-1980 275 (1998). Review is necessary to resolve that uncer-tainty.
Conclusion
The petition for a writ of certiorari should be granted.
Respectfully submitted.
EUGENE R. FIDELL
(Counsel of Record)
DAVID P. SHELDON
FELDESMAN, TUCKER, LEIFER, FIDELL & BANK LLP
2001 L Street, N.W.
Washington, D.C. 20036
(202) 466-8960
JOHN S. JENKINS
STEPHEN A. SALTZBURG
720 20th Street, N.W.
Washington, D.C. 20052
SEPTEMBER 1998
1. No counsel for a party authored this brief in whole or in part. No person or entity other than the amicus made a monetary contribution to the preparation or submission of this brief.
2. ``. . . I urge you to always keep in mind our system's constitutional roots, its accountability to the American people, its role in ensuring morale and discipline, and its relationship to the eternal truth--that the young men and women upon whom we depend for success in any endeavor must have faith in the value of doing things the right way. Military Justice must reinforce that faith.'' John S. Cooke, The Twenty-Sixth Kenneth J. Hodson Lecture: Manual for Courts-Martial 20X, 156 MIL. L. REV. 1, 29 (1998).
3. Under the UCMJ, all that is required for discretionary review by the Court of Appeals is ``good cause.'' UCMJ Art. 67(a)(3), 10 U.S.C. § 867(a)(3). The factors that bear on whether this Court will grant certiorari, S. Ct. R. 10, are echoed in the Court of Appeals' rules, see C.A.A.F.R. 21(b)(4), but as a practical matter all that is required is an issue of some substance, rather than one of any special importance or generic effect.
4. Absent good cause, the Court of Appeals' rules require resort to the Courts of Criminal Appeals before extraordinary relief is sought from it. C.A.A.F.R. 4(b)(1).
5. The court predicated its All Writs Act authority on, among other things, the notion that if the judges who sought relief were to disobey an order to cooperate in the investigation, they themselves would have been subject to court-martial. Id. at 333.
6. In Gray, the Court of Appeals' All Writs Act authority was not disputed. 39 M.J. at 303. The cases are surveyed in DAVID A. SCHLUETER, MILITARY CRIMINAL JUSTICE: PRACTICE AND PROCEDURE § 17-19, at 824-25 & nn.5-13 (4th ed. 1996).
7. The Court of Appeals cited no authority for the proposition that Goldsmith could invoke its All Writs Act power even though he had waived discretionary review. It also did not explain how allowing such a litigant to do so was ``in aid of'' its jurisdiction. Pet. App. 6a.
8. Roche v. Evaporated Milk Ass'n, 319 U.S. 21, 25 (1943), observed that a court's All Writs Act authority ``extends to those cases which are within its appellate jurisdiction although no appeal has been perfected.'' On its face this could be read to cover cases where, as here, the time to perfect an appeal has passed, rather than not yet elapsed. The next sentence of Chief Justice Stone's opinion refers, however, to the possibility that appellate jurisdiction could be defeated, thus making it clear that he had in mind appeals that could still be perfected, and not those for which the deadline had expired.
9. Under § 1302 of National Defense Authorization Act for Fiscal Years 1990 and 1991, Pub. L. No. 101-189, 103 Stat. 1576 (1989), the Judge Advocates General can refer any court-martial--even a summary court-martial--to the Courts of Criminal Appeals, from which review could in turn be sought in the Court of Appeals. For this reason, while the
Court of Appeals lacked the All Writs Act power it claimed in Unger, it would have that authority if a similar case were to arise today. Nonjudicial punishments remain outside the court's direct authority, but can be ruled on when they figure in courts-martial that are otherwise within its jurisdiction. E.g., United States v. Edwards, 46 M.J. 41 (1997).
10. Congress also has before it a study of judicial review of military personnel administrative actions. See National Defense Authorization Act for Fiscal Year 1996, Pub. L. No. 104-106, § 551, 110 Stat. 318 (1996).
|
FINANCIAL STATEMENTS 31st MARCH 2007
Company Registration Number 05255086
FINANCIAL STATEMENTS YEAR ENDED 31st MARCH 2007
SEXUAL HEALTH GROUP PLC OFFICERS AND PROFESSIONAL ADVISERS
The board of directors
F J French - Chairman
D J Bretel FCMA
F H Robertson
S Sukumaran
G M Sutherland
Company secretary
D J Bretel FCMA
Registered office
Unit 1 Rivermead Pipers Way Thatcham Berkshire RG19 4EP
Auditor
James Cowper Chartered Accountants 3 Wesley Gate Queen’s Road Reading RG1 4AP
Bankers
National Westminster 9 High Street Thatcham Newbury Berkshire RG19 3JG
Solicitors
Irwin Mitchell 150 Holborn London EC1N 2NS
Registrars
Neville Registrars Limited Neville House 18 Laurel Lane Halesowen West Midlands B63 3DA
CHAIRMAN'S STATEMENT (continued)
YEAR ENDED 31st MARCH 2007
Dear Shareholder
I am pleased to report on the progress of your Company in what has been a highly active period.
Highlights
- Sales growth of 82.4% to £604,223
- Losses reduced by 30.5% to £229,868
- Gross margin increased from 32.8% to 44.3%
- Customer service level up from 98% to 99%
The last twelve months has seen your Company progress on many fronts. Sales growth, margin improvement, containment of costs, several new products launched and continued improvements in customer service and support, all contributed to a significant reduction in losses putting us on track towards a profitable future.
In May 2006, it was announced that the Company was supplying Condomania® condoms to the General Medical Clinics plc's Liverpool St Clinic. In August 2006, the Company entered into an exclusive supply agreement for its Sutherland® Lubricating Jelly with bpas, Britain's largest abortion provider, caring for almost 50,000 women per year in the UK, and also announced that National AIDS Trust, the UK's leading independent policy and campaigning voice on HIV and AIDS, placed its first order for promotional condom wallets containing Condomania® condoms.
In October 2006, the Company announced it had developed in association with NHS England a range of patient hygiene products which were put immediately on to a contract in NHS England.
In November 2006, was invited to become a contributor in the Government's new hard hitting sexual health campaign.
In February 2007, its Sutherland® Lubricating Jelly was approved for use by the NHS in prescribed circumstances for the procurement of cervical screening samples.
The Company also collaborated with the University of Greenwich and the Royal College of Nursing, to develop an online course titled Promoting Sexual Health - a highly innovative e-learning initiative to make sexual health education available nationally and designed to encourage health professionals to stay in the industry.
Financial review
During the period to 31 st March 2007, the Group's turnover was £604,223 (2006 £331,185) representing an increase in sales of 82.4% over the previous year, producing a gross profit of £267,052 (2006 £108,580). Administrative expenses were £416,996 (2006 £423,764) after charging £27,311 (2006 £11,147) for amortisation and depreciation, and a foreign exchange gain of £1,382 (2006 £2,991). The pre-tax Loss was £229,868 (2006 £330,783) and the loss per ordinary share was 0.77 pence (2006 1.15 pence). Cash at the bank on the balance sheet at the 31 st March 2007 was £24,830 (2006 £21,697).
CHAIRMAN'S STATEMENT (continued)
YEAR ENDED 31st MARCH 2007
Post Balance Sheet
Since the end of the period, Sexual Health Group has won a number of new contracts including:
* A 2-year contract to supply Patient Requisites and Personal Hygiene Products with NHS England. The new contract is estimated to be worth a minimum of £600,000 over the 2-year period, and as the Company has yet to achieve full national distribution within Trusts, this figure could well be exceeded;
* A contract to supply Barnet PCT with Condomania® condoms. The contract, funded by the DoH as part of its Teenage Pregnancy strategy, will mean that under 21 year olds in the Barnet area will be given improved education, advice, and access to free Condomania® condoms.
* A 2-year contract to supply Pre-Operative Razors with NHS England. The contract, which commenced 1 April 2007, is effective until 31 March 2009 with an option to extend for a further period of 24 months. The Pre-Operative Razor is currently distributed within a limited number of English NHS Trusts;
The Company has also registered a new Condomania® medical device, Ultrasound Probe Covers, with the Medicines and Healthcare Products Regulatory Agency (MHRA).
Outlook
The last year has been one where a number of significant achievements have been made, and we will continue to develop the core business whilst maintaining our research and development of new products. The new financial year has commenced with the highest level of turnover for the first four months of trading that has previously been achieved which, together with strict control of costs and a number of exciting business prospects having been identified, bodes well for the ongoing trading for the year.
The Board also continues to consider further suitable acquisitions and will notify shareholders of any progress in this area when possible.
Finally, I would like to pay particular thanks to the staff and the members of the Board, for their effort and commitment, my thanks also go to the Company's advisers, and of course to our loyal shareholders who continue to give tremendous support.
John French Chairman
THE DIRECTORS' REPORT (continued)
YEAR ENDED 31st MARCH 2007
The directors present their report and the financial statements of the group for the year ended 31st March 2007.
PRINCIPAL ACTIVITIES AND BUSINESS REVIEW
The principal activity of the company during the year was that of an investment holding company. The principal activity of the group was that of the sale of sexual health products.
Group turnover has increased from £331,185 in the previous year to £604,223 in the current period. The gross profit made by the group is £267,052 compared to £108,580 in 2006.
The directors recognise the risk facing the group of the continuing reliance on long-established contracts, notably with the NHS and the armed forces, the acquisition of Sutherland Group Holdings has helped mitigate this risk by diversifying its selling base.
The group monitors various financial key performance indicators as part of its monthly accounting and management reporting process.
The directors do not anticipate any material change in the nature of the group's operations in the foreseeable future.
Loan Notes
Full details of the terms of the loan notes are given in note 20 to the accounts.
Financial Key Performance Indicators
THE DIRECTORS' REPORT (continued)
YEAR ENDED 31st MARCH 2007
Non-Financial Key Performance Indicators
The company seeks to ensure that responsible business practice is fully integrated into the management of all its operations and into the culture of all parts of its business. It believes that the consistent adoption of responsible business practice is essential for operational excellence, which in turn is expected to ensure the delivery of its core objectives of sustained real growth in future profitability.
In a company this size the directors consider there are collectively numerous non-financial performance indicators but none individually are key.
RESULTS AND DIVIDENDS
The trading results for the year and the group's financial position at the end of the year are shown in the attached financial statements.
The directors have not recommended a dividend.
The Chairman's statement on pages 2 and 3 forms part of the Director's Report for the period.
FINANCIAL RISK MANAGEMENT OBJECTIVES AND POLICIES
The company's principal financial instruments comprise bank balances, debt factoring, trade creditors, trade debtors, hire purchase agreements, loan notes and convertible loan notes. The main purpose of these instruments is to raise funds for the company's operations and to finance the company's operations.
Due to the nature of the financial instruments used by the company there is no exposure to price risk. The company's approach to managing other risks applicable to the financial instruments concerned is shown below.
In respect of bank balances the liquidity risks are managed by maintaining a balance between the continuity of funding and flexibility through use of loans. The company makes use of money market facilities where funds are available.
Trade debtors are managed in respect of credit and cash flow risk by policies concerning the credit offered to customers and the regular monitoring of amounts outstanding for both time and credit limits.
Trade creditors, debt factoring and hire purchase liabilities liquidity risk is managed by ensuring sufficient funds are available to meet amounts due.
THE DIRECTORS' REPORT (continued)
YEAR ENDED 31st MARCH 2007
THE DIRECTORS AND THEIR INTERESTS
The directors who served the company during the year together with their beneficial interests, including family holdings, in the shares of the company were as follows:
Ordinary Shares of £0.002 each
At
Mr F J French holds £1,500 unsecured convertible loan notes (2006: £1,500).
Ms S Sukumaran held warrants in respect of 20,000 ordinary shares of £0.002 each at an exercise price of 12.5p. These lapsed on 31 st August 2006.
Mr G M Sutherland holds £239,860 unsecured loan notes and £3,000 unsecured convertible loan notes (2006: £3,000).
The following options are held at the year end:
The Directors are of the opinion that no options will be exercised in the near future and therefore no provision has been made in the accounts for any cost to the company in accordance with accounting standard FRS 20.
POLICY ON THE PAYMENT OF CREDITORS
The company does not follow any specified code or standard on payment practice. However, it is the company's policy to negotiate terms with its suppliers and to ensure that they are aware of the terms of payment when business is agreed. Every effort is made to adhere to these terms and payment is made when it can be confirmed that goods and / or services have been provided in accordance with the relevant contract conditions.
The creditor payment period of the group for the year was 203 days (2006: 281 days).
THE DIRECTORS' REPORT (continued)
YEAR ENDED 31st MARCH 2007
DIRECTORS' RESPONSIBILITIES
The directors are responsible for preparing the financial statements in accordance with applicable law and United Kingdom Generally Accepted Accounting Practice.
Company law requires the directors to prepare financial statements for each financial year which give a true and fair view of the state of affairs of the company and of the group and of the profit or loss of the group for that year. In preparing those financial statements, the directors are required to:
* select suitable accounting policies, as described on pages 14 to 16, and then apply them consistently;
* make judgements and estimates that are reasonable and prudent;
* state whether applicable accounting standards have been followed, subject to any material departures disclosed and explained in the financial statements; and
* prepare the financial statements on the going concern basis unless it is inappropriate to presume that the group will continue in business.
The directors are responsible for keeping proper accounting records that disclose with reasonable accuracy at any time the financial position of the group and to enable them to ensure that the financial statements comply with the Companies Act 1985. The directors are also responsible for safeguarding the assets of the group and hence for taking reasonable steps for the prevention and detection of fraud and other irregularities.
In so far as the directors are aware:
* there is no relevant audit information of which the group's auditors are unaware; and
* the directors have taken all steps that they ought to have taken to make themselves aware of any relevant audit information and to establish that the auditors are aware of that information.
AUDITOR
Brebner Allen & Trapp resigned as auditor and James Cowper were appointed for the ensuing year and will be proposed at the annual general meeting in accordance with section 385 of the Companies Act 1985.
Signed on behalf of the directors
G M Sutherland
Director
Approved by the directors on 30 th August 2007
INDEPENDENT AUDITOR'S REPORT TO THE SHAREHOLDERS OF SEXUAL HEALTH GROUP PLC
YEAR ENDED 31st MARCH 2007
We have audited the group and parent company financial statements ("the financial statements") of Sexual Health Group Plc for the year ended 31st March 2007 on pages 10 to 32 which have been prepared on the basis of the accounting policies set out on page 14 to 16.
This report is made solely to the company's members, as a body, in accordance with Section 235 of the Companies Act 1985. Our audit work has been undertaken so that we might state to the company's members those matters we are required to state to them in an auditor's report and for no other purpose. To the fullest extent permitted by law, we do not accept or assume responsibility to anyone other than the company and the company's members as a body, for our audit work, for this report, or for the opinions we have formed.
RESPECTIVE RESPONSIBILITIES OF DIRECTORS AND AUDITOR
The directors' responsibilities for preparing the Annual Report and the financial statements in accordance with applicable law and United Kingdom Accounting Standards (United Kingdom Generally Accepted Accounting Practice) are set out in the Statement of Directors' Responsibilities on page 7.
Our responsibility is to audit the financial statements in accordance with relevant legal and regulatory requirements and International Standards on Auditing (UK and Ireland).
We report to you our opinion as to whether the financial statements give a true and fair view and are properly prepared in accordance with the Companies Act 1985, and whether the information given in the Directors' Report is consistent with the financial statements. We also report to you if, in our opinion, the company has not kept proper accounting records, if we have not received all the information and explanations we require for our audit, or if information specified by law regarding directors' remuneration and other transactions is not disclosed.
We read other information contained in the Annual Report, and consider whether it is consistent with the audited financial statements. This other information comprises only the Directors' Report and the Chairman's statement. We consider the implications for our report if we become aware of any apparent misstatements or material inconsistencies with the financial statements. Our responsibilities do not extend to any other information.
BASIS OF AUDIT OPINION
We conducted our audit in accordance with International Standards on Auditing (UK and Ireland) issued by the Auditing Practices Board. An audit includes examination, on a test basis, of evidence relevant to the amounts and disclosures in the financial statements. It also includes an assessment of the significant estimates and judgements made by the directors in the preparation of the financial statements, and of whether the accounting policies are appropriate to the group's and company's circumstances, consistently applied and adequately disclosed.
We planned and performed our audit so as to obtain all the information and explanations which we considered necessary in order to provide us with sufficient evidence to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or other irregularity or error. In forming our opinion we also evaluated the overall adequacy of the presentation of information in the financial statements.
INDEPENDENT AUDITOR'S REPORT TO THE SHAREHOLDERS OF SEXUAL HEALTH GROUP PLC (continued)
YEAR ENDED 31st MARCH 2007
OPINION
In our opinion:
The financial statements give a true and fair view, in accordance with United Kingdom Generally Accepted Accounting Practice, of the state of the group and company's affairs as at 31 March 2007 and of the group's loss for the year then ended.
The financial statements have been properly prepared in accordance with the Companies Act 1985.
The information given in the Directors' Report is consistent with the financial statements for the year ended 31 March 2007.
3 Wesley Gate Queen's Road Reading RG1 4AP
JAMES COWPER Chartered Accountants & Registered Auditor
30 th August 2007
PROFIT AND LOSS ACCOUNT
YEAR ENDED 31st MARCH 2007
All of the activities of the group are classed as continuing.
The group has no recognised gains or losses other than the results for the year as set out above.
The company has taken advantage of section 230 of the Companies Act 1985 not to publish its own Profit and Loss Account.
GROUP BALANCE SHEET
31st MARCH 2007
These financial statements were approved by the directors on the 30 th August 2007 and are signed on their behalf by:
G M Sutherland
Director
COMPANY BALANCE SHEET
31st MARCH 2007
These financial statements were approved by the directors on the 30 th August 2007 and are signed on their behalf by:
G M Sutherland
Director
GROUP CASH FLOW
YEAR ENDED 31st MARCH 2007
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2007
1. ACCOUNTING POLICIES
Basis of accounting
The financial statements have been prepared under the historical cost convention, and in accordance with applicable accounting standards.
Basis of consolidation
The consolidated financial statements incorporate the financial statements of the company and all group undertakings. These are adjusted, where appropriate, to conform to group accounting policies. Group reconstructions are accounted for under the merger accounting rules as permitted by FRS6. Comparative figures are for the year ended 31st March 2006.
As a consolidated profit and loss account is published, a separate profit and loss account for the parent company is omitted from the group financial statements by virtue of section 230 of the Companies Act 1985.
Going concern
At the balance sheet date the group had funds of £24,830, including net current liabilities of £195,476, having incurred a loss for the year of £229,868. Further losses to the end of July 2007 are estimated to be approximately £31,000.
The deficit of funds continues to be funded by long-term debt in the form of loan notes and directors' loans, and net current liabilities by a combination of trade credit, a factoring facility, loan notes and directors' loans.
Detailed forecasts have been prepared and approved by the directors for each company in the group who believe that they are prudent and readily achievable.
On the above basis the forecasts show that the group becomes profitable in the third quarter of 2007
The directors have considered cash flow and funding requirements.
The major trade creditor of Condomania Plc has already agreed to stage payments. Subsequent to the year end the company has received further investment of £200,000 in respect of share capital subscriptions. Further fund raising activity is expected to raise a further £300,000.
Long term funding in the form of loan notes and directors' loans continues in place.
On the basis of the above the directors consider it appropriate that the group continues in business and that the accounts should be prepared on the going concern basis.
Turnover
The turnover shown in the profit and loss account represents amounts invoiced during the year, exclusive of Value Added Tax.
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2007
1.
ACCOUNTING POLICIES (continued)
Goodwill
Positive purchased goodwill arising on acquisitions is capitalised, classified as an asset on the Balance Sheet and amortised over its estimated useful life up to a maximum of 20 years. This length of time is presumed to be the maximum useful life of purchased goodwill because it is difficult to make projections beyond this period. Goodwill is reviewed for impairment at the end of the first full financial year following each acquisition and subsequently as and when necessary if circumstances emerge that indicate that the carrying value may not be recoverable.
Amortisation
Amortisation is calculated so as to write off the cost of an asset, less its estimated residual value, over the useful economic life of that asset as follows:
Brand names and trademarks - 10 % on cost
Fixed Assets
All fixed assets are originally recorded at cost.
Depreciation
Depreciation is calculated so as to write off the cost of an asset, less its estimated residual value, over the useful economic life of that asset as follows:
Plant and Machinery
- 25% on reducing balance
Fixtures and Fittings
Equipment
- 33% per annum on cost
The carrying values of tangible fixed assets are reviewed for impairment in periods if events or changes in circumstances indicate the carrying value may not be recoverable.
Stocks
Stocks are valued at the lower of cost and net realisable value, after making due allowance for obsolete and slow moving items.
Hire purchase agreements
Assets held under hire purchase agreements are capitalised and disclosed under tangible fixed assets at their fair value. The capital element of the future payments is treated as a liability and the interest is charged to the profit and loss account on a straight line basis.
Operating lease agreements
Rentals applicable to operating leases where substantially all of the benefits and risks of ownership remain with the lessor are charged against profits on a straight line basis over the period of the lease.
SEXUAL HEALTH GROUP PLC NOTES TO THE FINANCIAL STATEMENTS YEAR ENDED 31st MARCH 2007
1. ACCOUNTING POLICIES (continued)
Pension costs
The company operates a defined contribution pension scheme for employees. The assets of the scheme are held separately from those of the company. The annual contributions payable are charged to the profit and loss account.
Foreign currencies
Assets and liabilities in foreign currencies are translated into sterling at the rates of exchange ruling at the balance sheet date. Transactions in foreign currencies are translated into sterling at the rate of exchange ruling at the date of the transaction. Exchange differences are taken into account in arriving at the operating profit.
Deferred taxation
Deferred tax is recognised in respect of all timing differences that have originated but not reversed at the balance sheet date where transactions or events have occurred at that date that will result in an obligation to pay more, or a right to pay less or to receive more tax, with the following exceptions:
Deferred tax assets are recognised only to the extent that the directors consider that it is more likely than not that there will be suitable taxable profits from which the future reversal of the underlying timing differences can be deducted.
Deferred tax is measured on an undiscounted basis at the tax rates that are expected to apply in the periods in which timing differences reverse, based on tax rates and laws enacted or substantively enacted at the balance sheet date.
2. TURNOVER
The turnover and loss before tax are attributable to the one principal activity of the group. An analysis of turnover is given below:
SEXUAL HEALTH GROUP PLC NOTES TO THE FINANCIAL STATEMENTS YEAR ENDED 31st MARCH 2007
4. OPERATING LOSS
Operating loss is stated after charging:
5. PARTICULARS OF EMPLOYEES
The average number of staff employed by the group during the financial year amounted to:
6. DIRECTORS' EMOLUMENTS
The directors' aggregate emoluments in respect of qualifying services were:
2006
Pension contributions of £9,200 (2006: £500) have been paid for one director during the year.
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2007
7. INTEREST RECEIVABLE
9. TAXATION ON ORDINARY ACTIVITIES
Factors affecting current tax charge
The tax assessed on the loss on ordinary activities for the year is higher than the standard rate of corporation tax in the UK of 30% (2006 - 19%).
2006
Factors that may affect future tax charges
The group has losses available to carry forward of £824,938.
10. LOSS ATTRIBUTABLE TO MEMBERS OF THE PARENT COMPANY
The loss dealt with in the accounts of the parent company was £69,356 (2006 - £40,210).
11. DIVIDENDS
No dividend has been recommended for the year ended 31st March 2007.
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2007
12. EARNINGS PER SHARE
2007
2006
The calculation of basic and diluted earnings per ordinary share is based upon the following data:
Earnings
===================================================
===================================================
There have been no other transactions involving ordinary shares or potential ordinary shares since the reporting date and before the approval of these financial statements.
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2007
13. INTANGIBLE FIXED ASSETS
SEXUAL HEALTH GROUP PLC NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2007
14. TANGIBLE FIXED ASSETS
Hire purchase agreements
Included within the net book value of £6,229 is £4,220 (2006 £6,631) relating to assets held under hire purchase agreements. The depreciation charged to the financial statements in the year in respect of such assets amounted to £2,411 (2006 £2,210).
15. INVESTMENTS
SEXUAL HEALTH GROUP PLC NOTES TO THE FINANCIAL STATEMENTS YEAR ENDED 31st MARCH 2007
15. INVESTMENTS (continued)
The company owns 100% of the share capital of Condomania PLC, which is registered in England and Wales. The nature of the company's business is that of the sale and supply of sexual health products. Total capital and reserves on 31st March 2007 were £(595,229) (2006: £(387,448)). The loss made in the year was £207,781 (2006: £294,583 loss).
Condomania PLC owns 100% of the share capital of Condomania (UK) Limited, which is registered in England and Wales. The company did not trade in the period. Total capital and reserves on 31st March 2007 were £(24,931) (2006: £(24,931)).
Condomania PLC owns 100% of the share capital of Sexual Health Company Limited, which is registered in England and Wales. The company did not trade in the period. Total capital and reserves at 31st March 2007 was £1 (2006: £1).
The company owns 100% of the share capital of Sutherland Group Holdings Limited which is registered in England and Wales. The capital and reserves on 31st March 2007 were £31,873 (2006: £41,880) and the loss made in the year was £10,007 (2006: £43,104 profit).
Sutherland Group Holdings Limited owns 100% of Sutherland Health Limited which is registered in England and Wales. The capital and reserves on 31st March 2007 were £90,867 (2006: £16,929) and the profit made in the year was £73,938 (2006: £39,623).
NOTES TO THE FINANCIAL STATEMENTS YEAR ENDED 31st MARCH 2007
16. ACQUISITIONS
Sutherland Group Holdings Limited
On 28 March 2006 the group acquired Sutherland Group Holdings Limited (including its wholly owned subsidiary Sutherland Health Limited) for a consideration of £358,000, satisfied by the provision of loan notes. Goodwill arising on the acquisition of Sutherland Group Holdings Limited has been capitalised and will be amortised over 20 years.
Additional deferred consideration for the acquisition is payable to the vendors based upon 50% of any increase in the gross profit of Sutherland Group Holdings Limited (and its wholly owned subsidiary undertaking) in the period from 31 October 2005 to 31 March 2008. This deferred consideration is payable by the issue of further unsecured Convertible loan notes ranking paripassu with the loan notes already issued to acquire the group.
At 31 March 2007 the directors consider that any additional deferred consideration accrued is not material. No provision has been made in respect of any deferred consideration arising in the period from 1 April 2006 to 31 March 2008.
NOTES TO THE FINANCIAL STATEMENTS YEAR ENDED 31st MARCH 2007
The debtors above include the following amounts falling due after more than one year:
===============================
===============================
====================================
===============================
NOTES TO THE FINANCIAL STATEMENTS YEAR ENDED 31st MARCH 2007
19. CREDITORS: Amounts falling due within one year
The A and B loan notes rank pari-passu save that the B loan notes are being repaid at £1,000 a month. The A and B loan notes carry interest at 7% per annum.
Included within other creditors is an amount of £74,701 in respect of amounts due under a factoring agreement. This amount is secured by a fixed charge over book debts and by a floating charge over the assets and undertakings of the group.
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2007
20. CREDITORS: Amounts falling due after more than one year
On 30 June 2005 the company issued £170,000 of unsecured convertible loan notes, of this amount £58,000 is held by Sutherland Group Holdings Limited which became a subsidiary undertaking on 28 March 2006. These may be converted at the holders option at the basis of one ordinary share of 0.2p for each 10p of loan stock held. If not converted by 30 June 2008 the loan notes are repayable at par. The loan notes incur interest at 8% per annum.
On 28 March 2006 the company issued £358,000 of unsecured loan notes in consideration of the purchase of the share capital of Sutherland Group Holdings Limited as described in note 16 to the accounts. These were split into A and B loan notes.
The A and B loan notes rank pari-passu save that the B loan notes are being repaid at £1,000 a month. The A and B loan notes carry interest at 7% per annum.
21. COMMITMENTS UNDER HIRE PURCHASE AGREEMENTS
Future commitments under hire purchase agreements are as follows:
Group
Liabilities under hire purchase are secured on the assets concerned.
Company
SEXUAL HEALTH GROUP PLC NOTES TO THE FINANCIAL STATEMENTS YEAR ENDED 31st MARCH 2007
22. COMMITMENTS UNDER OPERATING LEASES
At 31st March 2007 the group had annual commitments under non-cancellable operating leases as set out below.
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2006
23. RELATED PARTY TRANSACTIONS
During the year, the group incurred consultancy fees of £13,124 (2006: £13,486) from Tcheno Limited. At the year end, the group owed £27,234 (2006: £11,814) to Tcheno Limited. Mr D J Bretel, a director and shareholder, is also a director of Tcheno Limited. These fees are included in consultancy fees.
During the year the group incurred consultancy fees of £15,203 (2006: £16,954) from the John French Consultancy in respect of Mr F J French's services. At the year end the group owed £6,250 (2006: £12,224) to the John French Consultancy. Mr F J French is a director and shareholder. These fees are included in directors' emoluments.
In accordance with FRS 8, exemption is taken not to disclose transactions in the year between group undertakings where 90% or more of the voting rights are controlled within the group and the consolidated financial statements in which Condomania PLC is included are publicly available.
Control
Control and ultimate control of the company vests with Mr G M Sutherland who has an interest in 58.8% of the company's issued share capital.
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2007
24. SHARE CAPITAL
The following options were outstanding at the year end:
1) 450,000 shares at 10p each expiring 31 st July 2008 granted on 26 th October 2004 replacing options previously held in Condomania plc.
3) 1,866,760 shares at 16p each expiring 18 th October 2014 granted on 18 th October 2005 pursuant to the unapproved share option scheme.
2) 800,010 shares at 16p each expiring 20 th September 2014 granted on 20 th September 2005 pursuant to the EMI share option scheme.
In addition warrants over 1,039,000 shares at an exercise price of 12.5p lapsed on 31 st August 2006.
25. RESERVES
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2007
27. NOTES TO THE STATEMENT OF CASH FLOWS
RECONCILIATION OF OPERATING LOSS TO NET CASH OUTFLOW FROM OPERATING ACTIVITIES
RETURNS ON INVESTMENTS AND SERVICING OF FINANCE
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2007
NOTES TO THE FINANCIAL STATEMENTS
YEAR ENDED 31st MARCH 2007
27. NOTES TO THE STATEMENT OF CASH FLOWS (continued)
ANALYSIS OF CHANGES IN NET DEBT
SEXUAL HEALTH GROUP PLC MANAGEMENT INFORMATION YEAR ENDED 31st MARCH 2007
The following pages do not form part of the statutory financial statements which are the subject of the Independent auditor's report on pages 8 to 9.
DETAILED PROFIT AND LOSS ACCOUNT
YEAR ENDED 31st MARCH 2007
NOTES TO THE DETAILED PROFIT AND LOSS ACCOUNT
YEAR ENDED 31st MARCH 2007
416,507
NOTES TO THE DETAILED PROFIT AND LOSS ACCOUNT
YEAR ENDED 31st MARCH 2007
|
January 10, 2012
New York State Department of Environmental Conservation
625 Broadway
Albany, NY 12233-6510
Attn: dSGEIS Comments
Commissioner Martens and Division of Mineral Resources staff:
Following below are comments by the Preservation League of New York State intended to inform the final SGEIS documents prepared by the Department of Environmental Conservation.
The League believes the current DSGEIS lacks essential information and analysis in many critical areas related to historic resources, does not provide the requisite substantial evidence and
thus fails to take the" hard look" required by the New York State Environmental Quality Review
Act (SEQRA) to identify and address potential significant adverse impacts to New York State's
historic and cultural resources.
Preservation League of New York State - Introduction
Founded in 1974, the Preservation League of New York State is a statewide not-for-profit historic preservation advocacy organization The Preservation League of New York State invests
in people and projects that champion the essential role of preservation in community revitalization, sustainable economic growth, and the protection of our historic buildings and
landscapes. We lead advocacy, economic development, and education programs all across the state.
Through a wide variety of grant-making, workshops, endangered property listings, and public policy work to establish incentives and programs that advance building rehabilitation, the
Preservation League has a long history of supporting historic preservation efforts that identify and preserve historic buildings, communities and landscapes in the Marcellus Shale region
counties. The regions of New York State that face exposure from the impacts of natural gas drilling are dotted with National and State Register-listed and eligible-for-listing historic
structures and landscapes. These resources form the basis of authentic community character and heritage-based tourism; they are core components of an existing economy and quality of life.
We offer these comments of the current revised Draft Supplemental Generic Environmental
Impact Statement documentation with the intent of further informing and improving NYS DEC'
documentation, analyses and response in this documentation.
Section 106 of the National Historic Preservation Act
Chapter 2 of the rDSGEIS document would benefit from a" Regulatory Overview"
section, similar to Section 6.5.1 of the document (which details applicable federal and state oversight
over air quality issues). The League notes for this record the extent of applicability of the
National Historic Preservation Act (NHPA) to shale gas development projects.
"
The National Historic Preservation Act of 1966, as amended (16 U.S.C. 470) is the nation's primary historic preservation law. The act created the National Register of
Historic Places, the official list of properties significant in the history, architecture, archeology and culture of the United States. The act also called for the creation of State
Historic Preservation Offices (SHPOs) to administer the national program at the state level. In addition, any project that involves federal funds, licenses or permits is reviewed
in accordance with Section 106, which establishes procedures to be followed by federal
Preservation League of NYS, 44 Central Avenue, Albany, NY 12206
s
*
*
agencies whose actions may directly or indirectly have an effect on historic properties and directs those agencies to consult with SHPO to assess those effects. Therefore, any
approvals/permits/funding that are given by a federal agency must also be reviewed by
SHPO. "
Section 106
1
of the NHPA requires federal agencies to take into account the effects that their federally funded activities and programs have on significant historic properties. "Significant
historic properties" are those properties that are included in, or eligible for, the National Register of Historic Places.
Among the federal agencies and programs related to shale gas development that may be subject to Section 106 reviews are:
* Environmental Protection Agency (EPA): Section 106 review required for all
Underground Injection Control Program (UIC) permits issued in New York State.
Federal Energy Regulatory Commission (FERC): Section 106 review required for permits for interstate natural gas pipelines and storage facilities.
US Army Corps of Engineers (USACE) Clean Water Act (CWA) Section 404 permits:
Section 106 review required for all Section 404 permits for disposal of dredged or fill materials for impacts to the waters of the United States.
1
How does the Section 106 process work? A federal agency first determines if the proposed project activities are covered by
Section 106 of the NHPA. If so, the agency initiates the Section 106 review process. Next, the federal agency gathers information to decide which properties, if any, in the project area are listed in or eligible for the National Register of Historic Places. If any
properties in the project area are eligible, the agency then determines how these historic properties might be affected by the federally supported undertaking. If historic properties will be adversely affected, the agency consults with the other parties and
explores alternatives to avoid or reduce harm to historic properties. If necessary, the agency obtains advisory comments from the
ACHP. Finally, the federal agency works to reach an agreement with the SHPO (and the Advisory Council on Historic
Preservation in some cases) on appropriate measures to deal with any adverse effects to the historic properties.
The Section 106 review process is explained in detail in federal regulations issued by the ACHP. These regulations appear in the
U.S. Code of Federal Regulations at 36 CFR Part 800 and can be viewed here.
*
*
US Forest Service: Special Use permits for hydrofracking-related projects in the National
Forest lands, such as the Finger Lakes National Forest.
EPA: Section 106 review is not
required for National Pollution Discharge Elimination
System (NPDES) permits, due to EPA delegation of permitting authority to NYS.
In Table 8.1, the rDSGEIS notes that USACE has federal authority to review permits that impact wetlands areas as well. USACE review of permits that denote potential impacts to delineated
wetlands are also subject to Section 106 review. Other laws may also affect the processing of applications for Corps of Engineers permits. Among these laws are the National Environmental
Policy Act, the Fish and Wildlife Coordination Act, the Wild and Scenic Rivers Act, and the
Endangered Species Act.
Further details on which federal permits, approvals, or licenses may invoke Section 106 review are available in a September 21, 2011 memo issued by the Advisory Council on Historic
Preservation, appended to this testimony. We request these references be incorporated into the final SGEIS documentation, and that the appropriate state agencies brief themselves on these
consultation triggers.
The New York State Historic Preservation Act of 1980, Section 14.09
" The New York State Historic Preservation Act of 1980 was established as a counterpart to the
National Historic Preservation Act and declares historic preservation to be the public policy and in the public interest of the state. The act created the New York State Register of Historic Places,
the official list of sites, buildings, structures, areas or objects significant in the history, architecture, archeology or culture of the state, its communities or the nation. [Section 14.09 of]
…the act also requires state agencies to consult with the SHPO if it appears that any projects
being planned may or will cause any change, beneficial or adverse, in the quality of any historic, architectural, archeological or cultural property that is listed on the National Register of Historic
Places or listed on the State Register or that is determined to be eligible for listing on the State
Register. It requires state agencies, to the fullest extent practicable, consistent with other provisions of the law, to avoid or mitigate adverse impacts to such properties, to explore all
feasible and prudent alternatives and to give due consideration to feasible and prudent plans that would avoid or mitigate adverse impacts to such property. The act also establishes agency
preservation officers within state agencies for the purpose of implementing these provisions. "
The 14.09 review is a state-level review process in New York state that is triggered when state funds are used or state licenses or permits are required for actions that may impact properties
listed on the National or State Register or a property that is eligible for listing.
The SGEIS document should acknowledge Section 14.09 as a separate and distinct review process for all future permits related to hydrofracking in the Marcellus and Utica shale
formations. A firm commitment from NYS DEC that all permit applications will be subject to
Section 14.09 review by OPRHP should be stated in this document. To ease administration of
Section 14.09 review requirements, OPRHP should:
*
Establish a historic and cultural resource survey standard that can be implemented at each permit site.
Work with NYS DEC to provide permit applicants and municipalities with guidance on local and regional resource identification, as per DEP-00-2,
" Assessing and Mitigating
Visual Impacts. " The SGEIS document should note what mechanisms NYS DEC and
OPRHP suggest for identifying and protecting" significant scenic and aesthetic"
resources that are not yet designated by local, state, or federal designation.
Preservation League of NYS, 44 Central Avenue, Albany, NY 12206
*
Re: 1.5.2 Intra-/Inter-agency Coordination
This section should provide greater detail on the document development, review and comment role of individual state agencies, rather than the current statement that"
other State agencies also provided assistance.
"
In particular, given concerns and questions the League has about later sections of the rDSGEIS, details regarding the review and comment by the State Historic
Preservation Office (SHPO) and/or Office of Parks, Recreation and Historic Preservation should be detailed.
It is our understanding that the State Historic Preservation Office is submitting agency comments on behalf of the Office of Parks, Recreation and Historic Preservation. As their role in potential
future permitting is clearly established in Section 14.09 of the State Historic Preservation Act, their efforts to inform this rDSGEIS document are welcomed.
Re: 1.7.14 State Forests, State Wildlife Management Areas and State Parks
"Surface disturbance associated with high-volume hydraulic fracturing would not be allowed on
State-owned lands administered by the Department, including but not limited to State Forests and State Wildlife Management Areas, because it is inconsistent with the suite of purposes for
which those lands have been acquired. Current Office of Parks, Recreation and Historic
Preservation (OPRHP) policy would impose a similar restriction on State Parks."
*
The Preservation League supports this ban on high-volume hydraulic fracturing on State- owned lands administered by NYS DEC.
OPRHP policy imposing similar restrictions on State Parks lands should be codified; its status in this document is not clear.
It is not clear if the ban on drilling on state-owned land prohibits drilling on private property in holdings within the boundaries of State-owned lands or prevents drilling
access from private in holdings to shale reserves under State-owned lands. This should
Preservation League of NYS, 44 Central Avenue, Albany, NY 12206
*
*
be clarified in the final SGEIS. The League supports a complete ban on drilling within the boundaries of state-owned lands.
Re: 2.4.12 Visual Resources
"For the purposes of impact analysis, visual resources located within the areas underlain by the Marcellus and Utica Shales in New York may be considered representative of the types of visual resources that would be encountered statewide. Therefore, this section describes the existing federally and state-designated visual resources within the boundaries of this area in New York."
* Emphasis added, above. The attempt to identify and quantify impacts to visual resources for this documentation is limited to the footprint of the Marcellus and Utica Shale geology underlying the 30 counties that are the focus of environmental impacts in this document. This is not always clear in subsequent tables and narration, and bears clarification throughout these sections of the final SGEIS document.
Re: 188.8.131.52 Historic Properties and Cultural Resources
"This section discusses historic properties and other cultural resources that are considered visual resources per NYSDEC Program Policy DEP-00-2, including properties listed in the National and State Registers of Historic Places (including National Historic Landmarks), state historic sites, state historic parks, and state heritage areas (formerly urban cultural parks) (NYSDEC 2000).
"A property on or eligible for inclusion in the National or State Register of Historic Places (16 U.S.C. §470a et seq., Parks, Recreation and Historic Preservation Law Section 14.07) Historic properties are defined as those properties that have been listed in, or determined eligible for listing in, the NRHP (Advisory Council on Historic Preservation 2011). The NRHP, which is the official list of the nation's historic places worthy of preservation, was established under theNational Historic Preservation Act of 1966, as amended (NPS 2011a; OPRHP 2011a). In general, historic properties are 50 years old or older, and they retain much of their original appearance, because of the integrity of their location, design, setting, materials, workmanship, feeling, and association (OPRHP 2011a).
"The National Park Service (NPS) maintains a database of properties listed in the NRHP. (This database does not include information for other properties determined to be eligible for listing in the NRHP.) At least 1,050 NRHP-listed properties have been identified within the area underlain by the Marcellus and Utica Shales in New York (Table 2.92) (NPS 2011b, ESRI 2011). The
email@example.com; 518-462-5658 x18
significance of properties listed or eligible for listing on the NRHP may be derived in varying degrees from scenic or aesthetic qualities that may be considered visually sensitive."
* These listed and eligible properties are potential triggers for Section 106 consultation under certain federal agency actions under the provisions of the National Historic Preservation Act, outlined earlier in this document. It would be appropriate to reference Section 106 in this section of the final SGEIS.
* The cited 1050 properties represent a significant undercount of historic resources in the RDSGEIS. See our comments on Table 2.92, below.
* This section does not specifically discuss historic bridges listed on or eligible for the National Register. NYS DOT's Historic Bridge Management Program 2 and related resources should be discussed in this section and bridge locations should be mapped for the purpose of informing sections of the SGEIS document that address transportation impacts and potential mitigation, such as in Section 6.11.3 of the rDSGEIS document.
"The State Register of Historic Places, which is the official list of New York State's historic places worthy of preservation, was established under the New York State Historic Preservation Act of 1980. The eligibility criteria for properties listed in the State Register of Historic Places are the same as the eligibility criteria for the NRHP (OPRHP 2011a). The OPRHP maintains the database of records for properties listed in, or determined eligible for listing in, the State and National Registers of Historic Places (OPRHP 2011b). Over 250,000 properties located across New York State are included in this database, and the database provides information on whether the properties have been evaluated for State and/or National Register eligibility, and if evaluated, the eligibility status of the resource (OPRHP 2011c). The significance of properties listed or eligible for listing in the State Register of Historic Places may be derived in varying degrees from scenic or aesthetic qualities that may be considered visually sensitive."
2 In 1999, the New York State Department of Transportation, in coordination with the Federal Highway Administration and the New York State Historic Preservation Office initiated a statewide inventory of historic bridges. The three-year project updated a previous inventory of pre-1925 bridges conducted in the 1980s. The scope of the current inventory includes bridges built prior to 1961 that are located on public highways, including both state and locally-owned bridges. As a result of this effort, over 6,600 bridges were evaluated for eligibility for listing in the National Register of Historic Places. A total statewide population of nearly 600 historic bridges has been identified.
* The State Historic Preservation Office (SHPO) maintains a database of National Register-eligible (NR-e) properties in their State Preservation Historical Information Network Exchange (SPHINX). The final SGEIS should reflect more specific NR-e data on a county-by-county basis in the study area.
* The absence of this data from the RDSGEIS document indicates a significant oversight by Ecology & Environment and NYS DEC as authors of this document. It also underscores the need for an active role by OPRHP in reviewing and commenting on this document to inform the final SGEIS.
Re: Table 2.92 - Number of NRHP-Listed Historic Properties within the Area Underlain by the Marcellus and Utica Shales in New York
This table over-simplifies and undercounts historic resource identification in the Marcellus and Utica Shale regions of New York State. As a result, it under-represents the extent of potential site-specific and community-wide historic resource impacts that will result from high-volume hydraulic fracturing.
There is a cascading set of consequences for this document from such a dramatic undercount, ranging from an inadequate analysis of potential mitigation measures to address historic site impacts to a discounting of the number and extent of historic resource reviews required by the State Historic Preservation Office and the staffing hours required to conduct such review.
* The Preservation League suggests the SGEIS include an expanded version of Table 2.92 to include the following categories:
Attached to our testimony is the League's initial research to correct and refine the number of National Register of Historic Places (NRHP) properties within the boundaries of the Marcellus
firstname.lastname@example.org; 518-462-5658 x18
and Utica Shale formations. This data is derived from National Park Service and State Historic
Preservation Office databases available via the Internet. Ecology & Environment, working in conjunction with NYS DEC and the SHPO can further refine these numbers through use of GIS-
based analysis.
Re: Figure 2.11: Visually Sensitive Areas Associated with Historic Properties and Cultural
Resources
This map serves to convey the general distribution of the referenced resources, but notably does not make a distinction between National Register Districts and individual listings, and does not
map the distribution of National Register-eligible districts or individual listings. As such, it does not convey the full extent or density of historic structures and other landmarks that will be focal
points for survey work, impact assessments and potential mitigation measures required by the environmental reviews of hydrofracking. Nor does it serve as an accurate predictor for gas
companies as to where potential enhanced siting reviews may be prompted by these resources.
Re: 184.108.40.206 Parks and Other Recreation Areas
This section should note that Special Use permits related to natural gas drilling in the Finger
Lakes National Forest in Seneca and Schuyler counties would trigger Section 106 review per the
National Historic Preservation Act.
Re: 220.127.116.11 Additional Designated Scenic or Other Areas
This section includes references to National and State Scenic Byway listings. It should be noted that these designations and their resultant management plans for these include viewsheds, not
just the linear corridor of the road itself. Additionally, the US Route 20 State Scenic Byway–a
108 mile long corridor between Duanesburg, Schenectady County and LaFayette, Onondaga
County, and roughly at and parallel to the northern boundary of the Marcellus and Utica Shale region, is not depicted in Figure 2.14, although it is listed in Table 2.100.
Chapter 6 POTENTIAL ENVIRONMENTAL IMPACTS
Re: 6.12 and 7.12 Community Character Impacts
"High-volume hydraulic fracturing operations could potentially have a significant impact on the character of communities where drilling and production activities would occur. Both short-term
and long-term, impacts could result if this potentially large-scale industry were to start operations.”
The rDSGEIS indicates that the rapid growth of hydraulic fracturing operations could adversely impact local community character, but fails to set forth a mechanism to mitigate this potentially
significant adverse impact. Where local land use law does not expressly prohibit gas drilling, the
Department should consider a regulatory scheme which would incorporate municipal input to determine if an
" excessive number"
of hydraulic fracturing operations are being located in a particular community.
The rDSGEIS acknowledges that rapid hydraulic fracturing growth could cause adverse community character impacts, stating that"
[s]low, moderate growth of the industry, if it were spread over several years, would generate much less acute impacts than rapid expansion over a
limited time. " The rDSGEIS, however, commits only that"
the Department will monitor the pace and concentration of development throughout the state to mitigate adverse impacts,
" and"
consult with local jurisdictions, as well as applicants, to reconcile the timing of development with the needs of the communities.
"
Without any discussion or analysis of review criteria, the rDSGEIS states that"
[w]here appropriate the Department would impose specific construction windows within well construction permits in order to ensure that drilling activity and its
cumulative adverse socioeconomic effects are not unduly concentrated in a specific geographic area.
"
It is unclear how NYS DEC would be alerted to the fact that hydraulic fracturing development may be reaching a tipping point in a particular community. The proposed regulations do not
require applicants to provide any information relating the number of approved or pending applications for hydraulic fracturing for the affected municipality.
* NYS DEC regulations should require this information of all applicants before any hydraulic fracturing application can be deemed complete. The regulations must mandate that municipalities be informed of every application filed within their jurisdictions.
Re: 6.9 Visual Impacts
These visual impacts would typically result from the introduction of new landscape features into the existing settings surrounding well pad locations that are inconsistent with (i.e., different from) existing landscape features in material, form, and function. The introduction of these new landscape features would result in changes to visual resources or visually sensitive areas and would be perceived as negative or detrimental by regulating agencies and/or the viewing public.
The visual impacts of horizontal drilling and high-volume hydraulic fracturing would result from four general on-site processes associated with the development of viable well locations: construction, well development (drilling and fracturing), operation or production, and postproduction reclamation. The greatest visual impacts would be associated with the construction of well pads and associated facilities, which would create new long-term features within surrounding landscapes, and well drilling and completion activities at viable well locations, which would be temporary and short-term in nature. Additional off-site activities could also result in visual impacts, including the presence of increased workforce personnel and vehicular traffic, and the use of existing or development of new off-site staging areas or contractor/storage yards.
The finalized SGEIS document should acknowledge Section 14.09 as a separate and distinct review process for all future permits related to hydrofracking in the Marcellus and Utica shale formations. A firm commitment from NYS DEC that any permit applications will be subject to Section 14.09 review by OPRHP should be stated in this document. This would assist in assessment of potential impacts related to well pad and related support facilities.
email@example.com; 518-462-5658 x18
Re: 6.9.6 Assessment of Visual Impacts using NYSDEC Policy and Guidance
The Department'
s Guidance Memorandum only compels site specific review where the viewsheds of
" designated aesthetic resources"
may be impacted. The designated aesthetic resources covered by the Guidance Memorandum include only a limited universe of resources
that meet certain State and federal criteria, such as properties on or eligible for inclusion on the
National or State Historic Registers. Neither the rDSGEIS nor the proposed regulations set forth any mechanism for identifying, let alone protecting, visual resources that do not technically
qualify as" designated aesthetic resources. "
The proposed regulations appear entirely silent on this issue. The rDSGEIS suggests that local agencies would be prepared to identify all visually and historically sensitive resources in their
communities in an advance of any permit applications. The rDSGEIS suggests resources identified in this manner would trigger formal visual assessment in accordance with the
Guidance Memorandum. However, the proposed regulations do not appear to require applicants to provide an inventory of aesthetic resources, as the Department'
s Guidance Memorandum requires. As such, it is unclear what would trigger these site specific visual impacts reviews.
*
DEC should compel applicants via regulations to contact local jurisdictions to determine from them sensitive visual resources prior to the submittal of permit applications to NYS
DEC.
Additionally, permit specific visual and historic impacts analysis should consider the cumulative impacts of hydraulic fracturing on visual resources. Again, municipalities should have the
opportunity, upon notice of an application, to alert the Department of any concerns that a particular application may, by virtue of cumulative impacts with other applications or previously
permitted projects, adversely impact visual resources.
Re: 6.11.3 Damage to Local Roads, Bridges, and other Infrastructure
Actual costs associated with local roads and bridges cannot be determined because these costs are a factor of (1) the number, location, and density of wells; (2) the actual truck routes and truck volumes; (3) the existing condition of the roadway; (4) the specific characteristics of the road or bridge (e.g., the number of lanes, width, pavement type, drainage type, appurtenances, etc.); and (5) the type of treatment warranted.
"However, based on a sample of 147 local bridges with a condition rating of 6 (i.e., Fair to Poor) in Broome, Chemung, and Tioga counties, estimates of replacement costs could range from $100,000 to $24 million per bridge, and averaged $1.5 million per bridge. The NYSDOT estimates that bridges with a condition rating of 6 or below would be impacted by the projected increase in truck traffic, resulting in accelerated deterioration, and warrant replacement. Because these routes were often built to lower standards, heavy trucks would have a much greater impact than other types of traffic.
"…however, based on a sample of 166 state bridges with a condition rating of 6 (i.e., Fair to Poor) in Broome, Chemung, and Tioga counties, estimates of replacement costs could range from$100,000 to $31 million per bridge, and averaged $3.3 million per bridge. The NYSDOT estimates that bridges with a condition rating of 6 or below would be impacted by the projected increase in truck traffic, resulting in accelerated deterioration, and warrant replacement.
"Depending on the volume and location of high-volume hydraulic fracturing, there is a possibility that a number of bridges and certain segments of state roads would require higher levels of maintenance and possibly replacement."
A quick review of National Register-listed or National Register-eligible bridges in the Marcellus Shale region suggests as many as 156 historic bridges could be impacted by changes to local or regional traffic patterns from hydrofracking development. This represents one-quarter of the total statewide historic bridge inventory identified in the January 2002 "Evaluation of National Register Eligibility, prepared for New York State Department of Transportation and the Federal Highway Administration. 3
3 Report available here: https://www.dot.ny.gov/divisions/engineering/environmentalanalysis/repository/nationalregistereligibilityreport.pdf.
In the "Purpose" Section of the New York State Department of Transportation Historic Bridge Management Plan 4 , it is noted that
"State Bridges listed in, or eligible for listing in, the National Register of Historic Places (National Register) are afforded a degree of protection under state and federal historic preservation laws that require agencies to take into account the effect of projects on historic properties
"These laws recognize the value of preserving physical components of the nation's history. In consideration of the important place that bridges hold in New York's engineering and cultural heritage, New York State Department of Transportation (NYSDOT), in cooperation with the Federal Highway Administration (FHWA) and the State Historic Preservation Office (SHPO), developed this management plan for the state's historic bridges. Through use of the plan, NYSDOT intends to provide state-owned historic bridges with the greatest possible chance of survival consistent with transportation needs. Local bridge owners are also encouraged to consider the greatest level of protection feasible for eligible bridges by following the recommendations outlined in this plan.
"This plan's purpose is to encourage maintenance and rehabilitation of bridges that are eligible for, or listed in, the National Register in New York and to outline goals, objectives, and recommendations for the management of this population of bridges."
* Section 6.11.3 should include a specific acknowledgement of the historic bridges in the SGEIS study area, as well as NYS's stated responsibilities to encourage maintenance and rehabilitation of the bridges in this inventory.
* An specific inventory of the historic bridges in the study area should be included in section 2.4.12: Historic Properties and Cultural Resources.
Chapter 7 EXISTING AND RECOMMENDED MITIGATION MEASURES
Re: 7.9 Visual Mitigation Measures
Generally, mitigation measures would be developed in consultation between Department staff and well operators and would be site-specific, or project-specific where multiple sites are a part of the project design. Depending on the location of the well pad and the resource potentially impacted, it may also be necessary to consult with additional state and federal regulatory agencies to develop measures to mitigate visual impacts on specific types of visual resources or
4 Report available here: https://www.dot.ny.gov/divisions/engineering/environmentalanalysis/repository/historicbridgemanagementplan.pdf?nd=nysdot
visually sensitive areas, including but not limited to the New York State Historic Preservation Officer for NRHP-listed or -eligible historic properties; consultation with the National Park Service for National Historic Landmarks (NHLs) and National Natural Landmarks (NNLs); consultation with the U.S. Fish and Wildlife Service for National Wildlife Management Areas; consultation with the NYSDOT for state-designated Scenic Byways, etc.; and consultation with local (town, county, or regional) agencies for locally designated visual resources or visually sensitive areas that were identified on the EAF.
The finalized SGEIS document should acknowledge Section 14.09 as a separate and distinct review process for any future permits related to hydrofracking in the Marcellus and Utica shale formations. A firm commitment from NYS DEC that all permit applications will be subject to Section 14.09 review by OPRHP should be stated in this document. This would assist in assessment and mitigation of potential impacts related to well pad and related support facilities.
Re: 7.9.1 Design and Siting Measures
Elsewhere in the rDSGEIS documentation, the state has determined that surface drilling would be prohibited on state-owned land, noting that such lands include many of the types of visual resources or visually sensitive areas discussed in Section 2.4. NYS DEC notes at 7.9.1 that:
"Implementing this siting measure would result in the exclusion from surface drilling of many resources and areas that may be designated or used, in part or in whole, for their scenic qualities, thereby decreasing the potential for direct visual impacts of surface drilling on such resources or areas. The implementation of design and siting measures would also minimize indirect impacts on visual resources or visually-sensitive areas that are outside of, but in close proximity to, areas where drilling is proposed."
Historic structures and landscapes require an equal level of recognition and protection in the SGEIS document:
* Surface drilling in National Register-listed and National Register-eligible districts should be prohibited.
* Surface drilling adjacent to National Register-listed and National Register-eligible districts, structures and sites should be buffered by a maximum possible distance; the 100- foot minimum buffer from structures established in the 1992 GEIS documentation is insufficient to prevent visual and other impacts to such sites. A one-thousand foot buffer is noted in section 7.10.3 as requiring special evaluation for noise mitigation
"For example, the use of multi-well pads for horizontal drilling and hydraulic fracturing is a design and siting measure that incorporates both relocation and downsizing techniques by installing more than one well in one location. The benefit of the multi-well pad is that it decreases the overall number of pads in the surrounding landscapes, which would result in the decreased potential for impacts on visual resources or visually sensitive areas during the construction, development, production, and reclamation phases."
Given the extraordinary cumulative impacts required to prepare for and conduct drilling operations for any one bore at a multi-well pad, it is inappropriate for NYS DEC to claim a significant advantage from such consolidation as a representation of significant mitigation.
7.11 Transportation Mitigation Measures
Re: 18.104.22.168 Development of Transportation Plans, Baseline Surveys, and Traffic Studies
"No permit should be issued until the Department and the NYSDOT are satisfied that the Transportation Plan is adequate to ensure that the traffic associated with the activity can be conducted safely and would reduce the impacts from truck traffic on local road systems to the maximum extent feasible."
* Transportation plans and road use agreements should denote locations of key roadside features and aesthetics such as stone walls, landscape elements, and road geometry that provide context and setting to local and regional roads – these are key elements of community character that should be identified and protected in such plans.
* Due to weight limits associated with older, historic bridges, transportation plans should closely monitor proposed routing over routes that include historic bridges to avoid traffic loads and traffic frequency that would threaten the structural integrity of these historic structures. Close coordination with NYS DOT is required to avoid or minimize impacts to approximately 156 historic bridges in the Marcellus Shale region.
Chapter 8 PERMIT PROCESS AND REGULATORY COORDINATION
8.1 Interagency Coordination
"Table 8.1, together with Table 15.1 of the 1992 GEIS, shows the spectrum of government authorities that oversee various aspects of well drilling and hydraulic fracturing."
The final SGEIS document should acknowledge Section 14.09 as a separate and distinct review process for all future siting permits related to hydrofracking in the Marcellus and Utica shale formations. A firm commitment from NYS DEC that all permit applications will be subject to
firstname.lastname@example.org; 518-462-5658 x18
Section 14.09 review by OPRHP should be stated in this document. As such, Table 8.1 should denote that OPRHP has a secondary (
" S") role in well siting and related components, as noted in
Section 8.1.2.
Conclusion
NYS DEC must complete data collection and analytic work that is necessary to ensure that highvolume hydraulic hydrofracturing only occur where it poses no irreversible impact to the quality of the human environment. Included in this commitment to protect environmental quality is protection and stewardship of New York State's rich legacy of historic and cultural resources.
Given the reported volume of public comment on necessary revisions to the DSGEIS, until the Preservation League and public at large is given the opportunity to review and comment on the Final SGEIS, we note that our lawful right to comment has not been granted. As such, NYS DEC should make special provisions to ensure that the public is granted the opportunity to comment on pending revisions that the NYS DEC must make to complete this analysis.
|
3EA TIES-IRC Measurement Tools:
Children's Holistic Learning and Development (CHILD) and Program Implementation Quality (PIQ)
Technical Memo
Introduction
As part of the Education in Emergencies: Evidence for Action (3EA) initiative, New York University's Global TIES for Children (TIES/NYU) and the International Rescue Committee (IRC) are leading a group of research-practice-policy partnerships to develop, adapt, and test a set of measurement tools to assess critical dimensions of program implementation quality (PIQ) and children's learning and holistic development (CHILD) in crisis contexts. In this technical memo – oriented to researchers and technical staff at non-governmental, multi-lateral, and intergovernmental organizations – we provide information about the assessment tools our own TIES-IRC partnership is working to develop, adapt and test. Specifically, we:
* Describe the purposes for which we are developing and adapting assessments, as well as the types of assessments we are testing, where, and with whom
* Provide for interested parties best practices on how to cite, share, and communicate interest in using this set of tools
* Explain the types of evidence we are currently working to generate to understand the extent to which our assessments are providing accurate, meaningful, and comparable data
Background
Developing tools that meaningfully and accurately assess children's skills and competencies—and the key aspects of the environment that shape them—is demanding under the best of circumstances, given that children's development is a complex process that occurs dynamically and transactionally over time. In crisis contexts, we face additional challenges given the current lack of understanding of how children develop and learn within and across cultures and contexts: 95% of what we know about children's development is based on research with just 5% of the world's children, those that live in White, Educated, Industrialized, Rich, and Democratic (WEIRD) contexts. 1 And while caregivers, teachers, and policymakers across contexts may broadly agree on the skills and competencies critical for children's long-term success 2 , how such skills are named, defined, manifested, operationalized, and/or prioritized differs according to the context. Designing and adapting assessments that we know capture meaningful and accurate information
1 Henrich, Heine, and Norenzayan, "The Weirdest People in the World?"
2 Learning Metrics Task Force, "Toward Universal Learning: Recommendations from the Learning Metrics Task Force"; Torrente, Alimchandani, and Aber, "International Perspectives on Social and Emotional Learning."
about children's holistic learning and development and program implementation quality in crisis contexts takes time and resources – something that is in short supply in the contexts in which we work.
Given these challenges, we encourage a culture of sharing measurement tools and data sets across stakeholder groups, and of transparency around how the tools are working (or not). This norm will increase the chances that the limited available resources are well-used and that the urgent need for high-quality data in crisis contexts is efficiently met. At the same time, it is important to note that a tool is just a tool: the extent to which it provides high-quality data is largely determined by the decisions made about what it is used for, how it is used, where it is used, and what it is intended to assess. To facilitate technical stakeholders' understanding of the purposes for which our TIES-IRC partnership tools are used for, as well as what they are intended to assess and where, we turn now to an overview of the "what, where, and how" of 3EA TIES-IRC measurement tools. 3
Part 1: The What, Where, and How of 3EA TIES-IRC Measurement Tools
What are we using measurement tools for?
Different measurement tools generate data that can be used for many purposes. These include:
1) Describing and comparing children's learning and development at the
population level to identify areas of special need and ensure accountability
2) Tracking individual children's formative skill development to provide individualized scaffolding and support
3) Screening children for developmental delays and mental health difficulties
4) Monitoring the implementation and quality of programming and evaluating the impact of programming
5) Contributing to hypothesis testing about how neurobiological, cognitive, social-emotional, and ecological factors interact to shape children's development.
The purposes for which the data will be used should critically guide the design/adaptation of the measure, its implementation, and how the resulting data analyzed. 4
For example, many governments and global institutions are interested in populationlevel monitoring that describes at a school, community, sub-regional, and/or national aggregate level how children are learning and developing over time (Purpose 1, above). Given that such efforts require cost- and time-intensive representative or Census-based samples, tools used for population-level monitoring are often short and designed to provide a snapshot of the high-level skills and competencies
3 We use the terms "measure," "assessment," and "measurement tool" interchangeably throughout the document to refer to instruments that can be used to collect data about children's holistic learning and development and program implementation and quality. These instruments can take many forms – from Likert-scale surveys to participatory open-ended responses to observation rubrics to performance-based games – that shape the purposes for which the resulting data can be used.
4 Fernald et al., "Toolkit for Measuring Early Childhood Development in Low- and Middle-Income Countries."
relevant for policymakers. The resulting data are then commonly analyzed to identify and compare across groups the percentage of children, classrooms, or schools that are meeting goals—what is known as an indicator—and to make decisions about how to allocate resources to better support the attainment of such goals
TIES/NYU and the IRC are currently developing, adapting, and testing measurement tools first and foremost to assess the impact of education programming on children's learning and development through experimental or quasi-experimental research designs, and to monitor and improve the quality of program implementation (Purpose 4, above). We will also use this information to contribute to scientific knowledge about how children develop within different cultural contexts (Purpose 5, above). These purposes then have several implications for how our research-practice partnership designs, adapts, and implements measurement tools, and analyzes the resulting data:
* Design. To capture the extent to which programs are impacting children's holistic learning and development, both our CHILD and PIQ measures tend to be more fine-grained and detailed than most population-level measures.
* Analysis. Our analysis to date of CHILD and PIQ measures has focused on examining the reliability, the validity, the sensitivity to change, and the comparability of scores resulting from the measurement tools. 5 Given the lack of availability of a population-sampling frame, we have not established benchmarks and corresponding indicators for these measurement tools.
* Implementation. Given such detail—which can increase the complexity and cost of assessment—our CHILD measures are currently designed to be collected by trained external enumerators. Our PIQ tools, however, can be collected by program staff and teachers in crisis contexts as part of routine monitoring activities.
What are we measuring?
The IRC designs and implements education programming for children in crisis contexts that focuses on social-emotional learning (SEL; see text box below). Our CHILD measurement tools were selected in accordance with the programs' theories of change to assess the range of social-emotional, cognitive, and academic competencies that the programs are hypothesized to improve. 6 Our PIQ tools are designed to assess exposure (how much of the programs was delivered), fidelity (the degree to which the program was delivered as intended) and participation (how engaged participants were).
5 Tubbs Dolan, "The Strengths and Difficulties of the Strengths and Difficulties Questionnaire: Cross-National Measurement of Children's Social-Emotional Well-Being in Crisis-Affected Contexts"; Tubbs Dolan, "Improving the Quality of Education in the Syrian Refugee Response Region: Insights from Implementation Science"; Godfrey et al., "Cross-National Measurement of School Learning Environments"; Seidman et al., "Assessment of Pedagogical Practices and Processes in Low- and Middle Income Countries: Findings from Secondary School Classrooms in Uganda"; Wolf, Halpin, and Yoshikawa, "Evaluating the Factor Structure and Invariance of the International Development and Learning Assessment (IDELA) across Five Countries."
6 Aber et al., "Promoting Children's Learning and Development in Conflict-Affected Countries"; Aber et al., "Impacts After One Year of 'Healing Classroom' on Children's Reading and Math Skills in DRC"; Torrente et al., "Improving the Quality of School Interactions and Student Wellbeing"; Education in Emergencies: Evidence for Action, "IRC Healing Classrooms Retention Support Programming Improves Syrian Refugee Learning in Lebanon."
What are social-emotional competencies?
Social-emotional competencies are the skills, attitudes, knowledge, and behaviors that help children effectively and positively manage daily responsibilities and challenges. Also referred to as non-cognitive skills, life skills or 21 st century skills, social-emotional competencies fall along three inter-related and dynamic domains of child development: 7
* Emotional processes: for example, emotion recognition and regulation, empathy, and perspective taking
* Cognitive processes: for example, identification of the connection between actions and consequences, identifications of alternative ways to solve conflicts, working memory, inhibiting inappropriate responses, attention control, and higher-level executive functioning skills
* Social and interpersonal processes: for example, interpreting others' behavior, communicating clearly, respecting others
Caregivers, teachers, communities, and policies in cultures around the world focus on ensuring what we here term children's "social-emotional competencies", but what they may describe as "citizenship competencies" or "moral education." 8 As noted above, however, local norms define the extent to which specific behaviors, values, and attitudes are desirable and appropriate, as well as expectations about how and where social-emotional competencies are learned. Information about children's social-emotional skills and the settings that shape them, then, should be collected using assessments that reflect local priorities and that capture local understandings and manifestations of social-emotional skills and practices.
How are we ensuring measurement tools accurately measure children's holistic learning and development and program implementation quality within cultural contexts?
When collecting CHILD and PIQ data in a context in which there are limited validated measurement tools available, stakeholders have a choice between adapting an existing measure or creating a new measure. If the former, there exists a spectrum of adaptation procedures to reduce systematic bias due to cultural practices and understandings: (1) adoption, in which a test is directly translated and used in a new context; (2) adaptation, in which test items and procedures are adapted for local understanding and norms; and (3) assembly, in which the degree of modification and/or pooling items and procedures from multiple sources results in a new measure. Creating a new measure, in which the content and method of administration are specifically designed and tailored to the local context, often results in the most contextually valid measure; however, it is more time- and resource- intensive and can limit comparability of data across contexts.
7 Jones and Bouffard, "Social and Emotional Learning in Schools."
8 Torrente, Alimchandani, and Aber, "International Perspectives on Social and Emotional Learning," 2015.
In 3EA to date, our CHILD assessments are adapted or assembled from existing measurement tools (see attached for a table of the assessments and their original authors). In doing so, we have followed recommended procedures for the adaptation and assembly process, including: 9
1. Translation of assessment tools and instructions, and corrections of the translated version
2. Reviewing the measure content and administration procedures for appropriateness with local field staff and community members
3. Cognitive pre-tests, pilot testing and analysis
4. Iterative revisions based on pilot and baseline results
Our PIQ tools to date are both adaptations of existing measures as well as new measures created by local and global IRC staff. In collaboration with TIES/NYU, these tools are currently undergoing a similar process of iterative adaptation and testing.
Where are we testing CHILD and PIQ measurement tools?
As described in the attached tables, TIES/NYU and the IRC are currently collaborating on testing CHILD and PIQ measurement tools:
* In Lebanon, with ~3,700 Syrian refugee children ages 5 – 15 enrolled in IRC non-formal tutoring programs in Bekaa and Akkar; and
* In Niger, with ~2,000 Nigerian refugee children, Nigerien internally displaced children, and Nigerien local children ages 5 – 15 enrolled in IRC non-formal tutoring programs in the Diffa region
Our collaborative measure development work in these two countries is conducted in the context of randomized control trials (RCTs) evaluating the impact of adding targeted SEL strategies (school year 2016-2017 in Lebanon and Niger; school year 2017-2018 in Niger) and explicit SEL instruction (school year 2017-2018 in Lebanon) to non-formal after-school programs intended to support children's retention in formal school systems. We are also conducting a mixed methods study of the PIQ tools with teachers in the Bo region of Sierra Leone.
The IRC is additionally working:
* In Nigeria, to test this suite of CHILD and PIQ tools in the context of two RCTs in the regions of Yobe and Borno. The first RCT is conducted with 80 teachers and 2,880 children, ages 9-14, to evaluate the effect of different models of professional development for teachers implementing an accelerated learning program in non-formal learning centers. The second RCT is being conducted to evaluate the effect of a tutoring intervention on students' academic and SEL outcomes with 2,373 children in formal schools.
* In the Kurdish Republic of Iraq, to develop and test new PIQ tools to assess the implementation of different components of their teacher professional development program.
9 Fernald et al., "Toolkit for Measuring Early Childhood Development in Low- and Middle-Income Countries."
Part 2: Sharing principles
We are committed to ensuring our adaptations of measurement tools are open source. We are also committed to providing potential users with the information – the evidence of reliability, validity, comparability, and sensitivity to change (see Part 3, below) – that is necessary for the appropriate selection and use of measurement tools. Until that analysis is complete in mid-2019, we ask parties interested in using our versions of the measurement tools to adhere to the following principles:
* Alert us of your interest in using the tools. We are happy to share versions of the tools on a one-on-one basis and to orient potential users to the measures and what we have learned to date about their psychometric properties.
* Let us know if others are interested in these tools. We ask at this point that you do not forward the adapted tools beyond your own team; rather, that you put us in touch directly with any interested parties.
* Share any further adaptations of our tools and information about where and how the data was collected. This will help us to track the conditions under which the measure has been used, ultimately creating an evidence base for tool use.
* Cite the tools according to their original and adapted versions. We provide tables below with these suggested citations.
Part 3: What criteria are we using to evaluate our measurement tools?
Under the best of circumstances, establishing the psychometric properties of a measurement tool—its reliability, validity, comparability and sensitivity to change— while also ensuring its feasibility of use requires negotiation between scientific rigor and the realities of the context in which the measure is being used. These terms are defined below drawing primarily on conceptualizations of these criteria provided in the Standards for Educational and Psychological Assessment. 10 We also include a discussion of common challenges to meeting these criteria – and the implications for researchers, practitioners, and policy makers for not meeting these criteria - in crisis contexts.
Reliability
Most generally, reliability refers to the extent to which scores on an assessment tool are consistent, coherent, and precise: Do the different items within each assessment provide a consistent picture of a students' ability or do the scores vary significantly from items to item? (inter-item reliability); if different people use the same test to rate someone's ability, will they provide the same or very different scores? (Interrater reliability). And if an assessment is given over and over again, to what degree do the scores vary across each administration? (Test-retest reliability). Assessment tools should present consistent and coherent pictures of the underlying construct that the aim to capture, but there are many sources of measurement error that can result in inconsistencies. At the child level, when students take a test on different days, scores may randomly fluctuate based on interest, attention, fatigue: for
10 American Educational Research Association, American Psychological Association, and National Council on Measurement in Education, Standards for Educational and Psychological Testing.
example, a student may score lower on a test on a day where she didn't eat breakfast, but score higher after a nutritious meal. At the inter-individual level, scores may randomly vary based on the testing conditions or on the subjectivity of the rater: one classroom observer may rate the teacher as implementing a practice well, while another rater may score the teacher as implementing the practice poorly. As another example, a child may struggle with a memory test in a tent classroom that is overcrowded, but perform better in his own home.
In turn, the amount of measurement error determines the utility of the scores on the assessment. Researchers, for example, have difficulty detecting the impact of a program if the outcome is measured with a high degree of error. Practitioners and policymakers cannot trust that the data accurately assesses children's learning and well-being, preventing informed decision-making and quality improvement.
Statistics to Provide Evidence on Reliability
* Cronbach's alpha is a widely used metric to assess how well items "hang together", or the internal consistency, of a tool
* Kappa, intraclass, and G coefficients can be used to quantify the degree of or variation in agreement among observers.
* Standard error of measurement (SEM) is an item response theory (IRT)-based metric of the precision of a score.
Validity
Validity refers to the extent to which evidence and theory support the interpretation of scores on an assessment for a specific use: Does the tool measure what it is supposed to measure? There are many types of evidence that can be used to support such interpretations, including evidence of: (1) the test content; (b) the internal structure of the assessment; (c) relationships to other variables; and (d) of the generalizability of the assessment.
In crisis contexts, researchers and practitioners commonly use measurement tools developed for use in WEIRD contexts with little adaptation, raising critical concerns over whether the content of the WEIRD assessment is generalizable: Does it still capture the construct in a different context? For example, if emotional distress in a certain crisis-affected context primarily manifests via somatic symptoms, but the assessment used to measure emotional distress includes questions about psychological symptoms only, evidence about the test content suggests that scores on the assessment are not valid reflections of emotional distress in this context. In turn, this evidence limits researchers' ability to make inferences about whether a certain program impacts emotional distress.
If, however, the scores on the assessment correlate with functional impairment, such "test-criterion" evidence suggests that assessment scores may be able to provide some information – depending on the accuracy of the prediction – about who is having trouble carrying out daily responsibilities. This evidence indicates that practitioners may be able to validly use these scores to screen for participants for a psychosocial life skills program. Given that the validity of the interpretation of the
assessment score depends on the intended use of the assessment, tool developers and users must be clear from the outset about the purpose of the assessment.
Other threats to the valid interpretation of scores on an assessment include systematic factors not related to the construct the assessment is intended to assess. For example, a reading comprehension test administered in a crisis context may contain unfamiliar content (e.g., references to foods or animals not commonly found in that contexts), items that are too hard for the student, or poorly translated words, introducing systematic bias into scores that limit the validity of inferences about scores. In turn, being able to make valid inferences about scores is critical: Otherwise, researchers cannot discern whether programs have meaningful impacts, while practitioners and policymakers cannot trust that the data provides a relevant picture of students' learning and well-being, preventing informed decision-making and quality improvement. Moreover, should stakeholders persist in making such inferences, communities may feel unheard and become disinvested in research and programs.
Methods to Provide Evidence on Validity
* Factor analysis is a statistical technique that can be used to provide evidence that the items on the tool are measuring what they are supposed to measure. It allows one to examine the relationship between observed items or indicators and a smaller number of unobserved latent constructs or factors that are hypothesized to underlie the associations between items.
* Descriptive, correlational analyses can be used to provide evidence of the extent to which:
o Two measurement tools that assess skills that should be related, are in fact related (convergent validity)
o A measurement tool predicts a hypothesized outcome at a future time (predictive validity)
o A measurement tool predicts a hypothesized outcome at the same time point (concurrent validity)
* Review process by a pool of experts can be used to provide evidence of the extent to which the content of a measurement tool -- the themes, dimensions, wording, and format of the items or questions on the tool -- represents the construct it is intended to measure.
Comparability
Comparability refers to the extent to which scores on an assessment can be meaningfully compared across different groups within a context, or across different contexts. There are many factors that may limit the ability to make meaningful comparisons. For example, certain items in an assessment of emotional expression may function differently for girls as opposed to boys, depending on cultural norms around expressing and reporting emotions. As discussed above, too, the construct being assessed may not have the same meaning in different contexts: Emotional distress may mean, and be experienced, quite differently in WEIRD contexts than among former child soldiers in Uganda, for example. Scores on an assessment that does not have evidence of its measurement equivalence – whether a measure is
interpreted and responded to in the same way across two groups – should not be used to make comparisons about levels of emotional distress across contexts. This presents challenges for organizations working in multiple crisis contexts who wish to compare the impact of their programming across contexts, as well as for donors and policymakers who wish to understand how teachers and students in their programs are faring comparatively.
Methods to Provide Evidence on Comparability
* Measurement invariance techniques can be used to provide evidence of the extent to which scores on assessments can be compared across contexts.
* Small-sample qualitative studies or professional judgements can be used to provide explanations of responses to the measurement tool.
Feasibility
Feasibility is not a psychometric criterion, per se, but it is an important functional criterion: Can a measure be successfully administered with limited time, resources, and expertise? Measures that are complex, long, and/or require high levels of technical expertise may require significant human, economic, and physical resources that are not commonly available in crisis contexts. The resulting data may be poor quality, with large amounts of missing data, incorrect scoring, and lacking unique identifying information that allows it be linked to parents', teachers', or peers' data. In turn, this may limit the reliability and validity of scores – and the ability to empirically test the reliability and validity of the scores – while also creating frustration with the data collection process.
For more information, please contact:
Carly Tubbs Dolan 3EA Director of Measurement and Metrics, TIES/NYU email@example.com
Silvia Diazgranados Ferrans Senior Research Advisor, Education, IRC firstname.lastname@example.org
3EA TIES/NYU-IRC DOMAIN, CONSTRUCT, MEASURE, AND LOCATION OF DATA COLLECTION MAP
Sierra
| Domain | Construct | Measure | 2016- 2017 | 2017- 2018 | 2016- 2017 | 2017- 2018 | 2017- 2018 | 2011- 2014 | 2017- 2018 | 2015- 2018 |
|---|---|---|---|---|---|---|---|---|---|---|
| Academic outcomes | Literacy skills | Annual Status of Education Report | x | x | x | x | | | x | |
| | | Early Grade Reading Assessment | x | x | x | x | x | x | x | x |
| | Numeracy skills | Annual Status of Education Report | x | x | x | x | | | x | |
| | | Early Grade Math Assessment | x | | x | x | | x | x | |
| Social- emotional well-being and outcomes | Internalizing symptoms | Strengths and Difficulties Questionnaire | x | | x | | | x | x | |
| | | Moods and Feelings Questionnaire | x | x | x | x | | | x | |
| | Externalizing behavior | Strengths and Difficulties Questionnaire | x | | x | | | x | x | |
| | Pro-social/ communication skills | Social Competence Scale | | x | | x | | | x | |
| | Classroom social-emotional behaviors | Teacher Observation of Classroom Adaptation | | | | x | x | | x | |
| | Aggression | Children’s Stories | x | x | x | x | | | x | |
| Social processes | Hostile attribution bias (cognitive information processing) | Children’s Stories | x | x | x | x | | | x | |
| | Conflict resolution | Children’s Stories | | x | | x | | | x | |
| | Social perspective -taking | ACES | | x | | | | | x | |
| Emotion processes | Anger dysregulation | Children’s Stories | x | x | x | x | | | x | |
| | Sadness dysregulation | Children’s Stories | x | x | x | x | | | x | |
| | Emotion awareness | PANAS-C/P | | x | | | | | | |
| | Emotion expression | ANAS C/ P+WHO-5 | | x | | x | | | | |
| | Emotion cue-reading | ACES | | x | | | | | | |
Kurdish
| | | | Lebanon | | Niger | | Sierra Leone | DRC | Nigeria | Pakistan |
|---|---|---|---|---|---|---|---|---|---|---|
| Domain | Construct | Measure | 2016- 2017 | 2017- 2018 | 2016- 2017 | 2017- 2018 | 2017- 2018 | 2011- 2014 | 2017- 2018 | 2015- 2018 |
| Cognitive processes | Working memory | Rapid Assessment of Cognitive and Emotional Regulation | x | x | x | x | | | | |
| | | Brain Games Executive Functioning Questionnaire | x | x | x | x | | | | |
| | Inhibitory control | Rapid Assessment of Cognitive and Emotional Regulation | x | x | x | x | | | | |
| | | PSRA - Assessor Report | x | x | x | x | | | | |
| | Attention/ inattention | Rapid Assessment of Cognitive and Emotional Regulation (Attention Shifting/ Switching) | x | x | x | x | | | | |
| | | Brain Games Executive Functioning Questionnaire | x | x | x | x | | | | |
| | | PSRA - Assessor Report | x | x | x | x | | | x | |
| Stress response | Perceived School-related Stress | Response to Stress Questionnaire | x | | | | | | | |
| | Stress reactivity | Response to Stress Questionnaire | x | | | | | | | |
| Classroom processes | Classroom climate | Child Friendly Schools Questionnaire | x | | | | | x | | |
| | Classroom implementation quality | Teacher Classroom Observation Tool | x | x | x | x | x | x | x | x |
MEASURES CITATIONS
| Measure Name | Acronym | Type of Measure | Adopted, Adapted, Assembled, or Bespoke? | Original Citation(s) | Adapted/Other Citation(s) |
|---|---|---|---|---|---|
| Annual Status of Education Report | ASER | Direct assessment | Adapted | Banerji, R., Bhattacharjea, S., & Wadhwa, W. (2013). The Annual Status of Education Report (ASER). Research in Comparative and International Education, 8(3), 387–396. https://doi.org/10.2304/ rcie.2013.8.3.387 | |
| Early Grade Reading Assessment | EGRA | Direct assessment | Adapted | Gove, A., & Wetterberg, A. (2011). The Early Grade Reading Assessment: Applications and interventions to improve basic literacy. RTI International. Retrieved from https://eric.ed.gov /?id=ED531301 | Halpin, P. F., & Torrente, C. (2014). Measuring critical education processes and outcomes: Illustration from a cluster randomized trial in the Democratic Republic of the Congo. Society for Research on Educational Efef ctiveness. Retrieved from https://eric.ed.gov/?id=ED562783 Kim, H. Y. et al. (2018). EGRA: Evidence on validity and reliability in Niger and Lebanon. Unpublished technical report. New York, NY: New York University Global TIES for Children. |
| Early Grade Math Assessment | EGMA | Direct assessment | Adapted | Gove, A., & Wetterberg, A. (2011). The Early Grade Math Assessment: Applications and Interventions to improve basic numeracy. RTI International. Retrieved from https://eric. ed.gov/?id=ED531301 | Kim, H. Y. et al. (2018). EGMA: Evidence on validity and reliability in Niger and Lebanon. Unpublished technical report. New York, NY: New York University Global TIES for Children. |
| Strengths and Difficulties Questionnaire | SDQ | Teacher report/ self-report | Adopted with translation | Goodman, R. (1997). The Strengths and Difficulties Questionnaire: A research note. Journal of Child Psychology and Psychiatry, 38(5), 581-586. | Tubbs Dolan, C. (2017). The strengths and difficulties of the Strengths and Difficulties Questionnaire: Cross-national measurement of children’s social-emotional well-being in crisis-afef cted contexts (Doctoral dissertation). New York University, New York, NY. Diazgranados, S.; Sandoval, A & Carrasco, D (2017). Evidence of Validity and Reliability of 6 Measures of Socio-Emotional Development in Nigeria. Unpublished technical report. |
| Measure Name | Acronym | Type of Measure | Adopted, Adapted, Assembled, or Bespoke? | Original Citation(s) |
|---|---|---|---|---|
| Moods and Feelings Questionnaire | MFQ | Self-report | Adapted | Messer, S. C., Angold, A., Costello, E. J., & Loeber, R. (1995). Development of a short questionnaire for use in epidemiological studies of depression in children and adolescents: Factor composition and structure across development. International Journal of Methods in Psychiatric Research, 5(4), 237-249 |
| Social Competence Scale | SCS | Teacher report | Adapted | Kendall, P. C., & Wilcox, L. E. (1979). Self-control in children: Development of a rating scale. Journal of Consulting and Clinical Psychology, 47(6), 1020. Rabiner, D.L., Godwin J., Dodge, K.A. (2016). Predicting academic achievement and attainment: The contribution of early academic skills, attention difficulties, and social competence. School Psychology Review. 45(2) 250-267 |
| Teacher Observation of Classroom Adaptation | TOCA-C | Teacher report | Adapted | Kellam, S.G., Branch, J.D., Agrawal, K.C., & Ensminger, M.E. (1975). Mental health and going to school: The Woodlawn Program of assessment, early intervention, and evaluation. Chicago: University of Chicago Press. Koth, C. W., Bradshaw, C. P., & Leaf, P. J. (2009). Teacher observation of classroom adaptation—checklist: Development and factor structure. Measurement and Evaluation in Counseling and Development, 42(1), 15-30. |
,
| Measure Name | Acronym | Type of Measure | Adopted, Adapted, Assembled, or Bespoke? | Original Citation(s) |
|---|---|---|---|---|
| Children's Stories | | Scenario -based report | Adapted and assembled | Dodge, K. A., Price, J. M., Bachorowski, J. A., & Newman, J. P. (1990). Hostile attributional biases in severely aggressive adolescents. Journal of Abnormal Psychology, 99(4), 385. |
| ACES | ACES | Scenario -based report | Adapted | Schultz, D., Izard, C. E., & Bear, G. (2004). Children’s emotion processing: Relations to emotionality and aggression.Development and Psychopathology, 16(2), 371-387. |
| Positive and Negative Afef ct Scale + WHO-5 | PANAS | Self-report | Assembled | Watson, D., Clark, L. A., & Tellegen, A. (1988). Development and validation of brief measures of positive and negative afef ct: the PANAS scales. Journal of Personality and Social Psychology, 54(6), 1063. |
| Rapid Assessment of Cognitive and Emotional Regulation | RACER | Direct assessment | Bespoke by collaborator | Hamoudi, A., & Sheridan, M. (2015). Unpacking the black box of cognitive ability: A novel tool for assessment in a population-based survey. Retrieved from http://thew. web.unc.edu/files/2013/08/ hamoudi.pdf |
| Measure Name | Acronym | Type of Measure | Adopted, Adapted, Assembled, or Bespoke? | Original Citation(s) |
|---|---|---|---|---|
| Brain Games Executive Functioning Questionnaire | | Teacher report | Bespoke by collaborator | Jones, S.M., Bailey, R., and Barnes, S. (2015). Classroom Executive Function Survey (CEFS): A measure of executive function and self-regulation skills in everyday classroom behavior. Cambridge, MA: Harvard University. |
| Pre-school Self Regulation Assessment | PSRA | Assessor report | Adapted | Smith-Donald, Raver, Hayes, & Richardson. (2007). Preliminary construct and concurrent validity of the Preschool Self-regulation Assessment (PSRA) for field-based research. Early Childhood Research Quarterly, 22(2), 173-187. |
| Response to Stress Questionnaire | RSQ | Self-report | Adapted | Connor-Smith, J. K., Compas, B. E., Wadsworth, M. E., Thomsen, A. H., & Saltzman, H. (2000). Responses to stress in adolescence: measurement of coping and involuntary stress responses. Journal of Consulting and Clinical Psychology, 68(6), 976. |
| Child Friendly Schools Questionnaire | CFS | Self-report | Adapted | Osher, D., Kelly, D. L., Tolani-Brown, N., Shors, L., & Chen, C. S. (2009). UNICEF child friendly schools programming: Global evaluation final report. Washington, DC: American Institutes for Research. |
| Teacher Classroom Observation | TCO | Observation | Bespoke | Tubbs Dolan, C. (2017). Improving the quality of education in the Syrian Refugee Response Region: Insights from implementation science (Doctoral dissertation). New York University, New York, NY. |
COVER PHOTO: PETER BIRO/IRC
|
Economics and Business Review
Volume 1 (15) Number 2 2015
CONTENTS
ARTICLES
A perspective on leading and managing organizational change
Stanley J. Smits, Dawn E. Bowden
Alternative confi gurations of fi rm-level employment systems: evidence from American companies
Bruce E. Kaufman, Benjamin I. Miller
How team leaders can improve virtual team collaboration through trust and ICT: A conceptual model proposition
David Kauff mann
International trade in diff erentiated goods, fi nancial crisis and the gravity equation Udo Broll, Julia Jauer
Tax revenues and aging in ex-communist EU countries
Mihai Mutascu, Maciej Cieślukowski
T e analytics of the New Keynesian 3-equation Model
Jean-Christophe Poutineau, Karolina Sobczak, Gauthier Vermandel
Investments and long-term real interest rate in Poland. Study of investment structure, current account and their correlation with long-term real interest rates
Jakub Krawczyk, Szymon Filipczak
BOOK REVIEWS
Paweł Marszałek, Systemy pieniężne wolnej bankowości. Koncepcje cechy, zastosowanie [Free Banking Monetary Systems. Concepts, Characteristics, Application], Wydawnictwo Uniwersytetu Ekonomicznego w Poznaniu, Poznań 2014 (Bogusław Pietrzak)
Ewa Mińska-Struzik, Od eksportu do innowacji. Uczenie się przez eksport polskich przedsiębiorców [From Export to Innovation – Learning by Exporting in Polish Enterprises], Difi n, Warszawa 2014 (Jan Rymarczyk)
Editorial Board
Ryszard Barczyk Witold Jurek Cezary Kochalski Tadeusz Kowalski (Editor-in-Chief) Henryk Mruk Ida Musiałkowska Jerzy Schroeder Jacek Wallusch Maciej Żukowski
International Editorial Advisory Board
Udo Broll– School of International Studies (ZIS), Technische Universität, Dresden
Binam Ghimire
Wojciech Florkowski – University of Georgia, Griffi n
Christopher J. Green – Loughborough University
– Northumbria University, Newcastle upon Tyne
John Hogan– Georgia State University, Atlanta
Steve Letza
Bruce E. Kaufman – Georgia State University, Atlanta
Victor Murinde – University of Birmingham
– Corporate Governance Business School Bournemouth University
Hugh Scullion– National University of Ireland, Galway
Richard Sweeney – T e McDonough School of Business, Georgetown University, Washington D.C.
Yochanan Shachmurove– T e City College, City University of New York
T omas Taylor– School of Business and Accountancy, Wake Forest University, Winston-Salem
Jan Winiecki– University of Information Technology and Management in Rzeszów
Clas Wihlborg– Argyros School of Business and Economics, Chapman University, Orange
Habte G. Woldu– School of Management, T e University of Texas at Dallas
T ematic Editors
Economics: Ryszard Barczyk, Tadeusz Kowalski, Ida Musiałkowska, Jacek Wallusch, Maciej Żukowski • Econometrics: Witold Jurek, Jacek Wallusch • Finance: Witold Jurek, Cezary Kochalski • Management and Marketing: Henryk Mruk, Cezary Kochalski, Ida Musiałkowska, Jerzy Schroeder • Statistics: Elżbieta Gołata, Krzysztof Szwarc
Language Editor: Owen Easteal•IT Editor: Piotr Stolarski
© Copyright by Poznań University of Economics, Poznań 2015
Paper based publication
ISSN 2392-1641
POZNAŃ UNIVERSITY OF ECONOMICS PRESS ul. Powstańców Wielkopolskich 16, 61-895 Poznań, Poland phone +48 61 854 31 54, +48 61 854 31 55, fax +48 61 854 31 59 www.wydawnictwo-ue.pl, e-mail: email@example.com postal address: al. Niepodległości 10, 61-875 Poznań, Poland
Printed and bound in Poland by:
Poznań University of Economics Print Shop
Circulation: 300 copies
BOOK REVIEWS
Paweł Marszałek, Systemy pieniężne wolnej bankowości. Koncepcje cechy, zastoso wanie [Free Banking Monetary Systems. Concepts, Characteristics, Application], Wydawnictwo Uniwersytetu Ekonomicznego w Poznaniu, Poznań 2014: 342, ISBN 978-83-7417-827-3
The monograph by P. Marszałek is an ex tensive study of the topic. The analysis de voted to evolution of monetary systems, with particular reference to free banking monetary systems, undoubtedly demon strates a complex, multi-aspect, profound and critical, scientific approach, It will be extremely valuable for both financial the ory and practice.
shape it, as well as the classification of different monetary systems throughout history. It also presents the premises and stages of transition to monetary systems of fiduciary money. From this the reader will receive a clear picture of the essence, structure and changes that the monetary systems have undergone as well as the impact of various factors and process es upon monetary systems which have shaped their form and development.
The monograph is divided into two parts. Chapters 1–3 are a systematic over view of historical issues and problems, combining a well-balanced approach to both theoretical and empirical aspects. Chapters 4–6 are devoted to the specif ic concepts of free banking perceived by the author as an alternative to the present institutional arrangements. The reader can readily follow the theoretical devel opment, the events, the nature and the processes and future trends in monetary practice.
The main objective of the author is an in-depth study of the „characteristics of contemporary concepts of free banking and an assessment of the possibility for their possible practical application". The hypothesis is explored as to whether "free banking systems are not an alternative to central banking systems".
The contents of the first chapter are a collection of determinants characteris ing a monetary system and factors which
The second chapter deals with the au thor's assertion that "it is necessary to set in order and expand on the theoret ical issues, merely indicated so far… it is necessary to determine what concepts constitute the theoretical background for the functioning of contemporary mone tary systems… It has become even more necessary because the transition to the systems based upon independent money was accompanied by significant shifts of values in the theory of macroeconomics and economic policy". The focus is on the concepts of K. Wicksell and J.M. Keynes, which the author regards as foundations of the theory of contemporary money. He also presents the evolution of the ap proach to money and monetary policy in mainstream economics after 1970 and the basics of the so-called "New Neoclassical Synthesis".
This part examines the implications of the New Neoclassical Synthesis for the functioning of monetary systems and for the shaping of the "New Consensus" in the implementation of monetary policy. The findings, based on the analysis of the elements of this consensus (amongst oth ers, inflation targeting, relations between price stability and financial stability) and the conclusions he formulates in respect of the "New Consensus Monetary Policy", create a systematic picture of new prob lems which emerged in the course of the evolution of monetary systems.
The final part of this chapter is devot ed to criticism of the theoretical bases on the functioning of contemporary mone tary systems. These concern not only the current state of affairs but also constitute relevant reasons for the subsequent reflec tions. These conclusions led the author to devote the subsequent three chapters to the issues concerning „features, construc tion and principles of the functioning of modern free banking concepts and – to the assessment of the possibilities of their practical application".
The author acknowledges that the list of issues which would then facilitate the analysis of modern free banking is incom plete, so he devotes a subsequent chapter to selected conditions for the functioning of contemporary monetary systems (and their consequences), such as the globali zation of financial activities, changes in banks' activities, financialization, changes in the forms and modes of using money and, as a result of other phenomena – the so-called monetary disorder, being the main consequence of changing circum stances. The author and the literature cited give valuable insights into factors of a glob al character and the microeconomic fac tors relating to the functioning of banks.
The next three chapters deal with one of the three variants of modern free bank ing: Selgin-White's and Rothbard-Mises' models, Friedrich Hayek's denationali zation of money and the New Monetary Economics enabling a comparison of the concepts presented.
The final part of the monograph is de voted to an overall analysis of the research procedures which verify the hypothesis that individual modern free banking sys tems, although cohesive in their structure, are not an alternative to central banking systems. The author states clearly that "re structuring of monetary systems on the basis of free banking concepts would not be the best solution, even if it were possi ble due to political reasons". He also points at theories of heterodox economists, par ticularly the concepts formulated by the Post-Keynesian School and so-called New Economic Sociology, as more suitable for analysis of changes in the contemporary monetary systems.
The monograph enriches the list of supportive arguments for the hypothesis. The author shows great caution in his con clusions which closely correspond with the results found in related literature.
The monograph by P. Marszałek is characterized by a high substantive and methodological level of approach, the wide use of related literature and consid eration of scientific trends, theories and concepts, taking other opinions into ac count, yet clearly stating his own position in seeking to verify the hypothesis. The monograph is a significant contribution to monetary theory and practice, especially with reference to banking.
Bogusław Pietrzak Warsaw School of Economics Collegium of Socio-Economics
Ewa Mińska-Struzik, Od eksportu do innowacji. Uczenie się przez eksport pols kich przedsiębiorców [From Export to Innovation – Learning by Exporting in Polish Enterprises], Difin, Warszawa 2014: 284, ISBN 978-83-7930-361-8
The fundamental factor of growth at the present stage of the globalization of the world economy (semi-globalization) is scientific-technological progress and, within its frameworks, innovation. On the basis of crucial inventions modern branches of industry and services were developed and their share in the econo my of a given country, including exports, improves its competitiveness and welfare. Awareness of this is widespread but the possibility of implementing the concept of a "knowledge-based economy" encounters huge barriers from various sources. This concerns not only developing countries in particular, but also many well developed countries, which is proved, e.g. by a fail ure in the implementation of the European Union's Lisbon Strategy. These problems are particularly acute in Poland's economy which, due to its exceptional weakness in the sphere of innovative development, is threatened by a fall into the middle-in come growth trap, thus ruining its chance to catch up with the highly developed EU countries. Poland as is described by the au thor of the monograph reviewed has a dis tant position in the rankings of innovation and its position in Europe is one of the last. Due to this fact one should welcome re search works whose aim is to explain the conditions, state, and above all, ways to solve these key problems for Poland. The monograph reviewed conforms to this sci entific trend and I regard the choice of its subject matter as relevant and useful, not only for scientific but also for practical rea sons. It offers valuable recommendations concerning the sphere of innovativeness for both politicians and entrepreneurs.
The monograph itself is of an inno vative character as regards the subject of research in the Polish literature. There are many publications about importing as a channel of innovation transfer, but exporting still awaits proper research and publications. Meanwhile studies on the mechanism and consequences of learn ing by exporting (LBE) have dynamical ly developed abroad for over two dec ades. The author has made an attempt to bridge the existing research gap. She gives a positive answer to the question as to whether LBE effects occur in Polish en terprises but nonetheless this confirma tion is limited by a number of additional conditions. Her findings mainly concern a fairly narrow group of high‑tech en terprises. Although this is an important group, the symptoms of learning by ex porting observed cannot be simply gen eralized to cover all of Poland's indus trial enterprises. Since the phenomenon studied is complex, difficult to grasp and separate from other relationships, there is a probability that the results of poten tial subsequent studies may be different. Therefore the subtitle of the book may also be too broad.
Despite these limitations, the book is quite interesting from the methodological point of view. The main goal of the work which is (p. 12) showing conditions and implications of learning by exporting and the verification of its occurrence in Polish manufacturing industry, with special refer ence to high-tech enterprises was clearly for mulated. Apart from this the author con structed a series of relevant research steps which should be treated as auxiliary aims.
The fundamental thesis of the work is as follows (p. 13): learning by exporting is not an automatic process. It is determined by a bundle of factors in each enterprise and its meso- and macroeconomic environment, so it is impossible to predetermine the final learning results in the form of the imple mentation of innovation and productivity growth. Moreover three hypotheses were formulated, namely:
–– H2: conducting export in certain de fined conditions stimulates high tech en terprises to implement innovation and increase productivity;
–– H1: between enterprises at different lev els of technological advancement there exist differences as regards the signifi cance of exporting in the process of im plementing innovation;
–– H3: learning begins along with the start of interaction with the foreign market entities.
To determine the significance of export ing for innovative activities of enterprises with a different degree of technological advancement an econometric study was carried out using individual data from the Central Statistical Office (CIS 2008), com prising about 8.5 thousand manufacturing enterprises and the model of logistic regres sion. This stage of the research procedure showed that exporting stimulates imple mentation of innovation (above all product innovation) in all groups of enterprises but the strongest relation between the variables appeared in high-tech entities.
The author divided the procedure she devised into three stages and each one of them was used to verify one of the previ ously formulated hypotheses. Doing this, she used a system of combined research methods (triangulation), due to the com plexity and unclear nature of learning by exporting.
The second hypothesis was verified by the author's nation-wide survey where the results were interpreted using methods of descriptive statistics, inductive statistics and independence analysis. On the basis of interviews conducted at the beginning of 2012 with competent representatives of 200 high-tech enterprises the author confirmed the existence of a link between exporting and innovation of a non-deter minist nature and she showed which con ditions stimulate LBE in this group.
The construction of the book is logical and subordinated to the main objective. In accordance with general methodologi cal principles the author passes from gen eral and theoretical problems to detailed issues based upon empirical studies. The monograph consists of introduction, five chapters, concluding remarks, bibliogra phy, and a list of tables and figures. The first chapter „International trade as a source of innovation" ends with an original concep tualization of the notion of "learning by ex porting". "A theoretical basis of learning by
The third hypothesis was verified at the final stage and was based on a mul tiple case study of enterprises preparing themselves for starting exporting. For this purpose the author designated seven firms for participation in the study and she ob served them for nearly two years after the survey was completed. She used such research techniques as partly structured in-depth interviews, non-participant ob servation, analysis of documentation and the contents of the websites of the enter prises' investigated. The author returned many times to the persons she had inter viewed in order to supplement informa tion and determine more precisely the interdependencies she had assumed. The collected material did not confirm the third hypothesis, so she came to a conclu sion that in itself the commencement of interaction with foreign markets is not suf ficient to initiate the mechanism of learn ing by exporting.
exporting", which is the subject of chapter two, was extensively described, taking into account several approaches in the theory of foreign trade, the theory of economic growth, the theory of organizational learn ing and the theory of internationalization.
The final two chapters, are of a strictly empirical character. They are devoted to the presentation of studies conducted on the impact of exports upon innovative ness of Polish enterprises and the verifica tion of the previously postulated research hypotheses.
Chapter three „Learning by export ing in the light of empirical studies" con tains a critical analysis and a synthesis of the results of over ninety research works concerning the mechanism and conse quences of learning by exporting. There the author's added value consists of con structing a paradigm of learning by ex porting and devising a research plan to identify the effects of learning by export ing in Polish enterprises, with special ref erence to high-tech firms.
In chapter four entitled „The signifi cance of exporting for innovation in Polish manufacturing enterprises" the author, used the tools of descriptive statistics and regression analysis, to present the modes of behaviour of the Polish companies, tak
ing into account their branch classifica tion, the level of technological advance ment, and the division into exporters and non-exporters. Chapter five „Learning by exporting in Polish high-tech enterprises" is crucial to the whole book because it con tains the results of basic studies conduct ed by the author, i.e. surveys and multiple case studies. The aim of the surveys was to diagnose the effects of learning by export ing and the spillover of those effects into non-exporting enterprises. The multiple case studies were aimed at establishing the moment when learning by exporting was initiated.
In my opinion the reviewed mono graph is of a high scientific and cognitive value. It starts filling the gap in Polish lit erature on the relationship between ex porting and innovative activity. The author highlights an underestimated channel of innovation transfer and potential benefits of its effective exploitation stimulated by appropriate activities at both macro- (pol icy) and micro- (enterprise) levels. This is all the most important because for us in novation means „to be or not to be"!
Jan Rymarczyk Wrocław University of Economics Department of International Economics
Aims and Scope
Economics and Business Review is the successor to the Poznań University of Economics Review which was published by the Poznań University of Economics Press in 2001–2014. T e Economics and Business Review is a quarterly journal focusing on theoretical and applied research work in the fi elds of economics, management and fi nance. T e Review welcomes the submission of articles for publication dealing with micro, mezzo and macro issues. All texts are double-blind assessed by independent reviewers prior to acceptance.
Notes for Contributors
1. Articles submitted for publication in the Economics and Business Review should contain original, unpublished work not submitted for publication elsewhere.
3. T e manuscripts are to be typewritten in 12' font in A4 paper format and be lef -aligned. Pages should be numbered.
2. Manuscripts intended for publication should be written in English and edited in Word and sent to: firstname.lastname@example.org. Authors should upload two versions of their manuscript. One should be a complete text, while in the second all document information identifying the author(s) should be removed from fi les to allow them to be sent to anonymous referees.
4. T e papers submitted should have an abstract of not more than 100 words, keywords and the Journal of Economic Literature classifi cation code.
6. Footnotes should be listed consecutively throughout the text in Arabic numerals. Cross-references should refer to particular section numbers: e.g.: See Section 1.4.
5. Acknowledgements and references to grants, affi liation, postal and e-mail addresses, etc. should appear as a separate footnote to the author's name a, b, etc and should not be included in the main list of footnotes.
7. Quoted texts of more than 40 words should be separated from the main body by a four-spaced indentation of the margin as a block.
– symbols representing variables should be italicized,
8. Mathematical notations should meet the following guidelines:
– avoid symbols above letters and use acceptable alternatives (Y*) where possible,
– before submitting the fi nal manuscript, check the layout of all mathematical formulae carefully ( including alignments, centring length of fraction lines and type, size and closure of brackets, etc.),
– where mathematical formulae are set out and numbered these numbers should be placed against the right margin as... (1),
– where it would assist referees authors should provide supplementary mathematical notes on the derivation of equations.
Acemoglu, D., Robinson, J.A., 2012, Why Nations Fail. T e Origins of Power, Prosperity and Poverty, Profi le Books, London.
9. References in the text should be indicated by the author's name, date of publication and the page number where appropriate, e.g. Acemoglu and Robinson [2012], Hicks [1965a, 1965b]. References should be listed at the end of the article in the style of the following examples:
Kalecki, M., 1943, Political Aspects of Full Employment, T e Political Quarterly, vol. XIV, no. 4: 322–331. Simon, H.A., 1976, From Substantive to Procedural Rationality, in: Latsis, S.J. (ed.), Method and Appraisal in Economics, Cambridge University Press, Cambridge: 15–30.
10. Copyrights will be established in the name of the E&BR publisher, namely the Poznań University of Economics Press.
More information and advice on the suitability and formats of manuscripts can be obtained from:
al. Niepodległości 10 61-875 Poznań Poland e-mail: email@example.com www.puereview.ue.poznan.pl
Economics and Business Review
Subscription
Economics and Business Review (E&BR) is published quarterly and is the successor to the Poznań University of Economics Review. T e E&BR is published by the Poznań University of Economics Press.
E&BR is listed in ProQuest, EBSCO, and BazEkon.
Subscription rates for the print version of the E&BR: institutions: 1 year – €50.00; individuals: 1 year – €25.00. Single copies: institutions – €15.00; individuals – €10.00. T e E&BR on-line edition is free of charge.
Correspondence with regard to subscriptions should be addressed to: Księgarnia Uniwersytetu Ekonomicznego w Poznaniu, ul. Powstańców Wielkopolskich 16, 61-895 Poznań, Poland, fax: +48 61 8543147; e-mail: firstname.lastname@example.org.
Payments for subscriptions or single copies should be made in Euros to Księgarnia Uniwersytetu Ekonomicznego w Poznaniu by bank transfer to account No.: 96 1090 1476 0000 0000 4703 1245.
|
DEMOLITION DERBY
Superintendent: Brian Ulmer (618) 410-3280 • email@example.com
Saturday, August 4 - 7:00 PM
Pits Open: 4:00 PM • Entry Fee: $40 • Passenger: $25 • Pit Pass: $20
READ THESE RULES CAREFULLY!
**A LATE FEE OF $20 WILL BE CHARGED ONE HOUR PRIOR TO ADVERTISED START TIME.
* Towing and transporting of demolition derby cars to and from demo location must meet highway safety codes. Bond County Fair will not be held liable.
* All persons MUST sign an entry form, insurance waiver, release form, pay entry fees and purchase a pit pass before entering the pit area.
* Driver's Entry & Fees - Drivers must be sixteen (16) years of age or older and have a valid driver's license or photo ID. Drivers 16 & 17 must have a notarized consent form from both parents or legal guardians present and sign a minor release form.
* Entries will be accepted up to one (1) hour prior to the advertised start of the derby. All trophies and earnings must be picked up at the completion of the event or you forfeit. They will not be available at later date.
* IF IT DOES NOT SAY YOU CAN DO IT, THEN YOU CANNOT DO IT. If it is questionable, then call first.
* You must have a 12"x18" sign with your number on it. The exception is for com-pacts that must have a 12"x12" sign with number on it. THIS IS MANDATORY!
* All drivers must attend drivers meeting prior to the derby.
* DECISION OF OFFICIALS IS FINAL! SAFETY IS OUR FIRST PRIORITY!
* No harassing of the judges will be allowed at any time by drivers, passengers, crew members or spectators. Failure to abide by these rules means the driver will forfeit all money and all involved will be escorted from premises.
* Unsportsmanlike conduct will not be tolerated and will be grounds for disqualification. MANAGEMENT HAS THE RIGHT TO DISQUALIFY A CAR/DRIVER AT ANY TIME! Any person in pits or track area causing trouble and not obeying the rules will be asked to leave the area immediately. We can and will have police escort you out and/or have you arrested. You may also be banned from running in any future fair events. The officials have the right to inspect a car at any time including after the race. If anything is found to be illegal, you will forfeit all prizes which will then go to the next person in line. If anything is changed on your car after inspection to make your car illegal, you will be automatically disqualified and will not receive a refund of entry.
* No refunds will be made due to failure to meet regulations!
* All cars must be removed from derby site by 12:00 PM (Noon) the following day un-less otherwise stated at drivers meeting. Failure to do this will result in cars being removed.
* Top 5 in feature must actively compete at the end. No driving yourself on barriers or dirt berms. Failure to comply could result in complete restart with all feature qualifiers actively competing again.
* No reinforcements allowed other than specified below. Any metal added to rein-force the car is illegal. You will only be al-lowed 2 trips through inspection line.
* NO PAINTING, UNDERCOATING, OILING OR GREASING OF FRAMES. YOU WILL NOT BE INSPECTED. THIS INCLUDES PAINTING OF THE FRAME FLAT BLACK.
* NO hot-rodding in the pits. Keep it at an idle.
* NO HITTING IN DRIVER'S DOOR, but no using driver's door as a shield. If the hit is deemed by the official to be careless or intentional, you will be disqualified. If you use your driver's door as a defense, we will not enforce the rules. If you use the door as a defense repeatedly, you will be disqualified. This will be the judges' discretion.
* Any open door or second fire will cause disqualification. If in a heat, you may fix it and come back in the consolation. In the feature, you will be disqualified.
* You must make AGGRESSIVE contact every 60 seconds.
* Sandbagging is not tolerated and will be strictly enforced. Locking up the brakes prior to a hit for anything other than a driver's door will be cause for disqualification. The fans pay to see a show - put one on for them!
* Winning cars plus 3 out of the money must remain on the track until released by officials.
* IF YOU THINK SOMEONE IS SAND-BAGGING, HIT THEIR CAR WITH YOUR CAR ON THE TRACK.
* Any questions or controversies will be dis-cussed at the drivers meeting.
* All drivers must wear approved DOT helmets & strap must be fastened.
* DO NOT paint anywhere on suspension or frame. If we can tell it's been painted, we will not even inspect your car.
* All drivers must wear eye protection, either safety glasses or visor on helmet.
* All drivers must wear long pants & shirt.
* All drivers and riders must wear working seat belts. This will be enforced in 2018 or you will not run!!!!
* A driver that receives a black flag for an intentional door will be disqualified from all competition for that night. A driver that receives a black flag for sandbagging or 1 fire in the interior of the car will be disqualified. Two (2) fires on the exterior will be disqualified. If in a heat you may go to con-solation. This will be the judges' discretion.
* ALL JUDGES DECISIONS ARE FINAL!
* All glass, side windows, rear window, headlights and taillights must be removed before reaching the track. Rolling down of windows is not permitted. Remove all glass, mirrors and plastic. Remove all decking in wagons. Vehicles must be swept clean of all debris.
Old School
1st: $2000 & Trophy, 2nd: $1000 & Trophy, 3rd: $750 & Trophy, 4th: $500 & Trophy, 5th: $250 & Trophy, 6th: $150, 7th: $125, 8th: $100, 9th: $75, 10th: $50
1. Any year car allowed, except the following: no Imperials, trucks, vans, hearses, or El Caminos. All glass/plastic/fiberglass/interior must be removed and cars swept clean.
3. DRIVER SAFETY - Driver safety is our priority. Any car not deemed to be safe by the officials will not run. Must have wire, chain or bar from roof to dash in front to keep the hood from coming into the driver compartment. This cannot be more than 3" past window opening. You may also have one on back window but may not go more than 3" past window opening.
2. NO WELDING OF ANY KIND ANYWHERE ON THE CAR other than where stated in the rules. No Exceptions!!! #9 wire can only go around frame in 4 spots. (Up to 3 wraps in one location OK. No more than 3 loops. Otherwise unlimited.)
4. CAGE - You may have a 6-point cage. This is two side bars and three cross bars. The cross bars must be one in dash area, one DIRECTLY behind driver seat, and one no farther than beginning
of rear fender wells (nothing any further back). You may have 4 down tubes attached to the frame, no farther forward than front fender seam and no farther back than the beginning of rear fender wells. A halo bar is recommended. If halo is attached to frame, that counts as 2 down tubes. Down tubes may only be 4 by 4 and attached to top of frame only.
6. HOOD - May be chained or wired shut. You may use 6 all thread no bigger than 3/4" with washers. No bigger than 6" out-side diameter (two may go to or through frame, but not in front of radiator). Must have 2 holes a minimum of 6" diameter on each side of carburetor. You may use a total of 20 bolts no bigger than 3/8" with washers no bigger than 1" in hood. No extra body bolts.
5. BODY MOUNTS - Original body mounts/spacers may be replaced with 3/4" all thread with a max of a 3/4" washer and may be mounted solid.
7. TRUNK - May be chained or wired shut. You may use 2 all thread no bigger than 3/4" with washers no bigger than 6" out-side diameter. All thread may go to or through frame in trunk. Must go through factory body mount holes. May weld five on five only in factory location; no welding to trunk pan. You may wedge the trunk but only from the rear of the back of the passenger door to the bumper.
9. FIREWALL - Firewall may be cut.
8. DOORS - Must be chained, wired or welded. You may weld solid with straps no bigger than 3 inches wide and 1/8 inch thick, on outside only. Wagon gates may be chained or wired in four spots, or weld 5 on 5 off. No double plating of doors.
10. FENDERS - May be trimmed and pre-bent. You may use 10 bolts no bigger than 3/8" with washers no bigger than 1" per fender. Rear quarters will be considered fenders. Rear quarters may be pre-bent but must remain vertical. No wedged front fenders.
12. TIRES - Any tire except what is stated. Valve stem protectors allowed. Tire inside tire al-lowed. No fluid in tires. No tractor tires, no paddle tires, etc. You may weld in centers but must be OEM center or OEM wheel skin. No bead locks.
11. DRIVE TRAIN - You may use any motor and any transmission in car. Motor mounts may be welded. You may use an aftermarket motor cradle for mounting purpose only; must have a rubber bushing not mounted solid. The motor cradle may be attached to the stock motor cradle but may not be attached to the frame or sup-port the frame in any way. Headers through the hood are OK. No distributor/motor or tranny protectors. You may use aftermarket gas pedal. You may use one chain per side to secure motor and one chain on transmission. Shifter/linkage may be modified to prevent binding. Slip driveshaft al-lowed. OEM car rear-ends allowed. You may use an 8-lug rear end. If the car was coiled spring, it MUST stay coiled spring. If it is leaf spring car, it MUST stay leaf spring with factory set of springs. May be welded in position. You may brace rear end. Must be factory mounting, no bracing of mounts. Pinion brakes allowed. No axle savers.
13. BUMPERS - Bumper swaps ok. You may trim bumpers. You may weld bumpers and bumper brackets on. Loaded bumpers are allowed, but no homemade bumpers. You may push shock canisters in and weld. You may use 2 chains 3/8" or smaller to hold bumper on. Bumper brackets must be for that model car. Chains may only overlap frame by 12".
14. FRAME - Notching/dimpling the frame is OK. Chain (no bigger than 5/16") or #9 wire (no more than three loops) from one side to the other in the rear is OK. This will not count towards the wire around frame in 4 spots. You may re-stub but only with a factory stub. Butt weld with a 2" wide strap, two sides of frame. Anything else done to the frame is not permitted. You may weld 2 beads of weld no wider than 1/2" top and bottom of the frame but only in front of the A-arm.
15. STEERING AND SUSPENSION - You may change out steering column. You may shorten or lengthen trailing arms with no more than 1" overlap (no reinforcing). You may reinforce tie rods. Must keep factory ends. You may strap the A-arm down.
17. FLOOR PANS - Floor pans may be patched with flat stock no thicker than 1/8". Only patch bad spots, not the whole floor pans.
16. GAS TANK/BATTERY - Stock gas tank must be removed. Tank must be located in the rear seat area, and securely fastened and covered. All fuel lines must be ran in a safe manner. Battery must be moved into the passenger compartment and safely secured. No factory tanks and all fuel connection must be double clamped.
18. BODY - No seam welding. No patching.
20. You may run '03 or newer, but you must run stock cradle, suspension and steering. (It must be stock and not reinforced. NO EXCEPTIONS!)
19. Safety belt and DOT approved helmets are required. All helmets must be secure-ly fastened. You are required to wear long pants and shirt. It is recommended that you wear a long-sleeve shirt or fire suit.
21. No full cradles if you have a DP. If it touches any part of the car sheet metal or the cage, you will be disqualified.
STOCK CLASS - 100 % Payout
The stock class demolition derby shall be open to people who have a valid driver's license or photo ID and 18 years of age or older. If 16 or 17 years of age, you must have notarized con-sent from both parents/guardians present. All drivers will adhere to all rules and regulations. Towing and transporting demolition derby cars to and from demo location must meet highway safety codes.
1. Any year car allowed, except the follow-ing: no Imperials, trucks, vans, hearses, El Caminos, or '03 or newer. All glass/plastic/fiberglass/interior must be removed and cars swept clean.
3. DRIVER SAFETY - Driver safety is our priority. Any car not deemed to be safe by the officials will not run. Must have wire, chain or bar from roof to dash in front to keep the hood from coming into the driver compartment. This cannot be more than 3" past window opening. You may also have one on back window but may not go more than 3" past the window opening.
2. NO WELDING OF ANY KIND ANYWHERE ON THE CAR other than where stated in the rules. No Exceptions!!! You may use unlimited #9 wire.
4. CAGE - You may have a 4-point cage. NO down tubes. No more than 12 inches be-hind the driver's side rear door seam. May be welded in place.
6. No trimming of fenders.
5. NO cutting of fire walls.
7. TIRES - MUST be a DOT tire. Must be stated and visible on tire. No valve stem protectors. No double tires.
9. MOTORS - No cradles. May weld motor mounts in. May use headers.
8. GAS TANK/BATTERY - Stock gas tank must be removed. Tank must be located in the rear seat area, securely fastened and covered. All fuel lines must be ran in a safe manner. Battery must be moved into the passenger compartment and safely secured. No factory tanks and all fuel connections must be double clamped.
10. BUMPERS - Must be stock and factory mounted.
COMPACT RULES PAYOUT
1st: $500, 2nd: $300, 3rd: $200, 4th: $150, 5th: $100
With 30 + cars PAYOUT is 1st: $1000, 2nd: $400, 3rd: $300, 4th: $200, 5th: $100
1. Must be powered by 4 or 6-cylinder engine.
3. No four-wheel drive vehicles.
2. Wheelbase must be 108" or less. No exceptions! No moving/bending a stock or after-market component to shorten wheel base.
4. Mandatory! All 4/6-cylinder cars MUST have a cage. 4 point minimum.
6. All lines under car must be steel lines or if running rubber lines, they must be inside of the car.
5. Stock gas tank MUST be removed. A MET-AL BOAT TANK OR HOMEMADE MET-AL TANK must be mounted in rear seat area and bolted down with metal straps. NO PLASTIC TANKS!!!
7. If OEM bumper had no bolts bumper, homemade bumper brackets may go 6" from back side of bumper.
9. No kickers.
8. No pipe over struts.
10. No aftermarket or homemade extreme cradle/pulley protector.
12. Cars previously run in Demolition Derby may install a new front clip. Any clip may be used on any car but MUST be installed in stock manner. Officials MUST approve installation.
11. No carburetor protector outside the intake area or DP.
13. All glass, side windows, rear window, head-lights and taillights must be removed before reaching race track. Rolling down windows is not permitted. Remove all glass mirrors and plastic. Remove all decking in wagons. Vehicles must be swept clean of all debris.
15. Cars must have a seatbelt and working brakes. MANDATORY!!
14. Rear seat of sedan must be removed, top and bottom. On station wagons all seats and decking must be removed. Station wagons must be emptied to floorboards. All cars must be swept clean (driver's compartments and trunk, too). No spare tires, broken glass or trash, etc. allowed in cars.
16. You can carry a fire extinguisher, but it must be mounted securely and free of movement.
18. Fenders may be bolted together with 3/8" bolts or smaller with 3/8" or smaller washers only. A maximum of 10 bolts per fender.
17. Any type automotive radiator may be used but must be mounted in stock position. NO RESERVE TANKS. One (1) electric fan may be used. A radiator cradle is allowed made of 1/8" metal 1" wider than the radiator, bolted only to car and nothing in front of the radiator. AFTERMARKET OR HOMEMADE RADIATOR CRADLE. Front rad screen mesh, thickest 3/8" thick bolted or four (4) 1" welds.
19. All doors may be welded (outside of body only), chained or wired. Door metal can-not be larger than 1/4" thick or 4" wide on door shell (vertical) and 2" wide on window frame. You may beat top of doors down and may tack them in 3 places with a maximum of 1" weld each.
21. Patching floorboards: if you have to patch rusty floorboards, you must cut out all the rust, overlap no more than 1" with same thickness body material and sheet metal screws no more than 1 every 4". No weld-ing to floorboards or firewall.
20. No doubling of body panels allowed. No added metal allowed.
22. You may crease/enhance sheet metal body panels, but do not fold and weld. No extra metal may be added.
23. No other body welds other than what is listed above.
24. All sunroofs must be covered with a thin sheet of metal, i.e. welded or bolted (with bolt head inside the car) or riveted. No #9 wire or chain to accomplish this will be allowed.
HOODS, TRUNKS AND BODY BOLTS
2. On all cars, hoods, trunk and tailgates may be secured with the following method: on front of car - 2 pieces of 1" all thread, with a washer no larger than 6" O.D. and 3/8" thick. All threads MUST be mounted out-board of the radiator. In addition to all threads (6) 1" O.D. bolts with a washer no larger than 6" O.D. and 3/8" thick or you may use angle iron back to back with a bolt through it. Angle iron cannot be more than 3/16" thick or longer than 6". Three (3) on each side of car, a total of 6. Total of 6 bolts and 2 up front all threads holding the hood down and any amount of wire or cable. All wire or cable MUST be mounted outboard of radiator. A maximum of 50 bolts 3/8" or smaller are allowed to bolt together hood seams. On deck lid of car, 4 pieces of 5/8" all threads with a washer no larger than 6" O.D. and 3/8" thick all threads may be mounted through deck lid and frame anywhere in trunk can be welded to the frame or in body mount holes. In addition to all threads, you may weld trunk 5 on 5 off. Straps should not be larger than 1/4" thick or 4" wide or (6) 1" O.D. bolts with a washer no larger than 6" O.D. and 3/8" thick or 10 3/8" bolts in the drip rails, not both 1 or the other and any amount of wire or cable. If trunk is welded must have a 12" hole in trunk lid. On station wagons 2 pieces of 1" all threads with a washer no larger than 6" O.D. and 3/8" thick. All threads may be used in the rear through roof and stock body mount replacing existing bolt. In addition to all threads, you may weld tailgate 5 on 5 off. Straps should not be larger than 1/4" thick or 4" wide or (6) 1" O.D. bolts with a washer no larger than 6" O.D. and 3/8" thick, and any amount of wire or cable. YOU CAN WELD WASHER (no bigger than 5/8" washer and must be at least 12" apart) TO THE BODY TO RUN WIRE THROUGH.
1. Hoods must have 2 holes, at least 4" in diameter on each side of carburetor - NOT directly on top of carburetor. IF HOOD IS REMOVED, EITHER FAN BLADE MUST BE REMOVED, OR FAN BELT MUST BE CUT. NO SECOND ALL THREAD WELDED TO SIDE OF THE FRAME AND RAN THROUGH THE MID POINT OF THE HOOD.
A. No carburetor protector outside the intake area or DP.
3. All body mount bolts may be replaced including FULL FRAME MINI'S within 1/2" O.D. bolts with a stamped washer. Do not take them out and place body on frame. If replaced, a gap of 1" minimum is mandatory between body and frame or may replace with a stack of washers or 1 piece of anything solid, as long as it is about the same diameter as the factory bushing. Do NOT crush factory body bushings. Front body mount bolts inside passenger compartment must be removed for inspection. Body mount bolts inside passenger compartment that are close together may have 1 washer 6" x 12". Must have 2 or more body mount bolts through washer or may add 2 additional body mount bolts per side inside passenger compartment. All all-threads MUST have nut on top and bottom and NO welds.
B. You may have rear window bar 2"x2"x1/4" MAX IN SIZE, 6" max on roof (4"x4"x1/4" TO ATTACH TO THE ROOF) and no further back or forward than 3" on each side front drip rail on trunk weld to the strapping on your trunk. MINIS...there must be 6" minimum distance (gap) from the top of this bar on the roof and halo bar. This is the only location allowed for this bar.
4. 4A minimum of 1 chain or wire running from the outside (top) of roof down to the cowl or BAR DOWN TO DASH BAR OF CAGE on the front window is MANDA-TORY for safety. Maximum of 2. IF YOU HAVE A PASSENGER MUST HAVE 2. IF USING METAL STRAPS MAX SIZE 2" WIDE X 1/4" THICK, 12" APART. CAN GO TO FRONT DASH BAR OR COWL THEN TO TOP LIP AREA OF WINDSHIELD ONLY.
CAGE AND HALO BARS
2. You can run 4 down tubes, 2 per side. Two (2) of these down tubes must be mounted mandatory in the following way on each side: 1 down tube to flat part of the frame 1' behind the 2 body mounts at your feet at the "A" pillar, with a max distance of 2' from the same measuring point. Lower door bars are allowed between down tubes; must be 6" or more above top of frame. NOTHING OUT OF DRIVER'S COM-PARTMENT. You can have steel plate be-tween cage and front doors. Must be securely fastened to cage. Front bar must be no more than 4" in diameter. Must have 6" between front bar and center of firewall on a fresh car. Front bar cannot be attached to firewall at any time. ALL DOWN TUBES MUST BE BEHIND DASH BAR, STRAIGHT UP AND DOWN AND ON FLAT PART OF FRAME. CANNOT GO TO BODY MOUNT BOXES. NO KICK-ERS TO REAR HUMPS. NOTHING OUT OF REAR DRIVER'S COMPART-MENT. You cannot weld anything to front bar protruding toward the distributor protector. No grater blades, metal plates or tubing on exterior of body (driver & passenger doors).
1. All driver and passenger doors may be reinforced. You should have a 6-point cage, MINIMUM OF A 4 PT. CAGE. Cross bars may be ran as follows: 1 across dash, 1 bend front seats and 1 in rear seat area (3rd bar must be at least 10" off the floor, measured from bottom rear seat area).
3. Halo bars are allowed. There must be 6: minimum distance (gap) from halo bar and the top of your rear window bar. Can be attached to bar behind your seat or could be run to the frame but it would be counted as 1 of your down tubes.
4. This is not mandatory, but we encourage everyone to put a steel plate between cage and front driver and passenger doors. Thickness of metal is up to driver. Must be securely attached to cage and must be 2" off of floor. This is for protection, not reinforcement.
FRAME
2. You cannot alter frame in any way other than specified in rules. Do not crease or reshape frame.
1. Top frame seams from A-arms forward may have single bead of weld added. Must be single pass no wider than 3/8" wide by 3/8" high, no extra metal may be added. DO NOT REWELD ENGINE CROSS MEMBER SEAMS OR ANY OTHER BRACKETS ATTACHED TO FRAME OR SHEET METAL under hood or trunk. NO CONCRETE!!! DO NOT WELD FACTORY HOLES UP. ALL FACTORY HOLES MUST BE OPEN FOR INSPECTION OF FRAME.
3. You may run 1 wire or chain from frame rail to frame rail underneath back of car behind back tires/wheels.
5. You may notch the frame for minimal pre-bending, but do NOT weld the cut.
4. You may put a bolt with a stamped flat washer thru frame to hold it together. Only 1 per wheel opening must be loose during inspection. DO NOT weld washer (pinning of frame).
6. If changing front stub, cut 3" behind second cross member bolt hole. When re-placing, can overlap 2 1/2", able to weld both sides but no adding extra metal. Must be of the same make and model.
8. All trailer hitches MUST be totally re-moved.
7. If re-stubbing 1 side of the frame, you are allowed to cut and fit the new frame flush and weld 1 pass all the way around (butt-fit-weld). Must be of the same make and model.
9. 2018 - THIS INCLUDES MINI'S: If running a used car prior to this derby, you are allowed 2 patch plates-1 per side of frame. No plate larger than 4"x4"x1/4", must be at a previously bent spot on the frame and must be painted a fluorescent color so it is easily noticed for the inspectors.
AFTER INSPECTION OR HEATS, NO WELDING THESE PLATES ON. IF AD-DITIONAL PLATES ARE FOUND AF-TER INSPECTION, NO MONEY WILL BE PAID OUT.
BUMPERS
2. Front bumper may be reinforced in-side, outside and end to end. Must have chrome on the outer part of the bumper from any OEM bumper shaped to fit. You may weld outer chrome of bumper to inner skin of bumper. Nothing else can be welded to outer chrome. You cannot alter angle of bumper. Anything coming out of bumper during race will be cause for disqualification. 11" of point and must contour from frame to frame and must be stock appearing on pointy bumpers.
1. Any OEM shock canister may be bolted or welded to any car. AMOUNTS OF BOLTS OR WELDS MAY NOT EXCEED TYPICAL STOCK INSTALLATION. Homemade bumper brackets are permit-ted. NO GUSSETS OR BRACING. NOT TO EXTEND BEHIND OEM MOUNT-ING BOLT LOCATION ON FRAME. May use 2 1/2" max round or square tubing. No thicker than 1/4". No solid stock may be used. This can only extend into the frame a max of 8". Any OEM stock automobile bumper may be bolted or welded to the shock canister or bumper brackets. You may use 2 pieces of light chain per shock. Fenders and bumper ends may be trimmed to allow for wheel clearance.
3. You may have 6" long x 4" wide x 1/4" thick bumper support bracket, butt fit against bumper or 2" onto bumper. If you're running a pre-ran and choose to put your extra 4"x4x1/4" plate up front, there must be at least a 1/8" gap between the plates. Any questions, please call.
SUSPENSION
2. Homemade tie rods and homemade steering shaft are permitted.
1. Stiffness of suspension will be left up to the discretion of the driver. A-arms may be bolted or lightly welded with strap no more than 1/4" thick and 2" wide. MUST RUN STRAIGHT UP AND DOWN. One in front and 1 behind A-arm for a total of 2 per A-arm. Can be to upper or lower Aarm, but not both. Can only be welded 2" on A-arm and 2" on frame. Only a 2"x2" area on each end of strap may be welded to A-arm and frame. DO NOT WELD ENTIRE A-ARM TO THE FRAME! NO EXCESSIVE METAL ADDED!
ENGINE AND TRANSMISSION
2. Chained, welded, or homemade motor mounts will be permitted, but must meet approval of officials.
1. ANY ENGINE OR TRANSMISSION MAY BE USED IN ANY CAR BUT MUST BE MOUNTED IN A STOCK POSITION. ON A V-BLOCK MOTOR, FRONT SPARK PLUGS MUST BE EVEN OR IN FRONT OF UPPER BALL JOINT. ON IN-LINE MOTORS, NUMBER 2 SPARK PLUG MUST BE EVEN OR IN FRONT OF UPPER BALL JOINT.
3. Any type of header is allowed but must be directed away from driver's compartment.
5. Skid plates are allowed. Must be separate oil/transmission plates. No full-length skid plates. No bolting or welding to frame.
4. Transmission oil coolers and engines oil coolers are permitted. All tranny lines must be wrapped or run through PVC. Inspection personnel must approve all mountings, lines and fittings.
6. Distributor protectors are allowed. Can-not be any wider than 12" and must not protrude more than 2" from transmission mounting surface on back of engine block. Must be attached to engine or transmission mounting bolts.
7. You may beat flat the engine side of the firewall only. Do not weld or bolt firewall. Do not reinforce the firewall/cowl. Do not beat, paint, bolt, weld on, weld to or modify the driver's side of the firewall/cowl in any way.
8. Transmission protectors are allowed. MUST FLOAT OVER CROSSMEMBER.
9. Must have stock/OEM crossmember.
GAS TANKS
1. Stock gas tank MUST be removed. A METAL BOAT TANK OR HOMEMADE METAL TANK must be mounted in rear seat area and bolted down with metal straps. NO PLASTIC TANKS!!! Other types of installations will not be allowed. NO GAS CANS with noses duct taped. A marine (boat) tank or an official approved homemade tank is mandatory. All tanks MUST be covered with a runner cover. All tanks MUST have secure cap. All lines and fittings MUST be leak proof and meet approval of officials. Electric fuel pumps are permitted but MUST have shut-off within reach of driver. NO MORE THAN 10 GALLONS OF GAS IN TANK. For the mini-car class you will no longer be able to move the stock gas tank into the back-seat area.
REAR END
2. Any drive shaft or U joint may be used. Welding of drive shaft is permitted.
1. Any automobile rear end can be used in any car. You cannot transform a coil spring to a spring or vice-versa. On models originally equipped with leaf springs, stock leaf springs and hangers MUST be used. Leaf packs on all cars may have no more than 8 leaves per pack. MUST be OEM stock. Homemade spring perches or homemade trailing arm brackets may be welded to rear end. Rear end spider gears may be welded solid. You may tilt rear end by shortening or lengthening rear end control arms. Trailing arms may be reinforced. Rear end housing may be reinforced. No dually wheels allowed.
3. No extra metal added. Any bracket that shows reinforcement to the frame will not be allowed.
4. You may have 5 spring clamps per spring. You pick if you want them in front of or behind axle or split them between the front and back.
TIRES
2. Valve stem protectors or liquid in tires permitted. Screws in rims to hold tires in place permitted.
1. Only 16" or smaller tires and wheels will be allowed. NO SPLIT RIMS ALLOWED.
ALL JUDGES DECISIONS ARE FINAL!!!
|
AAAI 1994
Fall Symposium Series Registration Brochure
November 4-6, 1994
The Monteleone Hotel New Orleans, Louisiana
Sponsored by the American Association for Artificial Intelligence 445 Burgess Drive, Menlo Park, CA 94025 (415) 328-3123 email@example.com
THE AMERICAN Association for Artificial Intelligence presents the 1994 Fall Symposium Series, to be held Friday through Sunday, November 4-6 at the Monteleone Hotel, New Orleans, Louisiana. Topics of the five symposia in the 1994 Fall Symposium Series are:
* Control of the Physical World by Intelligent Agents
* Knowledge Representation for Natural Language Processing in Implemented Systems
* Improving Instruction of Introductory AI
* Planning and Learning: On to Real Applications
* Relevance
The highlights of each symposium will be presented at a special plenary session. Working notes will be prepared and distributed to participants in each symposium, but will not otherwise be available unless published as an AAAI Technical Report or edited collection.
Each symposium will have limited attendance. Participants will be expected to attend a single symposium throughout the symposium series. In addition to participants selected by the program committee of the symposia, a limited number of other interested parties will be allowed to register in each symposium on a first-come, first-served basis. To register, please fill out the enclosed form, and send it along with payment to:
1994 Fall Symposium Series AAAI 445 Burgess Drive Menlo Park, CA 94025
Fax: (415) 321-4457
(credit card orders only)
Email: firstname.lastname@example.org
(credit card orders only)
Tentative Program Schedule
(subject to change)
Friday, November 4
Symposia sessions: 9:00 AM––5:30 PM Reception: 6:00 PM––7:00 PM
Saturday, November 5
Symposia sessions: 9:00 AM––5:30 PM Plenary sessions: 6:00 PM––7:30 PM
Sunday, November 6
Symposia sessions:
AM
9:00 ––12:30
PM
Registration will be in the lobby outside Nouvelle Orleans East & West.
Control of the Physical World by Intelligent Systems
An intelligent agent, interacting with the physical world, must cope with a wide range of demands. Different scientific and engineering disciplines, with different abstractions of the world, have found different "pieces of the puzzle" for the problem of how the agent can successfully control its world. These disciplines include:
* AI (qualitative reasoning, planning, machine learning, intelligently guided numerical simulation)
* Control theory
* Fuzzy logic and systems
* Neural nets
* Computer vision
* Robotics
The goal of this symposium is to attempt to understand the puzzle as a whole, by bringing together researchers with experience assembling two or more pieces. The emphasis will be on successful projects in this area that exploit results or methods from several disciplines.
Abstractly, the important questions are:
* What are the strengths and weaknesses of each piece of the puzzle?
* How do we put together two pieces to exploit their strengths and avoid their weaknesses?
* How do we reconcile the different conceptual frameworks to make different approaches mutually comprehensible?
The following major themes will be discussed:
* How can concepts and methods from control solve AI problems?
* How can concepts and methods from fuzzy logic, neural networks and AI help solve problems in control?
* How can vision be used as a goaloriented sense by mobile agents?
We hope that concrete examples will show what the different subdisciplines can teach each other.
Organizing Committee: Piero Bonnisone, General Electric; Jim Hendler, University of Maryland; Michael Jordan, MIT; Benjamin Kuipers (co-chair), University of Texas, email@example.com; Lyle Ungar (co-chair), University of Pennsylvania, firstname.lastname@example.org.
Knowledge Representation for
Natural Language Processing in Implemented Systems
The two areas of knowledge representation and reasoning (KRR) and natural language processing (NLP) have historically been interdependent. Recently, workers in KRR have gone in two directions. First, there are KRR formalisms independent of any computer implementation, more or less as a branch of formal logic. Second, there are applications of KRR systems to nonnatural language domains, such as software engineering, diagnosis systems, and database systems.
This symposium is intended to be a meeting of researchers actively working on implemented knowledge representation and reasoning systems for general natural language processing. We are trying to assess the current state of the field. As such, it will be of interest to any professional whose area of interest includes automated language processing.
Specific topics of interest include:
* Expressiveness and generality of the representation language with respect to natural language.
* Inference methods that parallel reasoning in natural language.
* Ability of the formalism or system to capture important semantic and pragmatic aspects of natural language.
* How many or kinds of representation languages are needed for general NLP?
The symposium will also include panel discussions on these issues:
* What problems are solved, and how to use the solution(s).
* What areas need work.
* Defense or attacks of the standard model of morphology-syntax-semantics-pragmatics.
The format of this symposium is designed to encourage interaction amongst the participants. It will include short presentations of papers and work in progress, and discussions. Working notes will be produced and distributed to the participants.
Organizing Committee: Syed S. Ali (chair), Southwest Missouri State University, email@example.com; Douglas Appelt, SRI International; Lucja Iwanska, Wayne State University; Lenhart Schubert, University of Rochester; Stuart C. Shapiro, State University of New York at Buffalo.
Improving Instruction of Introductory Artificial Intelligence
Introductory artificial intelligence is a notoriously difficult course to teach well. This symposium will provide a forum in which colleagues from different universities can meet to explore strategies for improving instruction of introductory AI.
Several participants will provide informative descriptions of programming tools, both for use in assignments and as instructional aids.
Presentations will include descriptions of general strategies for presenting the material in a coherent fashion. These include syllabi that are agent-oriented, project-oriented, and knowledge/search oriented. Panel discussions will encompass at least:
* The role of programming in introductory AI, including whether or not programs should be written from scratch, how much introduction to the language should be involved, and specific assignment suggestions.
* How to approach the interrelation between AI and cognitive science and computer science.
* Concerns of teaching colleges.
Time will be set aside for debate and discussion during the sessions, and the symposium will conclude with a panel and audience discussion of the issues raised.
Organizing Committee: Marti Hearst (chair), Xerox PARC, firstname.lastname@example.org. edu; Haym Hirsh, Rutgers University; Dan Huttenlocher, Cornell University; Nils Nilsson, Stanford University; Bonnie Webber, University of Pennsylvania.
Planning and Learning: On to Real Applications
Planning and learning research has been progressing in parallel over the past several years, but very few research projects have bridged the two areas. However, there is a great deal of benefit from their interaction, especially when they are concerned with real applications. As the complexity of planning problems increases, it becomes particularly interesting to identify learning opportunities in order to automate the acquisition of a planner's knowledge in new applications. At the same time, planning problems are a useful testbed and a source of challenges for learning research. The goal of this symposium is to discuss the implications of practical planning applications on both learning and planning research.
The symposium welcomes interested participants who have done work on a practical planning application or have researched topics in planning or learning. The working notes will be distributed to the participants in advance.
The symposium will consist of presentations, invited talks, and discussion sessions. We expect the analysis and discussion of practical domains to be a solid basis for turning formal planning and learning algorithms into efficient practical ones. Specific topics of interest that the symposium will address include: what are the learning opportunities of particular practical planning applications; what tools help extend and maintain planning knowledge; how can a planner improve its efficiency based on its past experience; how can a planner learn to improve the quality of the solutions it generates; and what research issues are raised by several specific real-world planning applications.
Organizing Committee: Steve Chien, Jet Propulsion Laboratory; Yolanda Gil (cochair), USC/Information Sciences Institute, email@example.com; Drew McDermott, Yale University; Dana Nau, University of Maryland; Manuela Veloso (co-chair), Carnegie Mellon University, firstname.lastname@example.org.
Relevance
Essentially all reasoning and learning systems require a corpus of information to reach appropriate conclusions. Deductive and abductive systems use an initial theory (possibly encoded as predicate calculus statements, a Bayesian network, or a neural net) and perhaps a to-be-explained observation, and inductive systems typically use both a background theory and a set of labeled samples.
dealing with topics that range from knowledge representation (including constraint satisfaction, planning, default reasoning), game playing, bayesian nets, neural nets, machine learning, computational learning theory, statistics, information retrieval and philosophy.
With too little information, these systems cannot work effectively. Surprisingly, too much information can also cause the performance of these systems to degrade in terms of both accuracy and efficiency. It is therefore important to determine what information must be preserved, or more generally, to determine how best to cope with superfluous information.
The goal of this workshop is a better understanding of this topic, relevance, with a focus on techniques for improving a system's performance (along some dimension) by ignoring or de-emphasizing superfluous information. These techniques will clearly be of increasing importance as knowledge bases become more comprehensive and real-world applications are scaled up.
This symposium promises to be a truly exceptional event, thanks to 50 excellent submissions from many distinguished researchers,
Organizing Committee: Russ Greiner (cochair), Siemens, email@example.com. siemens.com; Yann Le Cun, AT&T Bell Labs; Nick Littlestone, NEC; David McAllester, MIT; Judea Pearl, UCLA; Bart Selman, AT&T Bell Labs; Devika Subramanian (cochair), Cornell, devika@cs. cornell.edu.
Registration
ALL ATTENDEES MUST PREREGISTER. Each symposium has a limited attendance, with priority given to invited attendees. All accepted authors, symposium participants, and other invited attendees must register by September 30, 1994. After that period, registration will be opened up to the general membership of AAAI and other interested parties. All registrations must be postmarked by October 14, 1994.
Your registration fee covers your attendance at the symposium, a copy of the working notes for your symposium, and reception. Checks (drawn on US bank) or international money orders should be made out to AAAI. VISA, MasterCard and American Express are also accepted. Please complete the attached registration form and mail it with your fee to:
AAAI 1994 Fall Symposium 445 Burgess Drive Menlo Park, CA 94025
Please note: All refund requests must be in writing and postmarked by October 21, 1994. A $25.00 processing fee will be levied on all refunds granted. No refunds will be granted after this date.
When you arrive at the Monteleone Hotel, please pick up your complete registration packet in the lobby outside Nouvelle Orleans East & West.
Registration hours will be: Thursday, November 3: 5:00 PM — 7:30 PM Friday, November 4: 8:00 AM — 5:00 PM Saturday, November 5: 8:00 AM — 5:00 PM Please call AAAI at 415/328-3123 for further information.
Accommodations
For your convenience, AAAI has reserved a block of rooms at the Monteleone Hotel. The prices are: $105.00 for single occupancy and $125.00 double occupancy. Symposium attendees must contact the Monteleone Hotel directly. Please identify yourself as an American Association for Artificial Intelligence Fall Symposium registrant to qualify for the reduced rate. Please make reservations no later than October 3, 1994.
The Monteleone Hotel 214 Rue Royale New Orleans, LA 70140 Phone: 800-535-9595 or 504-523-3341
Fax: 504-528-1019
Air Transportation
The American Association for Artificial Intelligence has selected United Airlines as the official carrier. Fares will reflect a five percent discount (ticket designator is XF5) off any United or United Express published fare in effect when tickets are purchased subject to all applicable restrictions, or a ten percent discount (ticket designator is XF10) off applicable United or United Express coach fares in effect when tickets are purchased 0 days in advance and the reservations are made in M class of service. These special fares are subject to availability at the time of booking. Call United Airlines directly: 800-521-4041, 7 days a week from 7:00 am–1:00 am EST, or for travel agent services, please contact Travel with Ulla, phone: 415-3896264; fax: 415-388-6830. The identification code is: 545RS. The discount is valid for the travel period November 1–9, 1994.
Ground Transportation
Car Rental Hertz has been designated as the official rental car company for the AAAI Fall Symposium Series. To qualify for the special rates arranged with Hertz, please call the Hertz convention desk at 800-6542240. Be sure to identify yourself as an attendee of the symposium, and give the code CV#3340. Hertz has a rental desk located at the New Orleans International Airport.
Airport Transportation Airport Shuttle–Van service $10.00 one way to and from New Orleans International Airport to New Orleans hotels. Cash or traveler's checks accepted. For reservations call 1-800-543-6332 or 504522-3500. Rates are subject to change.
Parking
Parking is available at the Monteleone Hotel. The rate is $3.50/hour or $10.00/12 hours. Rates are subject to change.
Disclaimer
In offering the Monteleone Hotel, United Airlines and Hertz (hereinafter referred to as "Supplier") and all other service providers for the AAAI Fall Symposium Series, the American Association for Artificial Intelligence acts only in the capacity of agent for the Supplier which is the provider of hotel rooms, air and car transportation.
Because the American Association for Artificial Intelligence has no control over the personnel, equipment or operations of providers of accommodations or other services included as part of the Symposium program, AAAI assumes no responsibility for and will not be liable for any personal delay, inconveniences or other damage suffered by symposium participants which may arise by reason of (1) any wrongful or negligent acts or omissions on the part of any Supplier or its employees, (2) any defect in or failure of any vehicle, equipment or instrumentality owned, operated or otherwise used by any Supplier, or (3) any wrongful or negligent acts or omissions on the part of any other party not under the control, direct or otherwise, of AAAI.
Registration Form–1994 AAAI Fall Symposium Series
A
LL ATTENDEES MUST PREREGISTER
Please complete in full and return to AAAI, postmarked by September
30, 1994 (invited attendees) or by October 14, 1994 (general registration).
Please print or type.
First name _________________ Last name ___________________________
Affiliation _______________________________________________________
Address ____________________________________________
HomeIor BusinessI
________________________________________________________________
City _________________________________ State _____________________
Zip or postal code ______________________ Country __________________
Daytime telephone _____________________ Net address _______________
Symposium
(Please check only one)
I 1. Control of the Physical World by Intelligent Agents
I 2. Knowledge Representation for NLP in Implemented Systems
I 3. Improving Instruction of Introductory AI
I 4. Planning and Learning: On to Real Applications
I 5. Relevance
Fee
I Member: $ 215.00
I Nonmember: $ 265.00
I Student Member $ 100.00I Nonmember student: $ 125.00
(Students, must send legible proof of full-time student status.)
TOTAL FEE (Please enter correct amount.)
$_________________________
Method of Payment (please circle one)
CHECK
MASTERCARD
VISA
AMERICAN EXPRESS
MONEY ORDER
Credit card number __________________________Expiration date _______
Name (as it appears on card)________________________________________
Signature________________________________________________________
Please mail completed form with your payment to
AAAI Fall Symposium Series • 445 Burgess Drive • Menlo Park, CA 94025 or fax with credit card information to 415/321-4457.
Please Note: Requests for refunds must be received in writing by 21 October 1994. A $25.00 processing fee will be levied on all refunds granted.
=============================================================
For Office Use Only
Check Number _______________________ Amount ____________________ Received ____________
|
ANALYSIS
January 2019
Prepared by
Steven G. Cochrane firstname.lastname@example.org Chief APAC Economist
Katrina Ell email@example.com Economist
Marc Korobkin firstname.lastname@example.org Associate Economist
Contact Us
Email email@example.com
U.S./Canada +1.866.275.3266
EMEA
+44.20.7772.5454 (London)
+4126.96.36.1999 (Prague)
Asia/Pacific +852.3551.3077
All Others +1.610.235.5299
Web www.economy.com www.moodysanalytics.com
Some Rising Pressure Points in Global Debt
Introduction
Global leverage has been rising as a share of GDP over the past decade. This is a growing concern, as questions around sustainability loom large in some pockets. Also, although global financial conditions remain largely accommodative, debt servicing costs will continue rising over the next year after an extended period of low borrowing costs, putting pressure on balance sheets.
Some Rising Pressure Points in Global Debt
BY STEVEN G. COCHRANE, KATRINA ELL AND MARC KOROBKIN
G lobal leverage has been rising as a share of GDP over the past decade. This is a growing concern, as questions around sustainability loom large in some pockets. Also, although global financial conditions remain largely accommodative, debt servicing costs will continue rising over the next year after an extended period of low borrowing costs, putting pressure on balance sheets.
Global trends
As the global business cycle has advanced over the 10 years since the financial crisis, the global economy has accumulated a record amount of outstanding debt when measured as a percentage of gross domestic product. Data from the Bank for Interna tional Settlements trace global debt back to 2001 (individual country data go back further), when total global nonfinancial sec tor debt amounted to 191% of global GDP. It rose quickly following the dot-com bust of 2001 as governments increased spend ing to avoid recession. It reached 210% of GDP as the global economy entered the financial crisis in 2007. Fiscal stimulus caused debt to rise again through to 2013, and the subsequent slow pace of economic growth combined with historically low interest rates allowed total debt to continue to rise, reach ing a record 246% of GDP by the first quarter of 2018.
This paper examines patterns of debt through time and across countries as well as across the household, corporate and govern ment sectors to determine where there have been significant changes and implications for the economic outlook. This research will examine the global pattern but will focus on the Asian economies.
Debt has accumulated across the globe, but regional patterns vary (see Chart 1). A higher proportion of the debt has accumu lated in China and other emerging markets.
2 January 2019
China's total nonfinancial debt has risen over the past 10 years from 141% of GDP in 2008 to 261% in the first quarter of 2018. It has risen above the ranks of other emerging mar kets to exceed that of the U.S. and match the euro zone's.
Although China's debt has marched in exorably upward since the 2008-2009 global financial crisis, when central banks world wide went on a lending spree to stimulate their economies and avoid recession, total debt relative to GDP in the U.S. and the euro zone already peaked over the course of the past decade. The debt-to-GDP ratio in the U.S. peaked in 2011 as mortgage foreclosures were resolved and lending patterns tight ened. The euro zone's ratio peaked in 2014 as it struggled to rein in sovereign debt. Further, the pattern of debt growth has varied greatly household debt (see Chart 2). The move ments in the U.S. and China went in opposite directions; household debt as a share of GDP fell 25 percentage points to 75% in the U.S. from 2007 to early 2018, while it rose in Chi na by just more than 25 percentage points to end at 50% of GDP. Further, the shifts in both countries have largely been related to mortgage debt, as housing markets in China have boomed and those in the U.S. struggled under a severe price correction and subse quently tight mortgage-lending standards. The pullback or lack of growth among the advanced economies has offset emergingmarket household debt to maintain a fairly flat global pattern over the past decade.
Corporate debt is a different story. In China, corporate debt has soared from just less than 100% of GDP to nearly 165% in when comparing
debt issued to house
holds, corporations or government.
Household debt has tended to con verge over the past 10 years in the advanced economies, including the euro zone and the U.S., reducing ex posure to household debt, while China and other emerging mar kets have expanded
Chart 1: Debt Rises Across the Globe
Sources: BIS, Moody's Analytics
Chart 2: Household Debt Converges
Chart 3: Surge of Corporate Debt in China
Total nonfinancial corporate debt, % of GDP
Sources: BIS, Moody's Analytics
the first quarter of 2018 (see Chart 3). Only in 2017 did this figure fall by more than a rounding error as policymakers worked to rein in credit and begin a long-awaited deleveraging process.
In the U.S., the corporate debt cycle had followed the early years of the busi ness cycle, peaking in 2008 and then falling through 2011. But historically low interest rates encouraged an uptick in lending as the economic recovery gained traction, so that corporate debt peaked at 73.6% of GDP in 2017, which held steady through the first quarter of 2018.
zone, but with a lag of about two years. In China, a sharp stimulatory rise in debt in 2009 has been followed by a very slow but steady gain. The gap between emergingmarket government debt and that of the advanced economies has actually widened over this time.
Recent trends
Sovereign debt is the only component that has been rising slowly but steadily across the world (see Chart 4). Government debt rose sharply in the U.S. and other ad vanced economies through 2012 because of stimulatory monetary policy. But as auster ity replaced stimulus, the debt-to-GDP ratio leveled off. The same was true in the euro
Developed economies generally can manage higher levels of debt relative to GDP, with a cluster of them ranging between 200% and 300% (see Chart 5). These coun tries, mostly in Europe and North America, have better regulatory control, more trans parent loan origination standards, and stronger portfolio management methods. Levels of debt in a few of these countries, however, have risen rather quickly in recent years. Norway, France, Canada and Austria have each had an increase greater than 20 percentage points as a share of GDP over the
Chart 4: Government Debt Edging Upward
past five years. But Ireland, Spain and Den mark are among the countries where debt has fallen significantly over this period. The data for Ireland, however, overstate the im provement because of revisions to GDP that raised its value by 25% in 2015 as several large foreign firms switched their operating base to Ireland via acquisitions of small, lo cally based firms. Following their change of domicile, their operations were incorporated into the corporate sector of Irish GDP. So although exposure to debt has improved in Ireland, the BIS data overstate the case. But Spain, Denmark and Portugal have seen real improvements in recent years, while Greece has not.
Most emerging markets have much lower debt-to-GDP ratios than developed economies. But in some cases, total debt has risen quickly; Chile, Brazil, Turkey and Saudi Arabia are examples. Some of the greatest increases, however, have been in Asia. Hong
Chart 5: Total Nonfinancial Debt
Sources: BIS, Moody's Analytics
3 January 2019
Total debt-to-GDP ratio, % (x-axis), 5-yr change, ppts, (y-axis)
Sources: BIS, Moody's Analytics
Chart 6: Chinese Stimulus Drove a Rebound
China real GDP, % change yr ago
Chart 7: Varied Household Debt Patterns
Household debt-to-GDP ratio, % (x-axis), 5-yr chg, ppts, (y-axis)
Sources: BIS, Moody's Analytics (classifications according to MSCI Index)
Kong joins China as countries with the fast est-growing debt relative to GDP reported by the BIS between 2013 and 2017. 1 China's debt began to rise earlier in 2009, when it pumped liquidity into its economy to avoid recession during the financial crisis. Beijing implemented an unprecedented US$586 billion (13.4% of GDP) stimulus package, more than 30% of which was allocated to infrastructure.
the financial crisis began to wane. But dur ing the five years ended in 2013 as well as the four years that followed, Hong Kong and China ranked first and second, respectively, for the gain in total debt relative to GDP.
This helped to propel real GDP by 9.3% in 2009 and 10.7% in 2010, while much of the rest of the world suffered the ill effects of the financial crisis (see Chart 6). But the cost was a more highly leveraged economy with the total debt-to-GDP ratio rising nearly 35 percentage points in 2009 alone and 114 percentage points over the 10 years ended in 2017 to 257% of GDP.
China and Hong Kong were not alone in continuing to allow debt to rise over the past 10 years. Indeed, the debt-to-GDP ratio rose continuously during this period in 21 of the 41 countries the BIS tracked, divided about equally between emerging markets and de veloped economies. Most countries did make an effort to rein in debt when the effects of
1 It should be noted that some very small countries with a very large presence of firms operating internationally will have a debt-to-GDP ratio that may be overstated. In these cases, GDP may understate the size of overall economic activity because, by its definition, it does not include the value of final goods and services produced outside of the country. Thus, the denominator in the debt-to-GDP ratio is smaller, creating a larger ratio. Such economies include Hong Kong, Luxembourg and Singapore. An alternative method of measuring debt as a percentage of the total economy would be to create a debt-to-GNP ratio. GNP, or gross national product, does include goods and services produced abroad by firms based within the country of interest.
4 January 2019
similarly high, but their ratios have improved by about 10 percentage points over the past five years.
Since patterns of debt accumulation in recent years vary greatly across the house hold, corporate and government sectors, the subsequent sections will review each in turn. Additionally, since household debt relative to GDP in Asia and in most emerging markets has been consistently rising over the past 10 years while it has fallen in most developing economies, this paper will begin with house hold debt and will focus on its patterns in the Asia-Pacific region.
Household debt
The global household debt-to-GDP ratio barely rose over the past 10 years, from just less than 60% in 2008 to 62% in 2017. Dur ing this period it dropped to less than 56% in 2014 before rising again. This relative stability, however, hides important differ ences across the globe that generate risks for emerging markets.
First, while the aggregate household debt-to-GDP ratio across developed econo mies is below its level of 10 years ago, the trend has turned in the past five years in a number of countries, mostly where rapidly rising house prices have increased mortgage debt. Australia, Norway, Switzerland and Canada are among those that not only have the fastest-rising household debt-to-GDP ratios, but also the highest ratios as well (see Chart 7). Denmark and the Netherlands are
Among developing economies, although the aggregate household debt-to-GDP ratio has consistently risen over the past 10 years, the details are mixed. Among those the BIS monitors, about the same number of coun tries have experienced declines in exposure to household debt as those with increases. However, the outliers are significant and indicate rising risks in Asia, as South Korea, Hong Kong and China have the highest household debt-to-GDP ratios in the region as well as the greatest gains in this measure over the past five years. Indeed, the growth rates of debt relative to GDP in China and Korea rival those of Norway and Australia.
Asia's household debt is a rising pressure point
The remainder of this section will focus on patterns of household debt in the AsiaPacific region, where households have taken on increasing amounts of debt with higher consumer spending and homeownership. Thus, consumers are more vulnerable to adverse shocks even as national regulators work to temper loan growth. Australia's hefty household debt looms particularly large, with leverage heavily tied to the lo cal property market. In South Korea, easing credit requirements in 2014 encouraged households to take on greater debt.
Household leverage has increased across the Asia-Pacific region (see Chart 8). This is a rising concern as central banks begin scal
Chart 8: Household Leverage Crept Higher
Household debt as % of GDP
Sources: BIS, Moody's Analytics
ing back the extraordinary stimulus released with the 2009 financial crisis, exposing households to higher debt-servicing costs. While financial conditions remain largely ac commodative, they are tightening and are forecast to do so at least through 2019. In economies with a relatively large stock of household debt, central banks must proceed with caution when normalizing policy.
High household debt ultimately holds back consumption, because although there may be an initial increase in spending when the debt is taken on, this fades as consumers allocate a portion of their income to servic ing the debt rather than to new purchases.
Consumers are critical to economies across the Asia-Pacific region. Households in developed economies often represent the largest expenditure share of GDP, and in de veloping economies consumers are of rising importance. Typically, household debt tends to be higher in developed economies, but
Chart 9: Vulnerable to Rate Hikes
% change yr ago, ppt deviation from baseline
in emerging markets across Asia, consumer loans tend to be of short durations—with fixed long-term rates uncommon—so higher debt-servicing costs can be quickly felt with higher lending rates.
with around 100 to 150 basis points of ad ditional hikes in 2019 on average.
Quantifying sensitivity
High household debt means that con sumers are more vulnerable to adverse shocks, including a downshift in economic activity that may cause job losses and subse quent problems servicing loans. We used our global macroeconomic model to quantify the sensitivity of household consumption to tighter lending conditions. This is particu larly important, given that debt burdens are higher than in prior tightening cycles.
We examined the downside scenario of a supply-side shock to oil prices, where there is a reduction in global oil supplies from further sanctions on various oil-producing nations, which reduces global oil supply and pushes
oil prices above US$90 per barrel in late 2019. This causes global infla tion to accelerate, and central banks around the world respond to higher inflation by sharply increasing interest rates to try to anchor inflation expecta tions. Central banks in Asia respond with varying aggression,
Sources: BIS, National Bureau of Statistics, Moody's Analytics
5 January 2019
Under this scenario, the Asia-Pacific re gion's weighted private consumption expen diture component of GDP is 2.05 percentage points below baseline in 2019 at 2.3% y/y and is 2.9 percentage points below baseline in 2020 at 2.3% y/y (see Chart 9). We at tach a 10% probability to this tail-risk event occurring. Although extreme, the scenario demonstrates the high sensitivity of house hold consumption to a sudden tightening of lending rates relative to the baseline projec tion, which forecasts gradual normalization in most cases.
China's rising household leverage
China's household leverage often flies under the radar, but it should not. House hold debt hit a record high at almost 50% of GDP in the March quarter of 2018, according to the BIS. Household debt has increased almost 40 percentage points in the past 12 years (see Chart 10). The meteoric rise has been partially fueled by households being able to access bank loans only from 2003, so there is an element of catch-up. Moreover, a fully fledged private housing market did not develop until the late 1990s, when employ er-allocated housing was abolished following a series of other market-oriented reforms to the housing sector. 2
More than half of household debt is tied to the housing market, according to the
2 Reserve Bank of Australia, "China's Property Sector." Bul letin (March quarter 2015): 45-54.
Chart 11: High Aussie Debt Burden
Household debt-to-disposable income, %
Sources: RBA, Moody's Analytics
People's Bank of China. The strong gains in house prices in recent years, especially in Tier 1 cities such as Shanghai and Beijing, have contributed, as has the lack of alternative investment options.
Consumption has been rising in impor tance in China's economy along with rising incomes and the growing middle class, so an increase in debt is expected. But what is concerning from a sustainability perspective is the rising mismatch between household debt and disposable income. For the past six years, disposable income has increased an average 10% y/y, while household debt has grown an average 20%. In the past year, the average household debt growth rate has in creased to 26%.
Aussie consumer debt tied to property
Australia's economy is highly regarded for its 27 years of recession-free growth, an enviable run by developed-economy standards. But the downside risks from the nation's hefty household debt loom large. Australia's household debt-to-disposable income ratio is running at almost 200% of GDP, according to the Reserve Bank of Aus tralia (see Chart 11).
Australia's household debt is closely linked with the property market, where val ues have gained significantly in recent years. The Australian dream of homeownership has largely not wavered, even with prices being well above estimates of fair value, especially in the most desirable markets of Sydney and Melbourne. So with dwelling values rising, household debt has, too.
6 January 2019
Chart 12: Engineered Housing Slowdown
Greater Australian capital-city house value forecasts, % change
Sources: CoreLogic, Moody's Analytics
There are a few factors that keep the panic around the large stock of and runup in household debt at bay. The first is the regulatory environment. The Australian Pru dential Regulation Authority has introduced a number of restrictions on bank lending, including to the housing market, in recent years to stem the continued upward trend in household leverage and house prices. This has had a noticeable impact on lending to investors, which has risen. Higher funding costs have also prompted some lenders to raise mortgage interest rates independent of the RBA's official cash rate in 2018. This has contributed to the cooling of the housing market, especially in Sydney and Melbourne. Regulatory measures have driven improve ment in the quality of banks' mortgage lend ing. For instance, the stock of interest-only loans (where borrowers tend to carry higher leverage than other loan types) has fallen by 10 percentage points since June 2017 to just under 30% of outstanding loans, according to the RBA's Financial Stability Review for October 2018.
Moody's Analytics forecasts that national housing values will continue cooling through most of 2019 (see Chart 12). It is impressive that the APRA has so far been able to engi neer a likely soft landing in house prices, and if the market were on a faster-than-desired cooling trend, the regulatory lending restric tions could be reversed quickly, if need be. If ultimately successful, Australia's housing market will remain one of only a handful of developed housing markets to have avoided a sizable correction.
The second comfort is that Australia's macroeconomic outlook remains favourable. GDP growth is expected to remain around potential at 3% in the next two years. A healthy economy will keep employment growth ticking up, while the RBA is not fore cast to begin a mild tightening cycle until mid-2020 at the earliest, helping to keep debt service costs down.
But there is still cause for concern. Given that most household wealth is in the rela tively illiquid asset of housing, there would be systemic implications if instances of re payment difficulties increase. For example, a significant rise in unemployment could force some households into delinquency, ul timately leading to a glut of housing supply on the market. So while regulators can have a handle on managing local risks, households and the economy are still vulnerable to a broader economy-wide shock.
Easier credit conditions lifted leverage in South Korea
South Korea's household debt-todisposable income ratio was 186% in 2017, according to the OECD (see Chart 13). The most recent acceleration in household loan growth occurred after mortgage loan re quirements were eased in 2014 to bolster domestic demand. This involved raising the maximum allowable loan-to-value ratios as well as the allowable debt-to-income ratio. This is a problematic strategy in the medium term because those allowed into the market by relaxed restrictions have a higher prob ability of problems servicing loans.
Chart 13: Highly Leveraged South Koreans
Household debt-to-net disposable income ratio, %
Chart 14: Debt Has Climbed
Debt by sector, Malaysia, % of GDP
Subsequently, the government tight ened consumer credit conditions in 2017 to dampen household debt growth. The Financial Services Commission announced new guide lines in late 2017 for home mortgage loans, requiring financial institutions to examine a borrower's income for two years, higher than the prior one-year requirement. For borrow ers with existing mortgages wishing to apply for a new one, the commission changed the previous rule where only interest payments for previous loans were counted as debt to now include the principal as well. The financial regulator also released guidelines for loans to self-employed workers aimed at protecting those at risk of becoming overleveraged.
2020. Weakened domestic demand and employment growth, alongside the uncer tain and cooling global outlook, are holding back more aggressive tightening, as is hefty household leverage.
Malaysia's relatively rapid debt runup
Malaysia has had a broader trend towards higher debt levels (see Chart 14). Govern ment debt has increased from 23% of GDP in 2006 to 38% in 2017, according to the BIS. The Mahathir government has made fiscal consolidation a policy priority, and part of this has meant that some important infra structure projects have been sidelined.
Pressure is rising on the Bank of Korea to tighten rates further on top of the 25-basis point hike at the November board meet ing. We expect more increases in the next two years, with the policy rate rising from 1.75% to 3% by the December quarter of
Malaysian households are among the highest-leveraged in Asia. Around 50% of household debt is tied up in residential hous ing loans, according to Bank Negara Malaysia (see Chart 15). Malaysia has a relatively high homeownership rate; it was 76% in 2016. However, homeownership has become less
Chart 15: Lower Incomes, Less Housing
Household debt by purpose and income group, Malaysia, %, 2016
attainable because it has become less affordable. In 2016, Malaysia's house prices were on average around five times the annual median house hold income, up from 4.4 in 2009.
Sources: Bank Negara Malaysia, Moody's Analytics
7 January 2019
The ratio of loans on non-appreciating assets is relatively high at 49.7%, and this includes car loans, personal loans and credit cards; car loans represented the bulk at 26%. The high debt burden is more prevalent among lower-income households, who are more highly exposed to personal and motor vehicle loans. For 21% of house holds earning less than RM3,000, more than 60% of their income is used to repay debt, according to Bank Negara Malaysia.
Vehicle loans have increased leverage in Thailand
Thailand carries the second-largest household debt burden among ASEAN econ omies, after Malaysia. Both countries have higher consumer borrowing levels as a share of GDP than does higher-income Singapore. Household debt stood at 68% of GDP in the first quarter of 2018, down from a peak of more than 70% in 2015 but still up from just 44% a decade ago.
Consumer loans represent 33% of to tal loans in Thailand. Much of the runup in household debt since 2008 can be attributed to the increase in housing loans, which ac count for the largest share of consumer loans at 16%. This has contributed to the 40% in crease in house prices since 2008, with near record-low interest rates since 2015 provid ing a further lift. However, growth of housing loans has cooled and is poised to moderate further, as the Bank of Thailand will limit loan-to-valuation ratios for new mortgages to 80% (down from 90%) in 2019 for house purchases of at least 10 million baht and for any subsequent house purchased. This move should help to alleviate growing concentra tion risks in the financial sector, with a rising
Chart 16: Rapid Auto Lending Growth
Consumer lending by type, Thailand, % change
Chart 17: Corporate Debt High in China
Corporate debt-to-GDP ratio, % (x-axis), 5-yr chg, ppts, (y-axis)
Sources: Bank of Thailand, Moody's Analytics
number of loans extended for investment properties and worsening credit standards as lenders compete aggressively for customers.
Auto and personal loans each account for 6% of consumer loans, with a further 2% ac counted for by credit cards, according to the BoT using December 2017 data. Vehicle loans have risen rapidly as of late, attributable to the end of car ownership requirements under the 2011-2012 car subsidy scheme (see Chart 16). To curb riskier lending and temper loan growth, the BoT has tightened requirements for credit cards and unsecured personal loans. From September 2017, only individu als earning at least THB50,000 per month can get a maximum credit limit of five times their monthly salary. But the potency of this measure has been limited because it applies only to new credit cards.
The BoT is on the verge of hiking rates after keeping the policy rate at 1.5% since April 2015, meaning high household leverage is firmly in the spotlight. While the central bank is not under near-term pressure to raise rates, especially given that inflation is subdued, it is wary about the risks of leaving rates low for too long. Although we expect a mild interest rate-hike cycle to commence in December, debt servicing costs should re main manageable, as interest rates are likely to stay relatively low.
Corporate debt accelerates
Global nonfinancial corporate debt now amounts to nearly 100% of GDP. The rise has been fairly rapid over the past five years after the rate remained steady at around 85% of
8 January 2019
GDP between 2009 and 2014. Low inter est rates around the globe have encouraged borrowing across developed economies and emerging markets. Indeed, since 2014 the cor porate debt-to-GDP ratio in emerging markets has exceeded that of developed economies, and the spread has widened, although the ratio has risen within both groups of countries.
have had the greatest gains in corporate debt-to-GDP ratios. Malaysia and Australia have had more modest gains, and Indonesia has held rather steady during the past five years. The remainder of this section will focus on the Asia-Pacific region and the risks aris ing from the gains in corporate debt.
Among developed economies, the debt load has risen in a number of countries in Europe, including Ireland, the Netherlands, Belgium, Norway, France and Switzerland. The trend is not uniform across the Conti nent, but those countries with the strongest gains also have the highest debt loads (see Chart 17). Spain and Portugal went through deep contractions during the financial crisis, as their housing markets suffered sharp cor rections. Resolution of debt and recent eco nomic recovery has worked to significantly reduce the corporate debt-to-GDP ratios in these two countries. A rise in corporate debt in North America extends across the U.S., Canada and Mexico as firms have taken on new debt at historically low interest rates.
Emerging markets have a higher count of countries with rising corporate debt-to-GDP ratios than those with falling rates. Further, they are located around the globe to include Turkey, Saudi Arabia, South Africa and Chile. Many such as Saudi Arabia and Chile have taken on debt because of falling commodity prices. Turkey and South Africa have suffered weakened economic growth because of poor governance and rising inflation.
And yet the standouts are located in the Asia-Pacific region. Hong Kong and China
Asian corporate debt: Focus on China
Corporate debt has risen across all of the Asia-Pacific region with two important exceptions: Australia and New Zealand each enjoy debt levels that not only are relatively benign—below the average for all developed economies—but that are also below their debt-to-GDP ratios of 10 years ago (see Chart 18). Although Australia's corporate debt was up slightly in 2017 from 2013—to 75.5% from 74%—it was still below the 80.4% of 10 years prior. In New Zealand, the figure has steadily fallen from 94.7% in 2007 to 81.1% in 2017. Corporate debt is not a problem in either country, as lending standards have remained rather tight, and a recession-free economy for nearly three de cades—in Australia at least—has limited the need for firms to borrow.
Elsewhere in Asia, nonfinancial corporate debt is primarily concentrated in China, Hong Kong and Singapore. But they are hardly comparable, particularly between China and Hong Kong, which have the highest debt-toGDP ratios and the fastest growth over the past 10 years. The difference is defined by the market in which the debt is issued. Debt in China is primarily issued in the domestic market, whereas debt in Hong Kong and
Chart 18: Corporate Debt Risk: China
Total nonfinancial corporate debt, % of GDP
Sources: BIS, Moody's Analytics
Singapore is primarily issued in international markets. Although its data are imperfect, as reporting varies across countries, the BIS notes that 99% of Chinese nonfinancial cor porate debt is issued in the domestic market, whereas none of the comparable debt in Hong Kong and Singapore is issued solely in domestic markets. Further, the small size of Hong Kong and Singapore and the outsize presence of international corporations with debt skews their figures higher.
Another difference is that nonfinancial corporate entities in China include many state-owned enterprises, blurring the line be tween government debt and corporate debt. Moreover, as nonfinancial corporate debt has surged in China since the financial crisis, it has come to account for 63% of all the na tion's outstanding debt (see Chart 19). This is nearly double the exposure to corporate debt in any other Asian country, or any other country around the world, for that matter. Given that state-owned enterprises have been an important component of Chinese policymakers' efforts to maintain rapid eco nomic growth, they now are at the highest risk in this debt-driven economy if a financial shock were to arise.
The global repercussions of such an event would likely be mitigated, however, by two factors. First is the fact that nonfinancial corporate debt in China is issued solely in the domestic market. Second, the financial sec tor in China is still relatively closed to foreign investors, so that contagion could be limited.
The debt-to-GDP ratios in Hong Kong and Singapore may be high, but virtually all
9 January 2019
Sources: BIS, Moody's Analytics
is issued in international markets. Singapore is the most international, with 42% of debt securities issued by resident corporations (those with a location in Singapore) versus 58% by national corporations with head quarters in Singapore. Hong Kong's debt se curities are concentrated more locally, with 75% issued by firms classified as national and 25% by firms classified as resident in Hong Kong. The high concentration of firms, either resident or headquartered in these two small Asian business hubs, elevates the debt-to-GDP ratio, much the same as it does in Luxembourg, where the nonfinancial corporate debt-to-GDP ratio reached nearly 350% in 2017 (it does not appear on Chart 19 so as not to extend the x-axis).
low. For example, Indonesia's total debt ratio is the second-lowest among those the BIS tracks, but about 98% of this debt is denom inated in U.S. dollars. This is one reason the Indonesian rupiah was at such risk earlier this year as the currency depreciated when inves tor sentiment soured on emerging markets. In the Philippines, 100% of international debt securities are denominated in U.S. dol lars; similar figures are 82% in India, 73% in Thailand, and 66% in Malaysia.
About 75% of Hong Kong's corporate debt is denominated in U.S. dollars; in Singapore the figure is closer to 65%. This removes much of the foreign exchange risk for both, since the Hong Kong dollar is ex
Thus the long-term buildup of corporate debt in China is a risk factor that cannot be ignored as long as policymakers continue to use credit as a tool to maintain economic growth above a certain threshold. And even if the financial sector remains relatively closed, a significant credit event would likely slow China's economy sufficiently to multiply the impact via trade relationships through Asian economies deeply embedded in Chinese and global supply chains (see Chart 20).
plicitly pegged to the U.S. dollar and the Singapore dollar is virtually pegged to the U.S. dollar via monetary policy.
Other Asian countries with a high share of interna tional debt denomi nated in U.S. dollars do run some foreign exchange risk even if their debt-to-GDP ratio is relatively
Chart 20: Intermediate Supply Chains
Participation in global value chains, %
Sources: UNCTAD-Eora GVC Database, Barclays Research, Moody's Analytics
Chart 21: Government Debt Up Broadly
Government debt-to-GDP ratio, % (x-axis), 5-yr chg, ppts, (y-axis)
Sources: BIS, Moody's Analytics
Government debt
Of the three general categories of debt— household, corporate and government—the pattern of government debt looks the most similar across the regions of the world and between developed countries and emerg ing markets (see Chart 21). Debt has risen in most of the countries as stimulatory fis cal policies and uncertain revenue since the financial crisis have required most govern ments to continue to borrow and add to their debt burden. The highest debt-to-GDP ratios occur in Japan and Europe, where the economies have struggled since the financial crisis to gain traction, accelerate growth and, until recently, improve unemployment rates (see Chart 22). Within Europe, Greece, Italy and Portugal have the highest government debt-to-GDP ratios, which have risen over the past five years in each case. Right behind them are the U.K., Spain, France and Bel gium, and in all but Belgium the ratios have risen over the past five years about as fast as they have in Italy and Greece, the U.K. by even more.
Among the emerging markets, the highest government debt-to-GDP ratios are in Brazil, Hungary, India and Argentina. And Brazil and Argentina, along with Saudi Arabia and Chile, have seen the fastest runup in their ratios over the past five years. The first three have suffered for some time from either poor governance (Brazil and Argentina) or a slump in oil revenue (Saudi Arabia). Chile's overall government debt to GDP, while rising rapidly over the past five years, remains among the lowest of all countries.
10 January 2019
Chart 22: Japan and Europe Struggle
Real GDP, 2009Q2=100
Sources: Eurostat, Japan Economic & Social Research Institute, BEA, Moody's Analytics
Within Asia, government debt is less problematic than corporate or household debt. Among the Asian countries included in the BIS database, excluding Japan, India's government debt-to-GDP ratio is the larg est. But at least it has held rather steady. Hong Kong, Malaysia and China rank next, but Hong Kong's debt has risen moderately and Malaysia's has not risen continuously. Further, Malaysia's new government, elected in 2018, is embarking on a period of fiscal austerity in an effort to bring its debt obliga tions down further.
China's government debt-to-GDP ratio rose by about 10 percentage points in the five years to 2017, continuing the pattern of debt growth seen across its household and corporate sectors. It pales in comparison, however, with the level of corporate debt in the country. The risk in China arises from indebted local governments, which in some cases may be closely tied to state-owned corporations that could face unforeseen fi nancial shocks in the future.
And finally, the growth of government debt in Indonesia over the past five years has generated some concern, to the point that it has become an issue in the lead-up to the national election in April. And yet its debtto-GDP ratio is among the lowest in the BIS dataset. Further, government debt has risen, as the country embarked several years ago on intensive infrastructure improve ments, many of which are now complete or will be completed in 2019. Much depends, therefore, upon whether the improved infra structure truly works to improve efficiency and productivity in the country, and whether it will attract more foreign investment in coming years.
Summary
Shifting patterns of household debt bring risks that may not have been present previ ously in several Asia-Pacific countries. The rapid rise of household debt has brought Korea's level relative to GDP to the highest among emerging markets, but regulators have been tightening lending conditions since 2017, helping to mitigate some of the risk. And similarly, Malaysia's and Thailand's past patterns of relatively easy credit condi tions have brought their ratios above those of most other emerging markets. Further, while China's household debt-to-GDP ratio remains below these three others, it has risen the most rapidly by far over the past five years. Indeed, the volume of outstanding household debt in China has risen at twice the growth rate of disposable personal in come over the past 10 years. Thus, while not all Asia-Pacific countries face risks from high or rising household credit, an interest rate shock or an economic shock would likely be felt the most in any of these four countries.
Within the Asia-Pacific region, corporate debt is more highly concentrated in China, where it accounts for nearly two-thirds of total nonfinancial debt. It is such an outlier in terms of both its corporate debt-to-GDP ratio and its rate of growth that other coun tries in the region do not even come close. Its rapid rate of growth over nearly 10 years and the close connection between this sec
tor and government policy via state-owned enterprises makes the risks to the outlook uncertain. A gradual pullback in credit condi tions and the ability to allow poor credits to be resolved in an orderly fashion would minimize risks. But continued growth of corporate credit increasingly exposes the sector to economic shocks from which it may not be further shielded. Indonesia and
11 January 2019
the Philippines have some foreign exchange risk, as their international corporate debt is denominated nearly entirely in U.S. dollars. The dollar has the potential to strengthen further in the near term versus many curren cies as the Federal Reserve takes the lead on normalizing monetary policy.
Government credit is of less concern in the Asia-Pacific region, although while China ranks only in the middle of the pack for debtto-income ratios in emerging market econo mies, it has grown the fastest as well within the region. But as drivers of economic growth and generators of economic risks, China's household and corporate debt loads play much greater roles. Elsewhere in the region, government debt appears manageable under a scenario of continued economic growth.
About the Authors
Steven G. Cochrane, PhD, is Chief APAC Economist with Moody's Analytics. He leads the Asia economic analysis and forecasting activities of the Moody's Analytics research team, as well as the continual expansion of the company's international, national and subnational forecast models. In addition, Steve directs consulting projects for clients to help them understand the effects of regional economic developments on their business under baseline forecasts and alternative scenarios. Steve's exper tise lies in providing clear insights into an area's or region's strengths, weaknesses and comparative advantages relative to macro or global economic trends. A highly regarded speaker, Dr. Cochrane has provided economic insights at hundreds of engagements over the past 20 years and has been featured on Wall Street Radio, the PBS News Hour, C-SPAN and CNBC. Through his research and presentations, Steve dissects how various components of the macro and regional economies shape patterns of growth. Steve holds a PhD from the University of Pennsylvania and is a Penn Institute for Urban Research Scholar. He also holds a master's degree from the University of Colorado at Denver and a bachelor's degree from the University of California at Davis. Dr. Cochrane is based out of the Moody's Analytics Singapore office.
Katrina Ell is an economist in the Sydney office of Moody's Analytics. She covers New Zealand, Taiwan and the Philippines. She previously worked as an analyst at the Australian Prudential Regulation Authority supervising insurance and superannuation companies. Katrina received her bachelor's degree in economics (honours) from Macquarie University.
Marc Korobkin is an associate economist at Moody's Analytics. He covers the economies of Arizona, Massachusetts, and several U.S. metro areas. Marc also develops forecasts for Turkey and works on the global subnational forecasts and alternative scenarios. Marc graduated from Haverford College with a bachelor's degree in eco nomics with a minor in mathematics. His thesis focused on economic growth in resource-rich regions of the U.S.
12 January 2019
About Moody's Analytics
Moody's Analytics provides fi nancial intelligence and analytical tools supporting our clients' growth, effi ciency and risk management objectives. The combination of our unparalleled expertise in risk, expansive information resources, and innovative application of technology helps today's business leaders confi dently navigate an evolving marketplace. We are recognized for our industry-leading solutions, comprising research, data, software and professional services, assembled to deliver a seamless customer experience. Thousands of organizations worldwide have made us their trusted partner because of our uncompromising commitment to quality, client service, and integrity.
Concise and timely economic research by Moody's Analytics supports fi rms and policymakers in strategic planning, product and sales forecasting, credit risk and sensitivity management, and investment research. Our economic research publications provide in-depth analysis of the global economy, including the U.S. and all of its state and metropolitan areas, all European countries and their subnational areas, Asia, and the Americas. We track and forecast economic growth and cover specialized topics such as labor markets, housing, consumer spending and credit, output and income, mortgage activity, demographics, central bank behavior, and prices. We also provide real-time monitoring of macroeconomic indicators and analysis on timely topics such as monetary policy and sovereign risk. Our clients include multinational corporations, governments at all levels, central banks, fi nancial regulators, retailers, mutual funds, fi nancial institutions, utilities, residential and commercial real estate fi rms, insurance companies, and professional investors.
Moody's Analytics added the economic forecasting fi rm Economy.com to its portfolio in 2005. This unit is based in West Chester PA, a suburb of Philadelphia, with offi ces in London, Prague and Sydney. More information is available at www.economy.com.
Moody's Analytics is a subsidiary of Moody's Corporation (NYSE: MCO). Further information is available at www.moodysanalytics.com.
DISCLAIMER: Moody's Analytics, a unit of Moody's Corporation, provides economic analysis, credit risk data and insight, as well as risk management solutions. Research authored by Moody's Analytics does not refl ect the opinions of Moody's Investors Service, the credit rating agency. To avoid confusion, please use the full company name "Moody's Analytics", when citing views from Moody's Analytics.
About Moody's Corporation
Moody's Analytics is a subsidiary of Moody's Corporation (NYSE: MCO). MCO reported revenue of $4.2 billion in 2017, employs approximately 11,900 people worldwide and maintains a presence in 41 countries. Further information about Moody's Analytics is available at www.moodysanalytics.com.
© 2019 Moody's Corporation, Moody's Investors Service, Inc., Moody's Analytics, Inc. and/or their licensors and affi liates (collectively, "MOODY'S"). All rights reserved.
CREDIT RATINGS ISSUED BY MOODY'S INVESTORS SERVICE, INC. AND ITS RATINGS AFFILIATES ("MIS") ARE MOODY'S CURRENT OPINIONS OF THE RELATIVE FUTURE CREDIT RISK OF ENTITIES, CREDIT COMMITMENTS, OR DEBT OR DEBT-LIKE SECURITIES, AND MOODY'S PUBLICATIONS MAY INCLUDE MOODY'S CURRENT OPINIONS OF THE RELATIVE FUTURE CREDIT RISK OF ENTITIES, CREDIT COMMITMENTS, OR DEBT OR DEBT-LIKE SECURITIES. MOODY'S DEFINES CREDIT RISK AS THE RISK THAT AN ENTITY MAY NOT MEET ITS CONTRACTUAL, FINANCIAL OBLIGATIONS AS THEY COME DUE AND ANY ESTIMATED FINANCIAL LOSS IN THE EVENT OF DEFAULT. CREDIT RATINGS DO NOT ADDRESS ANY OTHER RISK, INCLUDING BUT NOT LIMITED TO: LIQUIDITY RISK, MARKET VALUE RISK, OR PRICE VOLATILITY. CREDIT RATINGS AND MOODY'S OPINIONS INCLUDED IN MOODY'S PUBLICATIONS ARE NOT STATEMENTS OF CURRENT OR HISTORICAL FACT. MOODY'S PUBLICATIONS MAY ALSO INCLUDE QUANTITATIVE MODEL-BASED ESTIMATES OF CREDIT RISK AND RELATED OPINIONS OR COMMENTARY PUBLISHED BY MOODY'S ANALYTICS, INC. CREDIT RATINGS AND MOODY'S PUBLICATIONS DO NOT CONSTITUTE OR PROVIDE INVESTMENT OR FINANCIAL ADVICE, AND CREDIT RATINGS AND MOODY'S PUBLICATIONS ARE NOT AND DO NOT PROVIDE RECOMMENDATIONS TO PURCHASE, SELL, OR HOLD PARTICULAR SECURITIES. NEITHER CREDIT RATINGS NOR MOODY'S PUBLICATIONS COMMENT ON THE SUITABILITY OF AN INVESTMENT FOR ANY PARTICULAR INVESTOR. MOODY'S ISSUES ITS CREDIT RATINGS AND PUBLISHES MOODY'S PUBLICATIONS WITH THE EXPECTATION AND UNDERSTANDING THAT EACH INVESTOR WILL, WITH DUE CARE, MAKE ITS OWN STUDY AND EVALUATION OF EACH SECURITY THAT IS UNDER CONSIDERATION FOR PURCHASE, HOLDING, OR SALE.
MOODY'S CREDIT RATINGS AND MOODY'S PUBLICATIONS ARE NOT INTENDED FOR USE BY RETAIL INVESTORS AND IT WOULD BE RECKLESS AND INAPPROPRIATE FOR RETAIL INVESTORS TO USE MOODY'S CREDIT RATINGS OR MOODY'S PUBLICATIONS WHEN MAKING AN INVESTMENT DECISION. IF IN DOUBT YOU SHOULD CONTACT YOUR FINANCIAL OR OTHER PROFESSIONAL ADVISER.
ALL INFORMATION CONTAINED HEREIN IS PROTECTED BY LAW, INCLUDING BUT NOT LIMITED TO, COPYRIGHT LAW, AND NONE OF SUCH INFORMATION MAY BE COPIED OR OTHERWISE REPRODUCED, REPACKAGED, FURTHER TRANSMITTED, TRANSFERRED, DISSEMINATED, REDISTRIBUTED OR RESOLD, OR STORED FOR SUBSEQUENT USE FOR ANY SUCH PURPOSE, IN WHOLE OR IN PART, IN ANY FORM OR MANNER OR BY ANY MEANS WHATSOEVER, BY ANY PERSON WITHOUT MOODY'S PRIOR WRITTEN CONSENT.
All information contained herein is obtained by MOODY'S from sources believed by it to be accurate and reliable. Because of the possibility of human or mechanical error as well as other factors, however, all information contained herein is provided "AS IS" without warranty of any kind. MOODY'S adopts all necessary measures so that the information it uses in assigning a credit rating is of suffi cient quality and from sources MOODY'S considers to be reliable including, when appropriate, independent third-party sources. However, MOODY'S is not an auditor and cannot in every instance independently verify or validate information received in the rating process or in preparing the Moody's publications.
To the extent permitted by law, MOODY'S and its directors, offi cers, employees, agents, representatives, licensors and suppliers disclaim liability to any person or entity for any indirect, special, consequential, or incidental losses or damages whatsoever arising from or in connection with the information contained herein or the use of or inability to use any such information, even if MOODY'S or any of its directors, offi cers, employees, agents, representatives, licensors or suppliers is advised in advance of the possibility of such losses or damages, including but not limited to: (a) any loss of present or prospective profi ts or (b) any loss or damage arising where the relevant fi nancial instrument is not the subject of a particular credit rating assigned by MOODY'S.
To the extent permitted by law, MOODY'S and its directors, offi cers, employees, agents, representatives, licensors and suppliers disclaim liability for any direct or compensatory losses or damages caused to any person or entity, including but not limited to by any negligence (but excluding fraud, willful misconduct or any other type of liability that, for the avoidance of doubt, by law cannot be excluded) on the part of, or any contingency within or beyond the control of, MOODY'S or any of its directors, offi cers, employees, agents, representatives, licensors or suppliers, arising from or in connection with the information contained herein or the use of or inability to use any such information.
NO WARRANTY, EXPRESS OR IMPLIED, AS TO THE ACCURACY, TIMELINESS, COMPLETENESS, MERCHANTABILITY OR FITNESS FOR ANY PARTICULAR PURPOSE OF ANY SUCH RATING OR OTHER OPINION OR INFORMATION IS GIVEN OR MADE BY MOODY'S IN ANY FORM OR MANNER WHATSOEVER.
Moody's Investors Service, Inc., a wholly-owned credit rating agency subsidiary of Moody's Corporation ("MCO"), hereby discloses that most issuers of debt securities (including corporate and municipal bonds, debentures, notes and commercial paper) and preferred stock rated by Moody's Investors Service, Inc. have, prior to assignment of any rating, agreed to pay to Moody's Investors Service, Inc. for appraisal and rating services rendered by it fees ranging from $1,500 to approximately $2,500,000. MCO and MIS also maintain policies and procedures to address the independence of MIS's ratings and rating processes. Information regarding certain affi liations that may exist between directors of MCO and rated entities, and between entities who hold ratings from MIS and have also publicly reported to the SEC an ownership interest in MCO of more than 5%, is posted annually at www.moodys. com under the heading "Investor Relations — Corporate Governance — Director and Shareholder Affi liation Policy."
Additional terms for Australia only: Any publication into Australia of this document is pursuant to the Australian Financial Services License of MOODY'S affi liate, Moody's Investors Service Pty Limited ABN 61 003 399 657AFSL 336969 and/or Moody's Analytics Australia Pty Ltd ABN 94 105 136 972 AFSL 383569 (as applicable). This document is intended to be provided only to "wholesale clients" within the meaning of section 761G of the Corporations Act 2001. By continuing to access this document from within Australia, you represent to MOODY'S that you are, or are accessing the document as a representative of, a "wholesale client" and that neither you nor the entity you represent will directly or indirectly disseminate this document or its contents to "retail clients" within the meaning of section 761G of the Corporations Act 2001. MOODY'S credit rating is an opinion as to the creditworthiness of a debt obligation of the issuer, not on the equity securities of the issuer or any form of security that is available to retail investors. It would be reckless and inappropriate for retail investors to use MOODY'S credit ratings or publications when making an investment decision. If in doubt you should contact your fi nancial or other professional adviser.
Additional terms for Japan only: Moody's Japan K.K. ("MJKK") is a wholly-owned credit rating agency subsidiary of Moody's Group Japan G.K., which is wholly-owned by Moody's Overseas Holdings Inc., a wholly-owned subsidiary of MCO. Moody's SF Japan K.K. ("MSFJ") is a wholly-owned credit rating agency subsidiary of MJKK. MSFJ is not a Nationally Recognized Statistical Rating Organization ("NRSRO"). Therefore, credit ratings assigned by MSFJ are Non-NRSRO Credit Ratings. Non-NRSRO Credit Ratings are assigned by an entity that is not a NRSRO and, consequently, the rated obligation will not qualify for certain types of treatment under U.S. laws. MJKK and MSFJ are credit rating agencies registered with the Japan Financial Services Agency and their registration numbers are FSA Commissioner (Ratings) No. 2 and 3 respectively.
MJKK or MSFJ (as applicable) hereby disclose that most issuers of debt securities (including corporate and municipal bonds, debentures, notes and commercial paper) and preferred stock rated by MJKK or MSFJ (as applicable) have, prior to assignment of any rating, agreed to pay to MJKK or MSFJ (as applicable) for appraisal and rating services rendered by it fees ranging from JPY200,000 to approximately JPY350,000,000.
MJKK and MSFJ also maintain policies and procedures to address Japanese regulatory requirements.
|
PHOENIX JOURNAL EXPRESS is published weekly by America West Publishers, Inc. 6992 El Camino Real, Suite 104-335 Carlsbad, CA. 92009. Subscription rate is $20 per quarter (13 issues) First Class mailing. COPYRIGHT 1990 by America West Publishing, Inc. All rights reserved. Reproduction of this copyrighted material in any manner without express written permission of the Publisher is strictly forbidden.
VOLUME I NUMBER 12 APRIL 1990
MENU
MENU ............................................................................................................................................................ 1
4/6/1990 HATONN
Hatonn present in the Light of the Radiant One and in the service of Divine Source.
Let us communicate—again--regarding negative bursts of poison pen letters, slings and arrows. You must feast upon the goodness which is offered and not upon the negatives. Man is terrified of that which is being brought down upon him and what he fears he destroys if at all possible. He has help, remember, for the dark brotherhood urges him to close his eyes, ears and mind. You ones must allow of that process for yours is to send the word forth and "allow" man to pick of it up. If you also do of your brothers labor how shall he come into his own responsibility? Ponder it. Yours, Dharma, is to write--you cannot bear the burden of ALL for just as a hen with chicks--the chick must learn to forage for self, stand guard and leave the nest to be independent. All of this comes successfully after the hen has taught the chicks "how-to". Knowledge! But to be successful, it must be knowledge in truth lest the chicks follow the lie, move into open ground and be eaten by the hawk.
Why does Sananda not come and give more lessons? He is always present lest we stumble, chela. Man simply cannot bring himself to accept, at this point, that the Master Christos would speak of death camps and governmental collusion. The churches and cults have projected that Christ is above all, still upon a cross and coming forth to float the masses of "believers" unto the clouds. That is why you are constantly bombarded with "God or Christ would not speak of these crude and vulgar things!" and the masses pick up the chant. It is better, at this time, that I bring the more physical, earthly facts into your attention. When we finish our "situation and circumstance" journals, the Masters shall bring more support of written nature unto you beloved ones. However, at this time you are all still running about as the scattered chicks believing all or nothing or changing as the winds for the most part. It is most understandable and, although discouraging, it does show that some are truly beginning to ponder and think with reason and logic. You are only being allowed to pick up either the extreme of support and positive input or the cruel and negative blasts. There are hundreds of thousands who will be in the believing as we bring truth which is "different" and then proves itself in the light of men coming forth to confess and confirm. You must be in patience until we move further, chelas of the burden.
We honor all men for their own belief and love them for their perfection of
Back to Menu Phoenix EXPRESS: Volume 1, Number 12. Transcription- AH. Page 2 God's creation. That does not mean that we honor the actions nor the evil intent abiding within. Our hand is ever extended, we have no cult nor "church", we have a job of informing and walking together toward a survival of a remnant of "a better way". We do not dig holes and hide in cults to save the few--we offer knowledge (already upon your placement) into integration that ALL may have access to truth of "how it is" and that which you may do to improve thy lot. We "take" from no man, we share that which is allowed and we come in total peace and light of God. You who bear the heavy burden this day have borne as heavy or heavier before--this time ye shall prevail.
Dharma, you ponder of Little Crow with great pain as ones come into your circle of attention and suggest he denounces Hatonn and the Journals and does not sufficiently welcome Journal "believers" overwhelmingly into his "church". Beloved one, his mission is to bring the Ancient Teachings into the light of physical perception in absolute truth—his is to tell of the oral myths of truth and bring the people back into balance. Blessed is he who carries his mission without burdening his brother in their work. He must not welcome with any more gratitude unto ones who visit his "church" because of Sananda, Hatonn or George Green. Do you understand this which I say? His first mission is to bring back his own tribes of the Bird tribes back into balance and harmony that they may serve the Mother planet and prepare for the next step in evolution and birthing. His pain far surpasses any of yours for his people have been so exploited and scattered and although ye are all ultimately ONE, in your manifestation upon a planet in physical format--ye differ as the sparrow differs from the Eagle--all birds but all in difference in habits, food, teachings, missions and on and on. His human needs are the same and more so, for he is in such a minority and such expectations of perfections are thrust upon him for his stature and yet, man condemns—not forgives or assists--he pounds and picks and then takes and utilizes the most sacred events and rituals in exploitation and diminishes them in tainting by human means. Man must go unto Little Crow's placement for the joy and acceptance and true desire to receive that which is truth FROM LITTLE CROW AND HIS ANCIENT KNOWLEDGE--NOT BECAUSE SOME SPACE CADET GAVE HIM CREDENCE. I, HATONN, CANNOT--NOR DO I HAVE AUTHORITY OR AUDACITY TO SANCTION NOR GIVE CREDENCE TO LITTLE CROW, FOR I AM BUT HUMBLE IN HIS PRESENCE. HIS TASK IS FAR MORE DIFFICULT THAN THAT OF MINE AND EQUAL OR MORE STRESS IS PUT INTO HIS EXISTENCE AND MORE PITFALLS IN HIS PATHWAY. HE SHALL DO THAT WHICH HE MUST DO AND YOU WILL DO THAT WHICH YOU MUST DO--AND BROTHERS YE SHALL FOREVER REMAIN AND WHEN YE HAVE GROWN ABOVE THE WEAKNESS, DHARMA, AND INTO THE TOTAL STRENGTH OF YOUR MISSION, YE WILL FIND THINE BROTHER IN THINE DWELLING---CHELA, BELOVED CHELA, THE WAY CANNOT BE OF EASE FOR YE CANNOT BE MIDDLE GROUND SCRIBE--YE MUST EITHER TURN AWAY IN DOUBT OR STAND FORTH IN TRUTH--YOUR KNOWLEDGE OF TRUTH—NOT SISTER'S AND NOT LITTLE CROW'S--DHARMA'S.
As we bring forth information unknown to but the very tiny segments—far smaller segments than coveted-up a few UFOs or Conspiratorial Government cliques and into the German Nazi/Japanese/United States conspiracy—YOU must be confident that we give you truth for you must not waiver in thine own mission of receiving. You will have as much support as from the other subject matter for the confirmation will come forth just as with OTHER LOSSES and from other daring witnesses and authors.
I have much correspondence stacked and waiting response but I would like to respond herein to one or two questions, please. To the one who would send information to Udall--please take careful thought—he is a handpicked member of the Cartel/Conspiracy. He is a chosen member of the President of the U.S.'s ecology advisers. The conspiracy cartel has a way of doing that-putting dangerous people into nice, safe slots to contain them and keep the magnifying glass upon their activities. Well-meaning persons are kept controlled in that manner. A brochure sent is fine, demanding attention as a citizen—wonderful but remember, if you press these controlled individuals too greatly--they come down on the side of "get rid of troublemakers". Use moderation at all times, fanatics will be taken out by the cartel as dangerous.
But you ones must take a stand and we are prepared for the bombardment if negative in response—do that which you are truly "guided" to do and your errors shall not be great. Once you have asked for guidance, you shall have it and you, as an individual, cannot always know what good can come from a self-perceived error. Truth kept beneath the bushel is of no value what-soever and the "ones at the top" already know of the Journals and they are written in such manner as to "touch" the proper receivers and readers and trigger the conscious reception of "a call". If truth falls upon the incorrect personage it will be cast aside. WE MAY NOT HIDE IN FEAR OF DISCOVERY OF THE JOURNALS OF TRUTH--FOR THE VERY BRINGING FORTH IS OUR MISSION. DO NOT DELIBERATELY BRING ATTENTION TO EARTH BROTHER BUT THE TRUTH MUST GO FORTH UNTO ALL, NOT JUST A CHOSEN FEW WHO ALREADY BELIEVE ANYWAY. I EFFORT TO BRING CLARITY; I FEAR I MAY NOT HAVE SUCCEEDED IN SOME INSTANCES--LISTEN TO THINE OWN GUIDANCE AND YOU WILL BE GIVEN TO KNOW DIRECTION AND ACTIONS.
Another question which is most urgent, indeed--that of "races" and "colors". It is so sad that leaders feel forced into being fanatics and "trouble-makers" in order to bring equality unto a troubled people. Listen carefully to that which the leaders proclaim--if they proclaim violence, do not take that within for force and violence is not of God. Violence and injustice is of evil--and yes, ye are in the very pit of evil chaos. It is extremely painful and difficult if one dwells in interracial situations for the pain of the conspiracy to cause confusion and hate is doubled. God made man in His image--that is soul image and
Back to Menu Phoenix EXPRESS: Volume 1, Number 12. Transcription- AH. Page 4
has naught to do with color, creed or status—those things are creations of human. Know the difference and hold to the difference tenaciously.
Remember, "In the ending times brother would rise against brother, nations against nations and families would be split asunder, spouse against spouse and children ripped apart from parents . . . "--you are in the time of Kali (Chaos) and you must press your way through in knowledge, a better way and without force for you must "lead" not "force against free-will", neither do you "sell" God. Man must ask for God's active presence as his shield and no other can force or coerce his brother or sister into acceptance. The brother forced will turn against the forcer. Truth is total "allowance be it considered "right" or "wrong" for you know not thy brother's mission nor commitment.
In this placement there are none greater than another, no gurus, guru ma's, manmade church doctrines--just people efforting at doing a better and honorable job with total integrity that ones DESIRE to participate-not follow-"walk with" and share talents that the "whole" can come into perfection of structure. Each must come into his own clearance and protection of the Lighted Shield. Dharma must come into knowingness of the truth which she brings to paper, the editors must shield themselves in Light that the words and meanings not be changed and the Publisher and Distributors must use equal discretion and insight and then the readers must recognize their message and see wherein their personal talents fit within the wondrous plan-NONE ARE GREATER THAN ANOTHER NOR PRONOUNCE "THEIR" TRUTH-THEY TAKE AND SHARE THAT WHICH IS GIVEN WITHOUT MORE THAN THEIR SANCTION OF PERSONAL "BELIEF" BUT NOT OF COERCION.
YOUR GIFTS ARE GREATLY ACCEPTED ONLY FOR THE WORK; THERE IS MUCH WORK TO BE DONE BUT NEVER FOR THE PARTICIPANT'S ENRICHMENT NOR FOR SOME WONDROUS "TEMPLE". GOD NEEDS NO TEMPLES--HE HAS EACH AND EVERY ONE OF YOU AS HIS TEMPLE AND MOST ARE SIMPLY IN DISREPAIR. THY GIFTS ARE ACCEPTED IN GRATEFUL AND HUMBLE APPRECIATION IN THE SANCTITY OF CONFIDENCE AND HONOR UNTO THE GIVER—NEVER DEMANDED NOR INFERRED COERCION TO "TAKE" THAT WHICH IS PERCEIVED TO BE THINE.
Men might accuse you of claiming to be "Jesus" or "Christ"--nay, ye are but His forerunners. He always sends messengers—ye will be given to know when He is present in physical format and it will not be given through a physical self-proclaiming of "I Am". Each and all bear the label of I AM for ye are of fragments of God Creator and make of thine own created journey. The entity(s) ye await are yet most private and await their proper sequence of performance upon thine stage. You will be given to know when the lead actors appear on the stage to fulfill their roles. Ye attend unto thine own
Back to Menu Phoenix EXPRESS: Volume 1, Number 12. Transcription- AH. Page 5
parts and allow them to attend to theirs. So be it.
We are going to go into great depth of reasoning and disclosure regarding the subjects carried within the latest Journal. Ones coming into information prior to publication of that Journal may find it a bit hard to contemplate or understand that which I bring forth. You are advised to get the Journal as soon as possible for I cannot take the time of ALL to rewrite the book in the Express. Yet, it is information you must be getting in full measure NOW! Your very existence depends on how you respond to this most advanced information. Not that the information would incite to overdone actions but truth gives insight and can block the Conspirator's ability to enslave you for at this point your Constitution is not yet dead--but is dying, my friends.
GERMANY'S ROLE FROM THE ANTARCTIC
As described in SKELETONS IN THE CLOSET, the 13th Journal, in this interim time, please accept the possibility of truth of that which I say until proof is brought unto you. Let us hypothesize "as if' so that you can be accepting to the extent of beginning to accept the reasoning and knowledge of those things which have happened and not yet come into your attention. Remember that secrets are only those things which have not come into your knowledge. So herein we must speak of secrets and bring them from the closets into Light whereby they become knowledge and no longer secret! At the ending of the World War II, Hitler took a large contingent of military submarines, young men, and "space" technology of rocketry, beam weapons, flying discs, atomic weaponry and other myriads of technical information to huge bases in the Antarctic. In the following years pursuant to that occurrence (some 45 years) the information and technology has been perfected by several of your various countries of your planet. Please just effort to accept this as possible truth and hold it aside for that is not my subject at this writing.
The subject is the fact that with them went counterfeiting plates of perfection. The British pound notes were a prime target and utilized greatly in five-pound notes before the war's end to the extent that the five-pound notes were removed from circulation by the British government. (Please, chelas, these are things you can check out for yourselves in factual publications and public information.)
The Swiss currency was also perfected in counterfeit capability but the greatest and most destructive to the economy of the world--was the U.S. DOLLAR in all denominations.
Billions of dollars have subsequently flooded the various markets and countries of the world. It is not for small drug counterfeiting operations that the U.S. government must change the currency, it is to stop the tidal wave of perfectly printed dollars which continue to flood the world.
These dollars have bought up foreign control of countries, economies and peoples.
THE JAPAN CONNECTION
The tiny country of Japan has been the primary source of the spread of these dollars. It was with negotiation and total agreement with your government for the Conspiracy felt they could bring it all under control at a point chosen to be expeditious by themselves. It hasn't quite worked out that well.
It was agreed that in exchange for not pulling the curtain down, the Japanese would buy the debt of the U.S. in profound measure—which they have now done. The Japanese were also expected to sit still for whatever "big U.S. brother" desired within the PLAN. WELL, THE BOAT IS ROCKING TO THE POINT OF SWAMPING. NOTHING THE U.S. DOES IS ABLE TO BRING THE JAPANESE MARKET TO DESTRUCTION NOR BRING THE JAPANESE GOVERNMENT TO ITS KNEES. THEY CAN NOW THUMB THEIR NOSES AT YOU AND YOU CAN DO NOTHING ABOUT IT—EXCEPT HAVE ALL OUT NUCLEAR WAR AND EVEN THEN, YOU CAN'T "WIN".
The Japanese have invested in the assistance of all the newly formed democracies. Even the money the U.S. gives away is Japanese funding. The Japanese are buying up the debts of foreign nations so that the U.S. cannot foreclose and control who defaults and when. IT HAS THROWN THE CONSPIRATORS IN CHAOS.
The Japans have bought more than 60 percent of your recall. But—the Japanese said "Oh no you don't or we will ........."
Your conferences with your Soviet and British, etc., allies is to try to reach some significant solution as to that which might be done.
The Japanese have been very careful planners. Japan and America hold over 70 percent of all production in the world—funded by the Japanese.
The only hope to regain control is a mandatory WAR wherein the President can take control of the banks, etc., by emergency order—but that is not a real solution because the Japanese are major, major bank holders and owners and the secret would be blown wide open!
Back to Menu Phoenix EXPRESS: Volume 1, Number 12. Transcription- AH.
Page 7
Can you see that the only recourse left to the major powers and conspirators is a World War or capitulation? You, dear ones, are the simple pawns which are "to be annihilated" at any rate for you overpopulate the globe by some 5 billion persons.
NOTHING IS AS IT APPEARS
There are some most shocking things to come into your world attention from the days of the World War II, etc. You have been told things which are totally deceitful lies and truth will boggle your mind at this point. But as you gain insight and begin to see the reason and logical progression of the truth you will come into comfort with the knowledge of the truth of the facts and, hopefully, most uncomfortable with the status of things as they impact you the people.
Now the other major countries of the world will move into war to prevent the U.S. from making a currency switch--because the entire of the world must have that financial assistance to even survive. Your own markets are being shorn up artificially to allow for some measure of preparation and yet, there is nothing upon which all this money is funded and therefore value is zilch and the extensions are worldwide. The "One-ups-men" have been "One upped". Again, you citizens are caught in the trap laid forth for you. While you slept, Japan and the German fragments worked diligently in their schools, factories and brainwashing of the masses. Now it comes to all-out battle to decide who will rule your globe. There is coming a massive drawing up of "sides" and the handwriting is spread in very large print across the walls and pages of current history.
— WHAT CAN YOU DO?
Well, I guess I would sort of look at seeing if some of those lovely Japanese investors might help you with your printing business and factories, etc. They are delightful brothers and might just save your assets. What you "think" is owned by them is only the tip of the iceberg--they own your country and probably will fend off nuclear war by pulling from strength for a while longer—unless the foolish conspirators do something totally insane—which they do plan, but consequences are too insecure for the risk--hopefully.
You were warned from many voices about a nuclear war prior to the end of this month of April--shudder now, for that was projected and placed on the drawing boards of your elite. However, it has been placed there before and you run on probabilities and possibilities of action and either can change through free-will actions.
Back to Menu Phoenix EXPRESS: Volume 1, Number 12. Transcription- AH. Page 8
Any rumors of things such as French guillotines being sold to the U.S. "for placement in concentration camps" should tell you the story. You ones chuckle and say that must be within the IRS---not far from truth in sick humor. It will not be a guillotine which will be utilized, that would be torture terror tactics--the subtle approach will be wipe out through biological and chemical focused death areas.
How many of you are aware that Israel is outfitting every citizen (literally) as all Palestinians are excluded, with all the equipment to survive chemical warfare? Masks, complete beds for babes, clothing, etc. Does that not concern you greatly?
ONES CLAIM THAT THE JOURNALS ARE DANGEROUS. HOW DANGEROUS IS IGNORANCE? WHAT HARM WILL A SUPPLY OF GAS MASKS LIKELY DO FOR THE ISRAELIS IF NOTHING HAPPENS? PERHAPS A THREE-FOOT SPACE IN THE CLOSET AND A POUND IN THE PURSE? WHAT HAPPENS IF THE DANGER IS REAL? AN ENTIRE NATION OF UNPREPARED AND VERY DEAD JEWISH SETTLERS—ALONG WITH THOUSANDS UPON THOUSANDS OF PALESTINIANS. FEAR COMES FROM IGNORANCE—PREPARATION AND CALM CONFRONTATION COMES WITH KNOWLEDGE.
Those of you who would proclaim that "God would not speak of these things" are most foolish indeed. God cares greatly for you of His own beingness--OF COURSE HE WOULD SPEAK OF THESE THINGS AND WARN YOU OF YOUR IMPENDING HAZARDS. WOULDST A FATHER SEND HIS SON INTO THE LIONS DEN IF HE KNEW THE LIONS AWAITED THE UNSUSPECTING CHILD? YOU ONES MUST BEGIN TO LOOK VERY CAREFULLY AT THOSE WHO TELL YOU TO WITHDRAW FROM THESE WRITINGS AND PROCLAIM THEM DANGEROUS AND FEARMONGERING UNTO YOU—YOU HAVE MUCH GOING ON ABOUT YOU OF WHICH YOU ARE AWARE THAT MIGHT WELL BRING RIGHTFUL TEAR"--THAT WHICH YOU KNOW NOT MIGHT WELL BRING TOTAL TERROR, TOO LATE!
There seems to be a great misunderstanding in that it is perceived that these bringers of truth are making some millions and millions of dollars for their works. Nay, they all remain thousands and thousands of dollars in the arrears for their investment in your ability to gain this truth. They have gained no reward except slings and arrows—they have only further depleted all they have in material goods. Even the Expresses are running consistently "in the hole" and are carried by the senders. For you who disbelieve—check out printing and mailing costs.
The ones of you who send letters and samples unto others and unto "newsletters" and "papers in publication" are blessed indeed, for the help is
Back to Menu Phoenix EXPRESS: Volume 1, Number 12. Transcription- AH. Page 9
beyond the ability to express in words of gratitude. The "author" is not to be centered upon—space man, human—truth is truth is truth and distractions must be set aside in favor of the pure logical reason presented. PROOF IS ALL ABOUT YOU! IN EVERY SEGMENT OF EXISTENCE—PROOF IS ABOUT YOU!
In this writing, I will give you no backup writings for I intend to do a full Journal on the above described subject so that you might begin to receive some assistance regarding what you might begin to "do". First you must have insight into the problem prior to solutions. I can only offer it unto you--you will decide that which you will accept and that which you are willing to do in order to pass gently through this period of confusion. We force nothing upon you--not even the reading of the material--our accepted mission is to make it available to the best of our ability and yours is to do with it that which you will.
In love and Light in the service of God and The Creation I take my leave from this segment and place the positive energy of the Lighted hosts upon the words that they might be received in purity.
I AM Gyeorgos Ceres Hatonn, Commander, Intergalactic Federation. I serve in the Lighted Brotherhood of Man. So be it and I salute you as a brother in the service of Creator Source. If you are coming into the belief of "aliens" then I most sincerely urge you consider the possibilities at hand! SALU
3/11/1990 SANANDA
Esu Sananda to visit with you ones for a while. The path is filled with confusion and you are not given to see. It is to insure your security that causes you ones of my faculty to be kept in the "semi-knowing". You shall prevail in the challenge, for man, armed with truth, can Come into his own inheritance and march unto his goal. You ones who are in the writing and printing of the word are experiencing the efforts to stop you---even unto the most absurd of manners. This is not of psychic fortune-telling---ye will make of your own fortunes and ye can be in the foreknowing if ye will but face 'whit it is ye seek and do. No more and no less.
Ones who have been in communication with astral beings are finding, very often, that the beings were not truly of the lighted realms but rather, perpetuators of the false myths. These ones are compelled to do all in their power to dissuade you from your work. As the example with the dear ones from New Mexico. It does not work well to simply denounce--that has proven to gain even more attention to the truth---so, let us stop the writer, is the next (as well as the first) thrust.
Back to Menu Phoenix EXPRESS: Volume 1, Number 12. Transcription- AH. Page 10
As in the instance with the effort at rest and separation from the resource of truth--i.e., sever communications for fourteen days at the advice of some "unknown" entity who calls himself a Master. These energies already know you receive from God and THE Master Teacher so who would have authority to require you to speak not with us? The hope is to pull down confidence within your conscious selves that your contacts are not valid. The facts are, however, that if anyone suggests such a thing--you can be quite positive that your resources are indeed truth and valid and the thrust is to cause you to turn away in doubts.
As the truth becomes more similar to super science fiction you ones will become more questioning of your own sense of disbelief---therefore, you must have come into your foundation of stability upon the rock, which I am, that you do not break in the confrontation of truth.
I am most humbly grateful for the participation of ones who &hare the beginning journey with resources upon which the foundation of our work can be begun. I give great appreciation unto one who has allowed the setting up of the institute which can be the heart cell of our work and the receiving placement of the Journal's rewards to be distributed in ever widening circles. It will allow ones who hold the "keys" of knowledge regarding apparatus to begin' to function again, in properness.
The projects already planned shall find fruition for it must come to be in its proper sequence for we plan no communes for ones to sit and twiddle and indulge selfish "me-ness". Rewards shall be great and sharing shall be the central focus but not as other "communes" have structured the socio-political systems. We are about our Father's work and the system must function in a most human physical world. To mentally dwell with God is indeed fine--but you ones tend to forget--God dwells within thee! That means that as long as you dwell in the human format--God must also function in the physical format for that is His chosen experience.
You need not concern yourselves with the building of anything in the etheric realms---there are billions of energies who construct in perfection in the etheric planes. Why would you appoint yourselves in the density of physical format to presume to build in realms of your total ignorance? You must build and perform in action to impact and requalify the truth of your own experience--in a most physical manifestation. It is through your works upon your own placement that determines your progress through the schools of perceived passage of soul journey.
Beware of those who preach "mystery schools" and "having keys to the magic or mystery realms"---God is no secret and God does not give keys unto a
Back to Menu Phoenix EXPRESS: Volume 1, Number 12. Transcription- AH. Page 11
selected few--he gives forth and those, who are willing, pick up of the key and open the locks. You have mastered life when the "how-to's" are irrelevant. You will move forward and the "how" will become evident, but you must be in motion lest the goal be too big or too distant.
Beware of all "secret" so called truths, given only unto the few--for you must realize, chelas, that the "few" have given their own wishes and desires unto self that they might hold of their lofty positions as self-proclaimed. This is why you do not know of this scribe—there are no secrets and she holds them not unto herself but pens the words and they can then go forth unclouded by need for physical ego hoarding. All ones must come into balance with that which we give forth for you have been trained by human ego projections upon you to be tended and ordered about, governed and manipulated by ones who have "assumed" their placement of power for they have convinced you that you are not capable. Therefore, you do not study nor even object as your very "knowledge" and education capabilities are removed from you--you sit and wait for "them" to tell you what you must do--at the point of a gun. You forget that if you do not start of a journey it is certain that you shall not arrive. Yes, making "no" decision is already having made a decision. And, giving your decision into the hands of another will not be an accepted "reason" at the point of "judgment" of YOUR journey. Excuses will not count when confronting thine own God within on passage day! You will always get exactly that which you expect---good or bad, consciously or unconsciously. OTHERS CAN STOP YOU TEMPORARILY, ONLY YOU CAN DO OF IT PERMANENTLY! It is, however, indeed truth that most ones are willing to work, only if they can start at the top and work up! Little do they realize that from the willingness to start at the very bottom--they are already in achievement of the top.
Heed not those who try and try and try--trying and "effort at", are not the same. Trying provides two excuses-1-an excuse for not doing and an excuse for not having. There are actually only two things which you have in life-"reasons" or "results"--reasons are most often excuses and therefore reasons are not counted in the ending--only the results and you have no way to measure your success or failure according to the rule stick of God. If you hold back because somehow you feel constantly misled or mistreated, you must know that you are fully cooperating with the treatment and have given over control unto another to do that which they will with you. Further, if you worry constantly about that which might be and wonder and worry over that which might have been—you will ignore that which IS. To break out of your prison, you must first realize that you are incarcerated. The latter is the purpose of the Journals thus far---to show unto you that you are indeed, incarcerated, and begin to allow you to understand that you have the power to escape the bindings.
Back to Menu Phoenix EXPRESS: Volume 1, Number 12. Transcription- AH.
Page 12
You can worry until the ending trumpet but you will have missed the point of experience---worry comes directly from the belief that you are powerless instead of all-powerful. If you grow into maturity then you will have come into the realization that you are no longer being deceived nor taken in by one's self. You will come into honesty with self for the sake and morality of honesty and not because honesty is the "best policy", for if you base honesty upon being the best policy--then your honesty is corrupt. If you worship at another's truth then you shall always be separated from the glory of selfwherein God dwells. Harken unto the ones who share truth and show the way---pay not heed to those who tell you it IS the way through anything other than the glorious self. The Laws of God and The Creation are perfection, therefore, if you abide by those laws ye shall have perfection for God is within---not without and therefore truth is brought into balance from within--not without! Listen to teachings always from within thine own heart cell for another's truth is his--only that which is yours--is yours! YOU ARE THE ONLY TEACHER YOU WILL EVER HAVE---PONDER THE TRUTH OF IT. If you do not know what direction to take, you have not acknowledged where you are!
Since YOU are the cause of everything that happens to you--be most careful of that which you cause for in fact, there is no actual right or wrong--only consequences. You can have everything in life that you want--if you will help enough other people get that which they want. At any time in your journey that you care not for the games people play--turn away and make up thine own games--for the winning or losing will be yours to hold, not another's. Strange things occur during a journey of truth unto balanced passage, one is to realize that you have no choice but to feel what you are feeling---the choice comes in changing the mind regarding it. If you have lived to simply make yourself important---notice how unimportant you have actually become!
If your life is not working the way you perceive you want it to be--look carefully and you will see that you are lying. There are but three kinds of people in the ending; those who make things happen, those who simply watch things happen---and the ones who haven't the slightest idea what is happening. Learn that which is truly happening and you can change of it. As you go about thine searching be cautious indeed for if you think something outside of yourself is the cause of your problems, you will err in looking outside of yourself for the answers. Dear ones, in the physical life journey you will never "have it all"--that would be like trying to eat once and for all. Can you not realize that all unhappiness is caused by perception and comparison? Ye can only be that which ye perceive yourself to be. Your success is measured only by your ability to complete things and the more
Back to Menu
Phoenix EXPRESS: Volume 1, Number 12. Transcription- AH. Page 13
clear you are on that which you want, the more power you will have and you must hold uppermost in all thy senses—GOD DOES NOT MAKE FAULTY PRODUCTS. If you have problems, so what, solve them so that they no longer annoy you—confront them in truth, sanity and reason and solve them—they, too, shall pass. Hold my hand and walk with me for I am sent as the way shower to heal of thine life through showing you the way of truth. I come again as Sananda—healing life-source, that you can be lifted up and walk in wholeness and perfection—you dawdle in the mud puddles when you could traverse the heavens to touch of the stars. Can ye not accept of your perfection?
This scribe nor these bringers of the word of truth set not themselves above or beyond other--they simply are the couriers of Aton Creator to remind you of your perfection. Ye need of no interpreters nor mediators--your soul knows of that which is truth if ye will be harken. Share of the truth of the word and your heart will blossom into glory for thine brother knows he is sick and weary. You who turn to substances to change and shroud of the mind --when you find that life is destroyed and you can no longer face the addictions or the drugs which you depend upon to hide you from yourself---you will change back into "reality" and remove yourself from the ranks of the walking dead. There is a fine solution and a "bad" solution to every problem--you just don't keep enough reserves of good solutions in your larder. The choice is always yours! What kind of choices do you make?
If you cling unto the security that you perceive you have, if it be not of Godness--then ye shall doubtlessly miss the journey into abundance and success--ye shall simply remain clinging to that which might have been for from the cradle unto the grave of physical man—THERE IS NOT SECURITY SAVE THAT WHICH IS OF THE SOUL DESTINATION. ALL ELSE IS BUT A FLEETING MOMENT OF PERCEPTION OF CHANCE AND YOU MUST MAKE OF YOUR CHANCES.
I do not plan to speak in riddles--I do plan to speak in thoughtful truth. I am come to bring my Father's people home unto him—are you one of mine family or not? The eleventh hour approaches----what is your "happiness" level of measure this day? If it be not full and filled with peace, I suggest you give the Lighted path a chance—what possible loss could you sustain therefrom? Perhaps ye shall gain of the Kingdom!
Beware the secret orders for they are filled with people who lay the rules and limits and then keep the rules from you by their own pronouncements. You need no priests, ministers, lawyers, judges nor go-between interpreters to be with truth and God—YOU CAN HAVE NO GO-BETWEEN BETWEEN SELF AND SELF--PONDER IT! YOU HAVE BECOME PEOPLE OF THE LIE AND 'TIS TIME
Back to Menu Phoenix EXPRESS: Volume 1, Number 12. Transcription- AH. Page 14
YOU COME INTO THE TRUTH OF THE WAY IT IS AND NOT AS YOU ARE TOLD IT MUST BE!
Your journey will be as good or as bad as you make of it for God Creator has granted that reasoning freewill gift unto you--thy measure of the journey is what ye have done with the gift. If ye send out bigotry--ye shall reap of bigotry against thine self. If you send out love and giving--it shall flow a hundred fold back unto self--it is the law of the universe. If ye plant of corn-ye will reap of corn, sow peace and ye must reap of peace--ye have been about sowing of the lie and now comes the harvest thereof--but it can be of the last crop of thistles if ye refuse to further plant of the beast's seeds. The harvest is at hand---YE CAN CHANGE OF THE CROP. But first, you must recognize of that which has been planted in your fields-did you plant it? Did you allow use of your fields and allow another to plant his own crops in your garden? Perhaps you need to take control of the planting within your own fields lest there be naught to reap at harvest but abundant weeds. Look unto thy European neighbors this day—the larders are bare and half a planet is in starvation of body and soul--what is that YOU sow in your fields—or, do you wait for another to tend of it for you? If you deny truth, then you are thereby denying thine own talents—no decision is having made a decision--unfortunately! So be it—will ye miss of the lifeboat whilst ye await the helicopter? 'Tis not likely thine salvation will come from the ones who have perpetrated the slavery upon you. The slave master and trader are not likely to set the slaves free! So be it and selah for the Word of God is the sword of freedom--I AM 'THE WORD AND THE WORD SHALL GO FORTH UPON THE WINDS AND WATERS OF THE PLANET THAT MAN CAN CHOOSE!
I release now, this scribe, that she might have rest. I bring the benediction of the Totality of God that you ones might find clarity and sort away the confusion--ask and ye shall receive--seek unto me and ye shall find of the way for I am the Way, The Truth and The Light!
I AM SANANDA, ONE WITH GOD, ATON OF LIGHT, MOTHER/FATHER CREATOR/ CREATION. WHO MIGHT YE BE?
The latest (13th) Phoenix Journal is at the printer and will be ready for shipment within a few days.
SKELETONS IN THE CLOSET By Gyeorgos Ceres Hatonn
"I scatter things from extra low frequency beams to counterfeit money via German Nazis in the Antarctic funnelled through Japan and flooding your markets because I desire to shock you into attention--and then we can take the events in sequence that you can recognize the truth of the Journals." "The twilight of the United States is guaranteed that it is humanly impossible for the U.S. either to turn aside or to win a war with the Soviets, for instance-and that is only for starters. Only a miracle could do that--do you deserve a miracle?"
"You simply cannot believe the incredible weapons available for your annihilation---." "--YOU ARE NOT FREE, YOU HAVE A POLICE STATE AND ARE COMPLETELY CONTROLLED!"
"The Kremlin has committed itself to a step-by-step clearing of the decks for war and so have your government participants who-work with them under the covers. They have left you without even the ability to have a shelter system in which to survive--YOU OF THE U.S. HAVE BECOME THE EXPENDABLES. "THEY" CANNOT GET RID OF THE AMERICANS AS THEY ARE GE1 - 1ING RID OF MANY AFRICAN AND THIRD WORLD COUNTRIES, THROUGH FAMINE AND DISEASE, AND WEATHER AND DISASTER CONTROL OH OH! HATONN HAS DONE IT NOW--WEATHER AND DISASTER CONTROL?"
|
AEBR Political Forum RURAL DEVELOPMENT AND BORDER REGIONS
- Basic Document -
Draft
Seeon Monastery, EuRegio Salzburg-Berchtesgadener Land-Traunstein, 12 March 2007
1. Background and political framework
Europe's regions and local communities face some major challenges over the coming years, including:
- constantly changing conditions due to economic and political globalisation;
- accelerating EU integration;
- the effects of EU enlargement on the economic, social and territorial cohesion of the EU and increasing interdependence between the EU and its neighbours;
- more territorial concentration of economic activities;
- the effects of demographic change and migration on the labour market and public utilities;
- the effect of climate change, rising energy costs and the role of environmental potentials;
- new EU policies for the period 2007-2013.
2. Equal living conditions remain a key aim
Despite the political discussions on the challenges posed by European integration and globalisation, the Lisbon Strategy and a reorientation of land-use and regional policy, there is no convincing reason for playing off the economic goals of growth and competitiveness against the core socio-political aim of creating "equal living conditions". Equal living conditions, including in regional areas and border regions, remain a key socio-political objective:
- "Equal living conditions" do not mean "identical living conditions" in the sense of levelling down or reducing to a lowest common denominator. They are a political guideline for exploiting in the most effective way possible the different potentials and possibilities offered by all regions and their inhabitants, in all their diversity.
- It is in the political, economic and social interest of the EU and its Member States to foster the new principle of territorial cohesion, alongside that of economic and social cohesion.
- Only by preventing extreme geographical variations (at both national and European level) can EU integration be advanced, serious conflicts avoided and the legitimate interests of people in disadvantaged regions taken into account.
- If we are to survive the challenges of global competition, it is not enough given the decline in financial resources available - to support only structurally strong national and regional centres, which are in any case showing positive
development, at the expense of structurally weak, rural, peripheral areas, many of which are located in border regions.
- Development trends show that economic growth and prosperity are not determined by degree of concentration alone; in fact, as many prosperous rural areas (cf. ESDP, Territorial Agenda) demonstrate, rurally structured and peripheral areas make significant contributions to growth and employment and hence to economic prosperity.
- Equality and sustainability are therefore not mutually exclusive where the development of rural areas and border regions are concerned.
Hence, "equal living conditions" should be interpreted rather in terms of equality of opportunity, diversity, competition, concentration and management of shrinking processes.
3. Special nature of rural border areas
Border regions are particularly affected by all these territorial trends and challenges. There are a number of reasons for this, including:
- their location on the periphery of their country, sometimes also of Europe;
- their technical infrastructure, which was late in developing or has yet to develop;
- the danger that trans-European networks will simply turn these areas into transit zones, or leave them completely cut off;
- the threat to rural border areas from emigration (particularly the younger generation) and an ageing population;
- the social and societal erosion of small towns/villages;
- the lack of jobs and public utilities;
- consequently, an increasingly rapid erosion of the role of established power structures and increasing loss of local control;
- cross-border environmental and climatic effects;
- rising energy prices (in rural border areas the car is often the most important, sometimes the only, means of transport available);
- the effects of EU expansion (former external borders becoming internal borders, borders between new Member States becoming internal borders and new external borders being created).
4. Development goals for rural areas, particularly those located in border regions
"Territorial cohesion" is about more than economic and social cohesion. It concerns the whole territory of the EU, in particular all border regions, with the poorest areas meriting priority attention. For this reason, the Territorial Agenda is right to stress that all endogenous potentials (metropolitan regions, agglomerations, medium-sized towns) should be exploited and a new understanding of "territorial governance" and cooperation is needed, as is mutual consideration of local, regional, national and European policies.
Rural regions occupy over ¾ of the EU's total surface area, border regions over 1/3. Rural regions and border regions together are therefore of crucial importance to the lives of all citizens. In view of this, it is vital to preserve and further develop the wealth and diversity of rural areas, and of border areas in particular. The aims are to:
- halt the decline of these areas, stem the population loss and improve living conditions;
- counter imbalanced geographical concentration in metropolitan regions and agglomerations by means of polycentric development, in particular by strengthening medium-sized centres;
- exploit territorial potentials (including regional diversity) more effectively to foster growth and employment;
- take account of the effects of EU expansion and of relations on the EU's external borders (border areas are very often rural);
- meet the challenges posed by climate change, energy and raw material supply as well as the problems facing the labour market due to the ageing population and migration;
- combine economic, cultural, social and infrastructure potentials on both sides of borders (creating a critical mass to make measures, investments, projects, etc. worthwhile);
- avoid ruinous regional and/or local competition at national and cross-border level. Instead of this, joint cross-border models should be developed, local authority and regional plans harmonised at national and cross-border level and joint infrastructures operated;
- create sufficient job opportunities, this being one of the key prerequisites for equal living conditions in rural border areas;
- ensure adequate public utility provision with appropriate facilities, another key factor in ensuring equal living conditions. Related to this is the ability of medium-sized and smaller centres to function, something that depends very much on sufficient population levels (demographic development) in the surrounding area of influence and on proper accessibility, particularly in thinly populated rural regions;
Specifically related to agricultural policy:
- pursue an overall strategy for the sustainable development of rural space, not only in the form of agricultural subsidies but also by strengthening the third pillar of the agricultural policy from 2007, namely rural development;
- move from the rather production-oriented mentality that has characterised the agricultural policy hitherto towards a process of policy and economic change, which takes into account special economic, cultural and territorial conditions and thereby helps to protect the natural space, rural traditions and natural heritage;
- move towards a multifunctional agriculture, which makes a significant contribution to environmental protection and rural development. The goals to be achieved must be set by local and regional authorities, since they are most in touch with local conditions in rural areas, particularly in border regions;
- devise a new rural development model based on cohesion, agricultural multifunctionality and competitiveness, which takes account of the diversity of regions, preserves the wealth and diversity of rural areas and exploits the regional potentials of rural spaces.
5. Action areas and measures
5.1. Action areas
We need to take the future into our own hands and develop active cross-border cooperation in all areas. This can be achieved in a variety of ways, including:
- regional cross-border models involving real targets, practical principles, action areas and projects, in areas such as the economy, innovation and research, social infrastructure, technical infrastructure, culture and tourism (and in other fields too, depending on the regions concerned);
- cooperation between political, administrative and economic players and nongovernmental organisations: such cooperation harbours great creative potential;
- municipal and regional associations, in which the strongest players bear the greatest responsibility (advantage: enables potentials to be pooled, disadvantage: risk of loss of identity);
- creating "regional clusters" in peripheral rural areas based on the regional diversity of these areas (e.g. sport/wellness/health; national parks/nature reserves and the environment; renewable resources/alternative energy generation; innovation and research centres through cross-border cooperation).
5.2. European and national measures
In line with the ESDP and the Territorial Agenda, the Member States and the EU must be required to:
- develop cross-border spatial planning models and plans and factor these into national spatial development and sectoral planning processes;
- ensure regular cross-border harmonisation of all spatially-related plans and measures;
- compile joint, cross-border regional and (where useful) land-use plans, this being the most far-reaching form of cross-border spatial development policy;
- assess, during the mid-term review of the programme period 2007-2013, whether adequate resources are available to enable cross-border and transnational cooperation to be stepped up even further (as required by the Territorial Agenda);
- continue the dialogue with European regional organisations on the Territorial Agenda, which was begun at the AEBR annual conference in Pamplona on 24 November 2006: such a dialogue is key to the further development of this important document;
- take cross-border spatial development plans (which already exist in many cross-border regions) into consideration in national spatial development plans with the aim of implementing truly regional-specific cross-border planning;
- ensure that cross-border cooperation structures at regional and local level are regularly involved in these planning processes;
- transfer tasks to these cross-border cooperation structures (powers remain with the respective national bodies);
- enable cross-border environmental and risk management, e.g. joint water supply and sewage disposal, joint water management along rivers, crossborder disaster management and rescue services.
5.3. Regional and local measures
Rural regions, in particular thinly populated border areas with major structural problems, require completely different measures from urban or suburban areas. The main challenge is to actively support and shape inevitable structural change in rural areas and border regions and so curb a potential downward spiral within these regions. This can be done by:
- exploiting endogenous national and cross-border potentials in a consistent way;
- strengthening a number of key centres within rural areas;
- developing new forms of public-private cooperation;
- using the decreasing financial resources available a) to bring about the necessary concentration and b) to distribute tasks sensibly between regional and local authorities.
- The key concern must be to ensure strong regions on both sides of borders (i.e. economic borders rather than administrative and national ones).
- Thinking in terms of "concentration, complementarity, competitiveness and the creation of a critical mass" is just as important as thinking in terms of "knowledge, expertise and finances" (e.g. public-private cooperation or cooperation between knowledge institutions/economic bodies, specialised training institutions and SMEs).
- Moving in this direction will lead to reciprocal strengthening across borders. Good examples of this are cross-border "research landscapes" and "life sciences regions".
The following practical measures could be taken:
- Strengthening new forms of concentration, especially in thinly populated border areas, for example by redefining centres (including cross-border) and minimum supply standards:
- Existing population concentrations around medium-sized and small towns should be strengthened, so that these towns can serve both to encourage development and offset inevitable emigration and concentration processes, thereby countering the insidious processes of wide-scale population loss and passive restructuring.
- Efforts must be made to preserve educational and social institutions by developing innovative and creative public utility solutions.
- The effects of demographic change in thinly populated rural areas/border regions should be taken into account in the development of transport infrastructure (especially public transport), the housing market (older population) and tourism (declining population, older population).
- A certified status could be awarded to important urban regions (urban networks), and even to European cross-border metropolitan regions in border areas.
- There should be regional and local cooperation in the cross-border areas of influence of large centres and in border towns/cities.
- Action areas for spatial planning policy in border areas should be examined.
- Economic development and education are critical factors in the development of rural border areas and the exploitation of their endogenous potentials. Measures here include:
- diversifying sectoral structures in good time (the effects of demographic change only manifest themselves in the medium term);
- examining the possibilities of immigration in areas where skilled workers are lacking;
- adapting training structures to older people;
- gearing education network planning to future needs: likewise with cooperation between local authorities and schools (e.g. classes covering more than one school year or boarding schools as alternatives to longdistance daily school transport);
- examining the possibilities of joint, cross-border educational establishments with regional scope (e.g. vocational colleges, regional branches of universities, specialist institutions);
- implementing cross-border public and private service provision;
- organising cross-border labour markets.
- Adequate and accessible services are a critical factor in preventing population loss:
- In terms of health care, the possibilities of telemedicine in rural areas and mobile services in specialist healthcare fields should be exploited.
- In terms of public utilities, such as food and other daily consumer goods and services (medicine, post, etc.), certain types of service should be offered at a single shop, joint ordering services set up and mobile sales possibilities created.
- Maintaining good transport links and accessibility is key to the future of rural/border regions:
- The priority should be to maintain existing transport infrastructures rather than building new ones.
- Non-infrastructural possibilities should be further exploited.
- Local public transport provision should be secured and adapted where necessary (e.g. taxi-buses and taxis, community buses, etc.).
- The mobility and accessibility needs of older citizens should be taken into account.
- Active management of the housing market has an increasingly important role to play in keeping people in these areas and bringing new people in. In view of this, measures must be implemented that take account of the ageing of the population and of lifestyle diversity, for example:
- providing enough housing for singles and couples;
- modernising housing blocks, which have a role to play in social cohesion;
- meeting the growing demand for housing for older people;
- building attractive mixed housing, in which young and older people can live with and side by side with one another.
- Standards in the fields of technical supply and disposal in peripheral rural areas should be examined (should all small settlements be connected to a central sewage treatment plant or are small treatment plants environmentally viable?).
- In general, it must be accepted that public utility standards in thinly populated areas will differ from those in urban areas.
|
No. 07-552
IN THE
Supreme Court of the United States
___________
SPRINT COMMUNICATIONS COMPANY L.P. & AT&T CORP., v.
Petitioners,
APCC SERVICES, INC. et al. ,
___________
Respondents.
On Writ of Certiorari to the United States Court of Appeals for the District of Columbia Circuit
___________
REPLY BRIEF OF PETITIONERS
___________
THOMAS C. GOLDSTEIN PATRICIA A. MILLETT AKIN GUMP STRAUSS HAUER & FELD, LLP 1333 New Hampshire Avenue, N.W. Washington, D.C. 20036 (202) 887-4000
CARTER G. PHILLIPS* DAVID W. CARPENTER SIDLEY AUSTIN LLP 1501 K Street, N.W. Washington, D.C. 20005 (202) 736-8000
DAVID P. MURRAY RANDY J. BRANITSKY WILLKIE FARR & GALLAGHER LLP 1875 K Street, N.W. Washington, D.C. 20006 (202) 303-1000
Counsel for Petitioner Sprint
April 9, 2008
WAYNE WATTS AT&T INC. SENIOR EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL 175 E. Houston Street San Antonio, TX 78205 (210) 821-4105
Counsel for Petitioner AT&T
* Counsel of Record
TABLE OF CONTENTS
iii
TABLE OF AUTHORITIES
v
8
INTRODUCTION
The question presented in this case is straightforward. Do plaintiffs who have been assigned claims only "for purposes of collection" have standing to bring federal district court damages actions on behalf of third parties who are fully capable of bringing suit themselves? The answer is no. Such claims are barred by Article III as well as by settled principles of prudential standing.
First, it is axiomatic that Article III requires a plaintiff to have a personal stake in the outcome of litigation it initiates. Respondents do not dispute that Article III bars suits by agents who are obliged to remit the proceeds of litigation to their principals. In contending that they have Article III standing, respondents are reduced to arguing that they are not such mere collection agents and must be deemed the owners of the PSPs' claims because the "assignment" and the obligation to remit proceeds to the PSPs were purportedly contained in separate contracts.
But respondents' "two contract" theory is legally and factually baseless and was rejected by both lower courts. Equally misguided is respondents' reliance on Vermont Agency of Natural Resources v. United States ex rel. Stevens, 529 U.S. 765 (2000), which does not remotely support Article III standing for assignees-for-collection-only. Respondents' related historical arguments fare no better. There was no tradition of such suits at the time of the framing of the Constitution, and the only assignments this Court has ever held sufficient to confer Article III standing are complete or partial assignments of entire claims, including the right of recovery. When this Court has addressed assignments-for-collectiononly, it has stated that the assignee has no interest in the outcome of the lawsuit.
Second, whether or not there is Article III standing, settled principles of prudential standing bar this lawsuit. Respondents admit that individual PSPs are fully capable of suing in their own names, and respondents have not advanced a single legitimate reason why this action was not jointly brought by the 1400 PSPs – with respondents acting as the PSPs' attorney and witness, not as a "plaintiff-for-hire" collection agent.
Had respondents proceeded in this way, there would have been no issues about petitioners' entitlement to discovery, no impediments to asserting and litigating counterclaims, no risk that individual PSPs could later claim not to be bound by the judgment, and no possibility that the nominal plaintiffs who brought this action would be unable to develop the facts required to litigate individualized damages claims on behalf of 1400 absent third parties. But all these problems arise when claims are brought by assignees-for-collection-only. It is for this reason that this Court has held that, absent contrary direction by Congress, damages suits cannot be brought on behalf of third parties in circumstances like these.
I. RESPONDENTS LACK ARTICLE III STANDING.
As respondents state, "[t]his case is about hard cash." Resp. Br. 43. Their problem is that there is not a penny in this litigation for respondents. Respondents have brought their action against petitioners solely on behalf of 1400 absent PSPs, and respondents conceded below that they are required to channel any cash received from petitioners into the hands of these PSPs. 1 As respondents candidly state, this lawsuit is merely an extension of the preexisting agency relationship in which respondents have acted as "aggregators" who are responsible for "tracking dial-around compensation owed by inter-exchange
1 Respondents assert in their brief (at 8-9) that they have "a contingent interest" in the outcome of the case because, if a PSP hypothetically ceased funding the litigation, respondents would claim the right to keep the proceeds of that PSP's claim. But, when the factual issues relevant to standing were litigated in the district court below, respondents made no such argument, and they also made no such claim in their brief in opposition to certiorari in this Court. Rather, the first time this claim was raised in the district court in this case was when respondents moved to amend their complaint to add that allegation after certiorari was granted. For this reason, the district court then held that, even if this claim were meritorious and were relevant to respondents' standing, it has been waived. See Tr. of Hr'g at 51-54, APCC Servs. v. AT&T Corp., No. 99-696 (D.D.C. Jan. 28, 2008); see also Sup. Ct. R. 15.2.
In any event, the argument lacks merit. The letter accompanying the assignment explains that, if a PSP ceases contributing to the litigation fund, the PSP will be withdrawn as a plaintiff and may pursue its claims on its own. Pet. App. 126 ("If a PSP refuses to permit the above deductions or withdraws his/her agreement to allow these deductions prior to conclusion of the suits, APCCS will drop that PSP from the plaintiff's list and will have no obligation to represent the PSP …."). Respondents rest their contrary position on the unsubstantiated assertion of a single APCC officer set forth in a declaration that is not part of the record in this case, Resp. Br. 8, and which, as the district judge made clear, is contrary to the position respondents took in this case.
Finally, respondents concede that this new allegation has no pertinence to this Court's review. They acknowledge that the lower courts decided the case on the "assumption" that respondents must "pass back to PSPs all proceeds of the litigation" and this Court "may properly" decide this case on the same assumption. Id. at 9 (emphasis omitted).
carriers (IXCs) and collecting it on behalf of PSPs." Id. at 1. 2 These are concessions by respondents that they are mere collection agents with no personal stake in this litigation.
But time and again, this Court has held that Article III requires that the plaintiff have a "personal stake in the outcome" of his suit. Baker v. Carr, 369 U.S. 186, 204 (1962); see Pet. Br. 18-21. Unless principles of associational standing are met – and they are not here, Pet. Br. 52-53 – a plaintiff cannot bring suit solely to redress injuries to absent third parties. A plaintiff has suffered no "redressable" injury, and hence lacks constitutional standing to sue, if he does not seek to protect his own interests, Warth v. Seldin, 422 U.S. 490, 515-16 (1975), and does not "stand to profit in some personal interest" from the litigation, Simon v. E. Ky. Welfare Rights Org., 426 U.S. 26, 39 (1976). Accord Steel Co. v. Citizens for a Better Env't, 523 U.S. 83, 91 (1998); City of Los Angeles v. Lyons, 461 U.S. 95, 101 (1983); Linda R.S. v. Richard D., 410 U.S. 614, 616-17 (1973).
As this Court has held, the requirement that a plaintiff have a "personal stake in the outcome of the controversy" is essential to ensure "concrete adverseness" between the parties, thereby "sharpen[ing] the presentation of issues upon which the court so largely depends for illumination." Baker, 369 U.S. at 204. By contrast, if lawsuits could be brought by mere agents of the claimant, the court would not have before it those whose interests are
2 Contrary to respondents' suggestion, Resp. Br. 4, it is because aggregators have this contractual role that AT&T has insisted that it deal with them in resolving disputed bills. But that is irrelevant to the question of who must bring collection lawsuits.
most directly affected and who will be the most committed and engaged advocates. Similarly, the defendant will be denied the opportunity to confront its true accuser. See Pet. Br. 46-48.
Respondents do not dispute these fundamental principles. 3 Indeed, they appear to acknowledge that Article III denies standing to a plaintiff who has been assigned a damages claim solely for purposes of litigation and who is a mere collection agent with no stake in the outcome of the case. Resp. Br. 19. Respondents' argument is that these principles are inapplicable here because of the sheerest of formalisms – the claim that their obligation to the PSPs was defined in two separate contracts. They further contend that use of such formalisms to confer standing was endorsed by Vermont Agency, was accepted at the time of the framing of the Constitution, was assumed by this Court and lower courts thereafter, is required by Federal Rule of Civil Procedure 17, and is essential to other commercial arrangements. Each of these claims is baseless.
3 Respondents do argue that "[t]he nine years respondents have now litigated against AT&T" "bespeak concrete adverseness in full measure." Resp. Br. 43. However, this reflects no more than respondents' contractual commitment to pursue the PSPs' claims "on [their] behalf." Pet. App. 115. Beyond that, they do not explain why nine years is any more indicative of standing than the five years that the Eastern Kentucky Welfare Rights Organization spent litigating the rights of indigents to health care in Simon, see 426 U.S. at 32, or the fact that any lawyer or other agent is motivated vigorously to pursue claims on behalf of their principals. "[M]otivation" simply "is not a substitute" for satisfying the requirements of standing that "focus litigation efforts and judicial decision making." Schlesinger v. Reservists Comm. to Stop the War, 418 U.S. 208, 226 (1974).
A. Respondents' Two-Contract Theory Is Factually And Legally Erroneous And Irrelevant To Article III.
Although respondents admit that they brought this case on behalf of 1400 PSPs and are contractually required to remit all proceeds of the litigation to the PSPs, they contend that courts are required to treat them not as collection agents, but rather as the "own[ers]" both of the PSPs' claims and of any recoveries in this action. Resp. Br. 5-7, 17-24. They base these arguments on a formalistic "two contract" theory. They contend that they were assigned unencumbered legal title to the claims of the PSPs in one contract (the "APAO" or "Assignment Agreement") and that it is a purported "subsequent" and "entirely separate document" (the "Compensation Agreement Amendment") that requires the remission of all damages recovered in the litigation to the PSPs. Id. at 17. Because the Assignment Agreement purportedly made them owners of the claims, they argue that the "subsequent" Compensation Agreement Amendment is merely a "collateral" contract and is to be ignored in assessing their standing, just as the court would ignore a contract in which an injured party agreed to donate all proceeds of litigation to charity. Id. at 24.
These claims are baseless, root and branch. They rest on misrepresentations of the record, ignore basic contract law, and are refuted by the contrary findings of both lower courts. In all events, even if there were the two separate contracts that respondents allege, this Court has repeatedly held that the bedrock requirements of Article III cannot be evaded through such formalism.
First, respondents have misrepresented the two documents. The obligation to remit the proceeds of the litigation is contained in the Assignment Agreement, not in the purportedly "subsequent" and "separate" Compensation Agreement Amendment. The Compensation Agreement Amendment says nothing about the treatment of any damages award, Pet. App. 116-21, 4 and respondents do not even purport to cite to a provision of this agreement that does so. Compare Resp. Br. 6-7. The court of appeals did not even address the Compensation Agreement Amendment.
Rather, it is the Assignment Agreement that requires that any and all damages be passed through to the PSPs. It provides that each PSP has assigned "title" to its claims solely "for purposes of collection," Pet. App. 114, and states that this assignment means that respondents will bring suit "on behalf of" the PSPs and seek to "collect[] DAC [dial-around compensation] due the Company" – i.e., the PSP – and "owed to the Company." Id. at 114-15 (emphasis added). Indeed, respondents' accompanying cover letter explained that the provision "assign[ing]" the PSPs' claims "for purposes of collection" "will allow APCCS to prosecute the litigation on your behalf." Id. at 127 (emphasis added). The court of appeals thus found that this provision of the Assignment Agreement reflects "the aggregator's promise to pass back to the PSP whatever it is able to collect," id. at 12, and concluded that the Assignment Agreement contains "the aggregators' promise to hand over any
4 Rather, the Compensation Agreement Amendment established a mechanism for the funding of the litigation by PSPs, and, in this connection, it provided only that, if the aggregator "recovers attorneys fees and/or costs in connection with any lawsuit APCCS may bring to collect PSP's [dial-around compensation] Claims, it will remit such recoveries." Pet. App. 120 (emphasis added).
recovery." Id. at 14. The district court had also so found. Id. at 86 ("The assignments do not give plaintiffs the right to retain or share in any proceeds of the litigation.").
Second, even if the Compensation Agreement Amendment had addressed the treatment of any damages recovery, it is not a "subsequent" and "separate" agreement. As respondents admit, the two documents were presented to the PSPs as an integrated package that, when signed together, would entitle respondents to enforce a PSP's claim. "The APOA and Compensation Agreement were sent to PSPs with a cover letter from an official of APCC Services." Resp. Br. 7. That cover letter stated that "[a]ttached are the documents that you must execute and return if you wish to be a part of APCC Services' (APCC) litigation efforts" and told the PSP that it must sign both "immediately to assure inclusion in the suits to collect unpaid dial around compensation." Pet. App. 122 (emphases in original).
Under black letter contract law, the Assignment Agreement and the Compensation Agreement Amendment comprised a single, unitary contract. Even in the absence of an express statement of incorporation, "instruments executed at the same time, by the same contracting parties, for the same purposes, and in the course of the same transaction will be considered and construed together, since they are, in the eyes of the law, one contract or instrument." Crowe v. Bolduc, 334 F.3d 124, 137 (1st Cir. 2003); accord W. United Assurance Co. v. Hayden, 64 F.3d 833, 842 (3d Cir. 1995); 11 Williston on Contracts §§ 30:25-30:26 (4th ed. 1990 & Supp. 2007).
Third, respondents' arguments would be spurious even if their two-contract theory were not unsustainable both factually and legally. Because Article III standing enforces fundamental constitutional limitations on the judicial power, standing turns on the actual substance of a plaintiff's interest, not the form of the paperwork on which the plaintiff sues. This Court has repeatedly confronted the question whether assignments or similar "for collection only" transfers of interest give rise to original federal court jurisdiction. In each case, it has looked beyond the formalities, examined the substance of the legal relationship, and held that federal jurisdiction cannot be invoked by a plaintiff when, as here, it never was entitled to receive any of the relief awarded in the case. 5
Respondents' only answer to that wall of authority is to contend that, while the Court scrutinizes the substance of a plaintiff's interest in a case for purposes of diversity or original jurisdiction, the Constitution should blindly yield to formalism when Article III's case-or-controversy requirement is at stake. Resp. Br. 41-42. That cannot be right. Article III injury must exist "in fact," see Lujan v. Defenders of Wildlife, 504 U.S. 555, 560-61 (1992), and so too must redressability. See Steel Co., 523 U.S. at 106. Article III "is not a kind of gaming device." ASARCO
5 See Pet. Br. 28-31, 34 & n.4 (citing, inter alia, Oklahoma ex rel. Johnson v. Cook, 304 U.S. 387 (1938); Oklahoma v. Atchison, Topeka & Santa Fe Ry., 220 U.S. 277 (1911); Woodside v. Beckham, 216 U.S. 117 (1910); Lehigh Mining & Mfg. Co. v. Kelly, 160 U.S. 327 (1895); New Hampshire v. Louisiana, 108 U.S. 76 (1883)); see also Navarro Sav. Ass'n v. Lee, 446 U.S. 458, 465 (1980) (noting that diversity jurisdiction would be lacking over suit brought by plaintiffs "who act as mere conduits for a remedy flowing to others") (internal quotations omitted).
Inc. v. Kadish, 490 U.S. 605, 615 (1989) (plurality opinion).
For each of these reasons, respondents' twocontract theory does not give them Article III standing. Respondents never have had independent legal control over any proceeds that might result from the claims they seek to enforce. From the moment the contracts were executed, all the money from any settlement or judgment was legally obligated to pass through respondents' hands and directly into the PSPs' pockets. See Resp. Br. 14 (noting that the PSPs could enforce their claim to the proceeds in a breach of contract action). There is no merit to respondents' assertion that the putative division of their arrangement between two separately stapled documents gave them some fleeting "legal authority to dispose of those proceeds as they see fit." Id. at 21.
Respondents are also simply wrong in analogizing themselves to "an original owner of a claim" who agrees "to donate every penny she recovers in litigation" to a charity. Id. Such a party had a clear entitlement to the proceeds of the claims and the legal authority to re-direct the proceeds to a third party, and she entered into an independent agreement to pay over any judgment to a third party to satisfy some personal obligation or interest. Because her personal interests are redressed by a favorable judgment, she has standing. By contrast, respondents never have had any entitlement to the proceeds of this litigation, and a favorable judgment would redress no personal interests of theirs. 6
6 Contrary to respondents' assertion, petitioners are not claiming that redressability and standing "depend on what the plaintiff plans to do with any recovery." Resp. Br. 40. Rather, petitioners claim only that Article III turns on whether the
B. Vermont Agency Does Not Support Article III Standing For Assignees-ForCollection-Only.
Contrary to respondents' argument, Resp. Br. 2430, nothing in Vermont Agency supports the existence of Article III standing for assignees of claims forpurposes-of-collection-only. Petitioners have explained that such assignments cannot allow assignees to assert the injury in fact of the assignor. Pet. Br. 32-37. But, even if they did, Vermont Agency made it explicit that an assignee cannot have Article III standing unless it also has a concrete personal stake in the outcome of the case – that is, an interest that would be redressed by a favorable judgment. In particular, this Court reiterated that redressability is one of the three invariable requirements of constitutional standing. 529 U.S. at 771. The Court then specifically discussed the bounty that the relator would receive, explaining that, because of "the bounty he will receive if the suit is successful," "a qui tam relator has a 'concrete private interest in the outcome of [the] suit.'" Id. at 772 (alteration in original) (quoting Lujan, 504 U.S. at 573).
Respondents counter with a strained reading of Vermont Agency that rests on extrapolations from the parties' briefs in that case and not on this Court's opinion. Resp. Br. 25-30. The thrust of respondents' argument is that Vermont Agency categorically
plaintiff has an objectively cognizable legal interest in the outcome of the litigation because it has or had an independent legal right to the remedy – that is, the legal authority to receive and determine the disposition of any legal relief awarded. Because respondents never had that right, they do not have a personal stake in the litigation that a court can redress, regardless of how they subjectively intend to dispose of the proceeds.
approved "assignee standing" based solely on the assigned injury, and that the Court's discussion of the relator's bounty and redressability was mere dicta directed at an unrelated argument of the petitioner in that case. Thus, on respondents' view, Vermont Agency actually holds that a qui tam relator would have Article III standing even if Congress provided no bounty whatsoever. Id. at 29.
That assertion lacks merit. The Court held that a bounty alone could not confer standing because Article III also requires an injury traceable to the defendant's conduct. Vermont Agency, 529 U.S. at 772-73. But the Court treated the qui tam statute as effecting a partial assignment of the injuries as well as the rights of recovery of the United States, and it held that the assignment of the United States' injury satisfied injury in fact and thus provided an "adequate basis for the relator's suit for his bounty." Id. at 773 (emphasis added). Nothing in the opinion suggested that the assignment of the United States' injury could establish Article III standing if there were no bounty and if the qui tam relator had no personal stake in the outcome of the case that would be redressed by a favorable judgment.
Contrary to respondents' assertion, Vermont Agency thus establishes only that an assignee has Article III standing when there has been a complete or partial assignment of the entire right, title, and interest of the assignor, including critically the right to the proceeds of the claim. Those were the facts in each of the assignment cases discussed by the Court in Vermont Agency; indeed, each case appears to have involved complete conveyances of the entire claim (the chose in action). Id. at 774. 7 Not one of those assignments was for-collection-only. But respondents have legal "title" to the "claim" of the assignor PSPs for-purposes-of-collection-only, and respondents never had an independent legal right to the proceeds of that claim.
C. Suits By Assignees-For-Collection-Only Were Not Recognized At The Time Of The Constitution's Ratification.
In Vermont Agency, the Court also relied on the fact that there had been "a long tradition" of "qui tam actions in England and the American Colonies" at the time of the Constitution's framing, holding that Article III is "properly understood" to confer standing to bring cases "of the sort" that were then "amenable to, and resolved by, the judicial process." Id. at 77477. But, contrary to respondents' claims, there is no such history of suits by assignees-for-collection-only.
Respondents state that the right of certain "assignees to sue was well established when the Constitution was ratified." Resp. Br. 31. That is true, but those assignees had been transferred the entire chose in action – i.e., not merely the claim, but also the right to the proceeds. In this regard, respondents cite (at 31-32) a line of this Court's decisions from Turner v. Bank of North America, 4 U.S. (4 Dall.) 8 (1799), through Ambler v. Eppinger, 137 U.S. 480 (1890), but ignore that each involved an
7 Poller v. Columbia Broad. Sys., Inc., 368 U.S. 464, 465 (1962), rev'g 174 F. Supp. 802 (D.D.C. 1959); Automatic Radio Mfg. Co. v. Hazeltine Research, Inc., 339 U.S. 827, 829 (1950), aff'g 77 F. Supp. 493 (D. Mass. 1948); Hubbard v. Tod, 171 U.S. 474, 495, 498, 500 (1898); Vimar Seguros y Reaseguros, S.A. v. M/V Sky Reefer, 515 U.S. 528, 531 (1995); Musick, Peeler & Garrett v. Employers Ins. of Wausau, 508 U.S. 286, 288 (1993).
assignment of the entire chose in action – both the claim and the proceeds. By contrast, respondents offer no evidence that courts at the time of the framing had ever entertained claims that had been assigned for-collection-only, much less that they had done so routinely or even occasionally.
D. Decisions Over The Last Century Do Not Establish That Assignees-For-CollectionOnly Have Article III Standing.
Respondents ultimately acknowledge that suits by assignees-for-collection-only were not even brought until the end of the 19 th Century. Resp. Br. 38. But they contend that courts have tacitly recognized standing in such suits on a "massive scale" ever since. Id. This, too, is both wrong and irrelevant.
Respondents state that "this Court's first encounter with an assignee-for-collection" case was Williams v. Nottawa, 104 U.S. 209 (1881), where the Court held that the assignment was an illicit attempt to manufacture diversity jurisdiction and ordered dismissal of the federal court action. See Resp. Br. 33 n.5. The Court later encountered suits in which assignments-for-collection-only were relied upon to establish controversies between states that are within this Court's original jurisdiction as well as controversies between citizens of different states, but (after examining the substance of the assignments) the Court held that these assignments created no such controversies. See supra p. 9 & n.5.
Respondents argue that these decisions implicitly support their claim of standing because the actions were dismissed on the ground that the assignments were insufficient to establish diversity or original Supreme Court jurisdiction and purportedly did not contain "even a hint" that a suit by an assignee-forcollection-only might not be a case or controversy if it were brought in federal district court under federal question jurisdiction. Resp. Br. 41-42 (emphasis omitted); see id. at 33 n.5. That is simply wrong. While the Court required dismissal of these claims on the ground that the assignments evaded other jurisdictional limitations, it also stated that an assignee-for-collection-only has no interest in the litigation and that the assignor is the "real party in interest." See, e.g., New Hampshire v. Louisiana, 108 U.S. 76, 88-91 (1883); Kansas v. United States, 204 U.S. 331, 340-41 (1907). These statements were made long before there was a Federal Rule of Civil Procedure 17 and long before the development of the modern law of standing. But the statements represented this Court's recognition that assigneesfor-collection-only have no personal stake in the outcome of the case. The Court then had no reason to address standing because there were other, narrower grounds for dismissing these suits. 8
8 Respondents also assert that these decisions implicitly establish that assignees-for-collection-only can bring an action in federal district court when, as here, the assignor of the claim could do so. Resp. Br. 41-42. Respondents are confused. In many of these cases, the Court was applying the (since-repealed) section of the Judiciary Act of 1789 that prohibited any assignee of a claim from bringing a suit in federal district court unless the court would have had jurisdiction over the case if no assignment had been made. See Williams, 104 U.S. at 210. Where the latter condition did not exist, this statute barred an action by any assignee, including assignees of the entire chose in action. Conversely, this statute could not and did not grant federal courts jurisdiction over claims by assignees whenever the assignors could maintain them. Plainly, Article III prohibits any assignee from bringing an action unless it independently demonstrates its standing.
Respondents next rely on Spiller v. Atchison, Topeka & Santa Fe Railway, 253 U.S. 117 (1920), and Titus v. Wallick, 306 U.S. 282 (1939). They concede that the Court did not address the federal claimants' standing in either case, but they argue that standing could not have existed in either case "under petitioners' own theory." Resp. Br. 35 (emphasis omitted). That is wrong. As petitioners have demonstrated, in both these cases, the assignee-forcollection-only had already fully litigated the claims and obtained a favorable judgment in forums (a state court and an administrative agency) that are not subject to Article III's case or controversy requirement but that had provided fair procedures. Pet. Br. 38-42. The federal court action was brought on the prior judgment, not on the assignment, and the defendants' failure to adhere to the judgment had caused injuries to the claimant that a favorable federal court ruling could redress. Thus, any "driveby jurisdictional" ruling in these cases was in no way inconsistent with petitioners' position on Article III standing here.
Respondents' remaining historical arguments have even less substance. They claim that the ability of assignees-for-collection-only to bring suits was well established in other courts "[b]y the early 20 th century." Resp. Br. 32. But, to support this assertion, they cite only secondary sources that discuss the practice in state courts where Article III has no application. Charles E. Clark & Robert M. Hutchins, The Real Party in Interest, 34 Yale L.J. 259, 264 (1925) (focusing on state court decisions and never discussing Article III jurisdiction); John Norton Pomeroy, Code Remedies § 70, at 96-99 (4th ed. 1904) (addressing only whether, under state law, such assignees were the real party in interest).
Respondents also contend that lower federal courts have "frequently entertained suits by assignees-forcollection." Resp. Br. 34. But here they cite exclusively antitrust cases brought by associations. Id. Standing was not addressed in any of these cases, and appears to have rested on principles of associational standing that respondents do not even pretend they can meet.
In short, there is no substance to respondents' claim that petitioners' argument "assumes blindness to supposed jurisdictional defects on a massive scale." Id. at 38. There is no great body of decisions that even arguably assumes that assignments-forcollection confer standing to bring suit in federal court. The scattered rulings on which they rely are either supportive of petitioners, applications of associational standing principles, or, at most, "driveby" jurisdictional rulings of lower courts that have no precedential value. Compare Steel Co., 523 U.S. at 91 (even such rulings by Supreme Court lack precedential value).
E. Decisions Under Federal Rule of Civil Procedure 17(a) Are Irrelevant.
Respondents also rely on lower court decisions holding that assignees-for-collection-only are the "real party in interest" for purposes of Federal Rule of Civil Procedure 17 and claim that these decisions provide "support for the proposition that suits by such assignees are cases and controversies." Resp. Br. 38. But, as explained in petitioners' opening brief (at 42-43), the "real party in interest" inquiry "address[es] party joinder, not federal-court subjectmatter jurisdiction." Lincoln Prop. Co. v. Roche, 546 U.S. 81, 90 (2005). Indeed, "elements of the standing doctrine are clearly unrelated to the rather simple proposition set out in Rule 17(a), and plaintiff must both be the real party in interest and have standing." 6A Charles Alan Wright & Arthur R. Miller, Federal Practice and Procedure § 1542, at 330 (2d ed. 1990) (emphasis added). Here, as noted above, this Court recognized that assignees-for-collection-only have no personal stake in the outcome of a case long before there was a Rule 17(a), and it is the absence of this interest that bars standing by such mere collection agents.
Petitioners have never disputed that there may be some overlap between the legal interests that give rise to real-party-in-interest status and standing. Certainly, a plaintiff that has standing will very often also be the real party in interest. But the problem for respondents is that the comparison does not work as well in the other direction. Not uncommonly, the interest that makes a plaintiff a real party in interest – whether through statutory authorization or contractual arrangements like those in New Hampshire, Woodside, Lehigh, and here – will fall short of the Article III mark. See Pet. Br. 43. Thus, the court of appeals was simply wrong in concluding that Rule 17 status somehow fills in the redressability gap in respondents' claim to Article III standing. See Pet. App. 14-16.
F. Petitioners' Proposed Ruling Would Have No Effect On The Rights Of Trustees.
Finally, respondents assert that a parade of asserted horrors will ensue if they are denied Article III standing. According to respondents, such a ruling would deny standing to trustees and have broad ramifications for the law of trusts and estates, bankruptcy, and ERISA. Resp. Br. 40-41. These contentions are makeweights.
Trusts, like corporations, are legal persons. Trusts can act only through trustees who hold title to the trust assets for all purposes (subject to fiduciary duties to the trust's beneficiaries). "In most cases, a trustee has exclusive authority to sue third parties who injure the beneficiaries' interest in the trust, including any legal claim the trustee holds in trust for the beneficiaries." Chauffeurs Local No. 391 v. Terry, 494 U.S. 558, 567 (1990) (plurality opinion) (citing Restatement (Second) of Trusts (1959); 4 W. Fratcher, Scott on Trusts (4th ed. 1987)). A trustee is not assigned claims for purposes of collection, and a ruling in petitioners' favor under Article III could not call into question the settled rule that a "trustee can maintain such actions at law or suits in equity or other proceedings against a third person as he could maintain if he held the trust property free of trust." Restatement (Second) of Trusts § 280 (1959). Beyond that, suits by trustees are "of the sort traditionally amenable to, and resolved by, the judicial process," Vermont Agency, 529 U.S. at 774, while suits by assignees-for-collection-only are not.
II. IN ALL EVENTS, PRINCIPLES OF PRUDENTIAL STANDING COMPEL DISMISSAL OF RESPONDENTS' SUIT.
Alternatively, whether or not there is Article III standing, well-settled principles of prudential standing bar respondents from prosecuting this federal court damages action on behalf of 1400 absent PSPs. Petitioners devoted nearly 15 pages of their opening brief to a detailed showing that principles of prudential standing foreclose respondents' suit. Pet. Br. 43-57. Respondents have literally made no attempt to respond. Rather, they have randomly responded to only a handful of subsidiary points embodied in petitioners' argument, but, even as to these points, respondents are not persuasive.
The doctrine of prudential standing is a set of "judicially self-imposed limits on the exercise of federal jurisdiction," Elk Grove Unified Sch. Dist. v. Newdow, 542 U.S. 1, 11 (2004), that have been developed to protect the institutional interests of the federal courts, FW/PBS, Inc. v. Dallas, 493 U.S. 215, 231 (1990) (plurality opinion), and to maximize "convenience and efficiency" in litigation, United Food & Commercial Workers Union v. Brown Group, 517 U.S. 544, 557 (1996). Because these rules are not required by Article III, the doctrine does not apply where Congress has authorized suits by particular parties on behalf of third parties. Id.
But the doctrine unquestionably applies in this case. Respondents are aggregators, and, as petitioners demonstrated in their opening brief (at 51-52), aggregators do not fall within the "zone of interests" protected by the relevant provisions of the Communications Act or of the implementing regulations that the Federal Communications Commission has adopted. Respondents do not argue otherwise. To the contrary, they correctly state that "the FCC developed a compensation plan to ensure that PSPs are compensated for dial around calls[, and that t]he plan required IXCs such as AT&T to compensate PSPs for calls that the IXC 'completes.'" Resp. Br. 2 (emphasis added); see also Pet. Br. 51-52.
Where, as here, the doctrine of prudential standing applies, it is well settled that a plaintiff ordinarily "cannot rest his claim to relief on the legal rights or interests of third parties." Maryland v. Joseph H. Munson Co., 467 U.S. 947, 955-56 (1984); see Pet. Br. 45 (collecting cases). A court can exercise jurisdiction over suits that are brought to vindicate the rights of third parties only where the third parties are "unable" to do so, Diamond v. Charles, 476 U.S. 54, 65-66 (1986), or there is at least some "genuine obstacle" to their doing so, Singleton v. Wulff, 428 U.S. 106, 116 (1976). See Pet. Br. 49. Here, respondents' brief has confirmed that the PSPs were fully capable of bringing this lawsuit in their own names, that allowing respondents to sue for the PSPs creates all the evils that the Court's general rule discourages, and that there are additional compelling reasons to prevent such abuses of the federal court system and of the defendants to this action.
A. The 1400 PSPs Were Fully Able To Bring This Action In Their Own Names.
Under the principles of prudential standing, suits brought on behalf of third parties are impermissible when the third parties are fully capable of bringing suit themselves. Here, there is no question that the instant action could have been brought by the PSPs, with the respondents serving as their attorneys or witnesses and not as putative plaintiffs. One of the plaintiffs to this case is a PSP, and there is no reason why the other 1400 PSPs could not have sued as plaintiffs as well.
Respondents' only answer to this indisputable fact is to erect strawmen. First, they argue that, because many PSPs are small businessmen who do not have large claims, many would not pursue their claims if each was required to hire counsel and to institute a separate action. Resp. Br. 50. Even if that were true (but see Qwest Br. 24 & n.17), it is irrelevant. Litigating 1400 separate lawsuits is patently not the only alternative to this lawsuit. Instead of obtaining assignments-for-collection-only from the 1400 PSPs, respondents could have obtained authorizations to file this lawsuit in the names of the 1400 PSPs. That would have afforded the PSPs all the claimed efficiencies of a single action that would be prosecuted by a single set of lawyers and that would use the data that respondents have collected in their role of aggregators in calculating the amounts, if any, that IXCs owed to, or were owed by, each of the individual PSPs. But, as further explained below, such a suit would have avoided the discovery problems, impediments to counterclaims, issues of finality, and threat to the court that are inherent in a suit in which respondents are acting as assignees-forcollection of the damages claims of 1400 absent nonparty PSPs. See also Qwest Br. 25 & n.19 (PSPs could have joined together in groups to file consolidated lawsuits that would be coordinated through multi-district litigation procedures).
Second, respondents argue that the instant lawsuit is a fairer and more efficient vehicle than would be a class action or a suit based on associational standing. Resp. Br. 44-48. But this is not a remotely relevant comparison, and respondents are intentionally missing the point. As petitioners have demonstrated, respondents patently could not have brought a claim for damages on behalf of 1400 individuals under associational standing principles. Pet. Br. 52-53. Similarly, it is petitioners' position that a class action would be impermissible under Federal Rule of Civil Procedure 23 even if the named plaintiff were a PSP because, among other things, the issues are individualized. Id. at 54-57; see Qwest Br. 18-19; Amchem Prods., Inc. v. Windsor, 521 U.S. 591, 622 (1997). If respondents could recover individualized damages for 1400 PSPs as an assignee-for-collectiononly, they would be evading two different sets of procedural rules – class action and associational standing – that prohibit such actions on behalf of absent third parties in federal district courts. That fact vividly underscores that this action is barred by principles of prudential standing.
B. If This Action Is Not Dismissed, The Adverse Consequences That The Rules Of Prudential Standing Are Designed To Prevent Will Occur On A Massive And Unprecedented Scale.
As was explained in detail in petitioners' brief, the general rules that bar actions to enforce the rights of third parties foster interests of efficiency, convenience, finality, and fairness and protect other institutional interests of the federal courts – in myriad ways, large and small – that this Court has identified. Pet. Br. 45-49. While respondents ignore most of the adverse consequences that are inherent in departures from these rules, they try, at various points in their brief, to minimize some of the ill effects that will arise here if this case is not dismissed for lack of standing. But, rather than supporting respondents' position, their arguments merely underscore the inefficiencies, inconveniences, and threats to the integrity of the judiciary their lawsuit will engender, and all for no legitimate reason whatever.
For example, petitioners noted that, because respondents have not been assigned the PSPs' liabilities to petitioners, and because the PSPs are not parties, petitioners cannot assert counterclaims against the PSPs merely by listing the counterclaims in an answer to a complaint. Respondents seek to minimize this issue by suggesting that respondents should try to interplead the 1400 PSPs by locating, serving, and attempting to establish personal jurisdiction over each of them! Resp. Br. 55-56. Similarly, while respondents agree that the PSPs do not have the obligations of a party to provide discovery, they rely on the fact that a magistrate has developed an alternative arrangement that permits discovery to be served on the PSPs through respondents. Id. at 48-51. But, as respondents do not dispute, the responses of the PSPs to the defendants' discovery have been nonexistent, woefully inadequate, or otherwise contemptuous, see Qwest Br. 12-13 – which could not happen if the PSPs were parties. 9 For each of these foregoing reasons, the non-party status of the PSPs has already imposed inefficiencies, substantial costs, and needless inconveniences on the defendants.
9 Respondents attempt to minimize the need for discovery from PSPs by purporting to refute Qwest's showing that there are at least four categories of information that PSPs know, that IXCs may not, and that is critical to litigation of dial-around compensation. Resp. Br. 51-54. But respondents offer no substantial response to Qwest's showing. First, it is irrelevant that the FCC regulations require PSPs to provide "lists" of their payphone lines and that LECs verify those lists. Id. at 52-53. As Qwest demonstrated, only the PSPs know what kind of phones are connected to these lines and whether devices have been attached that permit false and fraudulent claims for dialaround compensation. Qwest Br. 8 & n.9. Second, contrary to respondents' claim, an IXC cannot obtain "payphone coding digits" unless PSPs direct the LECs to provide this information. Compare id., with Resp. Br. 53. Third, while respondents admit that Qwest was in fact unaware that a large PSP had entered into a contract that precluded its substantial dial-around compensation claims, respondents make unsupported assertions that this situation was unique. Compare Resp. Br. 53-54, with Qwest Br. 9 & n.10. Fourth, while respondents are correct that IXCs would know if they had entered into contracts in which particular PSPs waived claims to dial-around compensation, they ignore that discovery from the PSPs still would be necessary to negate any defenses the PSPs might have under such contracts. Qwest Br. 9-10 & n.11.
In addition, while respondents now argue that the Assignment Agreement should be construed differently, Resp. Br. 20, it plainly provides that each PSP is bound only by a "final determination" of claims that are prosecuted by respondents in that PSP's "interests." This inherently creates the potential for a PSP to claim that it is not bound by a final judgment because respondents did not act in its interests. Pet. Br. 47-48. Similarly, because the PSPs are not parties, respondents can respond to a failure of the PSPs to provide necessary information by revoking the assignments before any determination is made of the PSPs' rights or liabilities. Compare Brown, 517 U.S. at 556 (when damages action is brought on behalf of absent third parties, there is a risk that the court and parties will invest resources in litigating the case "only to find the plaintiff lacking [necessary] detailed … evidence"). Because there would be no "final determination" of the PSPs' claims, those PSPs would then be free to pursue their claims in another forum.
Because this case involves claims brought on behalf of 1400 individual PSPs, the adverse consequences that the rules of prudential standing are intended to avoid would arise on a massive and unprecedented scale if this action were allowed to proceed. And there is simply no reason for the Court to accept any of these risks here. As explained above, these 1400 PSPs can be, and should be, the named plaintiffs. And, if they were, there would be no impediments to discovery, no impediments to asserting and litigating counterclaims, no risk that a PSP could later claim not to be bound by an adverse judgment, and no possibility that the lawsuit could be abandoned because factual information was not produced and a second lawsuit later instituted on the same claim.
These are among the reasons for the rule that, unless Congress so authorizes, the doctrine of prudential standing categorically bars damages actions on behalf of absent third parties where, as here, the absent third parties are fully capable of bringing suit in their own names.
Finally, this is also a singularly inappropriate case for creating an exception to the settled principles of prudential standing that ensure the integrity of federal courts. Even if there were legitimate reasons for allowing suits to be brought by an assignee-forcollection-only on behalf of the 1400 PSPs, there are other forums in which such actions can be brought. As respondents state, "aggregators have brought myriad cases before the FCC" to recover dial-around compensation on behalf of PSPs. Resp. Br. 4. The FCC is not subject to case or controversy requirements and has developed nonjudicial procedures for adducing the relevant facts, and assignees-for-collection can enforce the FCC's orders in federal court proceedings. See supra pp. 16, 20.
In this regard, the FCC has never stated that aggregators play "an indispensable role" in collecting compensation for dial-around calls in any forum, compare Resp. Br. 4, and the only circumstance in which aggregators have played any role at all is in FCC complaint proceedings where rules of Article III and prudential standing do not apply. The fact that aggregators have this alternative remedy underscores the impropriety of here creating an exception to principles of prudential standing that would allow these third-party claims to be brought in federal district court.
In short, respondents' effort to litigate as mere assignees-for-collection-only does not satisfy Article III. But, even if it did, principles of prudential standing require dismissal of respondents' federal court damages action.
CONCLUSION
For the foregoing reasons, as well as those set forth in petitioners' opening brief, the judgment should be reversed.
Respectfully submitted,
THOMAS C. GOLDSTEIN PATRICIA A. MILLETT AKIN GUMP STRAUSS HAUER & FELD, LLP 1333 New Hampshire Avenue, N.W. Washington, D.C. 20036 (202) 887-4000
CARTER G. PHILLIPS* DAVID W. CARPENTER SIDLEY AUSTIN LLP 1501 K Street, N.W. Washington, D.C. 20005 (202) 736-8000
WAYNE WATTS AT&T INC. SENIOR EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL 175 E. Houston Street San Antonio, TX 78205 (210) 821-4105
DAVID P. MURRAY RANDY J. BRANITSKY WILLKIE FARR & GALLAGHER LLP 1875 K Street, N.W. Washington, D.C. 20006 (202) 303-1000
Counsel for Petitioner AT&T
Counsel for Petitioner Sprint
April 9, 2008
* Counsel of Record
|
COMPUTER NETWORKS
MODEL QUESTION PAPER WITH SOLUTION
Q-1(a) In half-duplex transmission, only one entity can send at a time; in a full-duplex transmission, both entities can send at the same time.
```
(b) The number of cables for each type of network is:
```
```
a. Mesh: n (n – 1) / 2 b. Star: n c. Ring: n – 1 d. Bus: one backbone and n drop lines
```
(c)
Peer-to-peer processes are processes on two or more devices communicating at a
same layer
(d) The data link layer is responsible for
a. framing data bits
b. providing the physical addresses of the sender/receiver
c. data rate control
d. detection and correction of damaged and lost frames
(d) The address field defines the end-to-end (source to destination) addressing.
(e) Piggybacking is used to improve the efficiency of bidirectional transmission.
When a frame is carrying data from A to B, it can also carry control information about frames from B; when a frame is carrying data from B to A, it can also carry control information about frames from A.
(f) The preamble is a 56-bit field that provides an alert and timing pulse. It is added to the frame at the physical layer and is not formally part of the frame. SFD is a onebyte field that serves as a flag.
(g) A
layer-2 switch is an N-port bridge with additional sophistication that allows
faster handling of packets
(h) In CSMA/CD, the protocol allows collisions to happen. If there is a collision, it will be detected, destroyed, and the frame will be resent. CSMA/CA uses a technique that prevents collision.
(i)A hub is a multiport repeater
(j) Members of a VLAN can send broadcast messages with the assurance that users in other groups will not receive these messages
(k) An ATM virtual connection is defined by two numbers: a virtual path identifier (VPI) and a virtual circuit identifier (VCI).
(l) Classful addressing assigns an organization a Class A, Class B, or Class C block of addresses. Classless addressing assigns an organization a block of contiguous
addresses based on its needs.
(m) The size of an ARP packet is variable, depending on the length of the logical and physical addresses used
Q-2 Write about the OSI model (reference model).
Ans-Established in 1947, the International Standards Organization (ISO) is a multinational body dedicated to worldwide agreement on international standards. An ISO standard that covers all aspects of network communications is the Open Systems Interconnection (OSI) model. It was first introduced in the late 1970s.
In this section we briefly describe the functions of each layer in the OSI model
Q-3 Distinguish different categories of UTP cables with their speeds.
Ans-
Q-4 Give the main functions of Data Link Layer.
Ans-The two main functions of the data link layer are data link control and media access control. Data link control deals with the design and procedures for communication between two adjacent nodes: node-to-node communication. Media access control deals with procedures for sharing the link.
Q-5 Differentiate between Flow control and Error control.
Ans-Flow control refers to a set of procedures used to restrict the amount of data that the sender can send before waiting for acknowledgment. Error control refers to a set of procedures used to detect and correct errors.
Q-6 Explain different protocols for noisy channels.
Ans-we discussed three protocols for noisy channels: the Stop-and-Wait ARQ, the Go-Back-N ARQ, and the Selective-Repeat ARQ
In the Go-Back-N ARQ Protocol, we can send several frames before receiving acknowledgments. If a frame is lost or damaged, all outstanding frames sent before that frame are resent. In the Selective- Repeat ARQ protocol we avoid unnecessary transmission by sending only the frames that are corrupted or missing. Both GoBack-N and Selective-Repeat Protocols use sliding windows. In Go-Back-N ARQ, if m is the number of bits for the sequence number, then the size of the send window must be at most 2m−1; the size of the receiver window is always 1. In SelectiveRepeat ARQ, the size of the sender and receiver window must be at most 2m−1.
Q-7 Discuss Multiple Access Protocols.
Ans-
The three categories of multiple access protocols discussed in this chapter are random access, controlled access, and channelization.
In controlled access methods, the stations consult one another to find which station has the right to send. A station cannot send unless it has been authorized by other stations. We discuss three popular controlled-access methods: reservation, polling, and token passing.
In random access methods, there is no access control (as there is in controlled access methods) and there is no predefined channels (as in channelization). Each station can transmit when it desires. This liberty may create collision .
In a random access method, the whole available bandwidth belongs to the station that wins the contention; the other stations needs to wait. In a channelization method, the available bandwidth is divided between the stations. If a station does not have data to send, the allocated channel remains idle.
Q-8 Explain the Persistent methods of CSMA.
Ans-There are 3 types of persistent methods-
>1-persistent >nonpersistent >p-persistent
Behaviour of persistent methods-
Flow diagrams –
Q-9 Explain proceduce for-
(a) Pure aloha
(b) CSMA/CD
(c) CSMA/CA
(b)
(c)
In CSMA/CA, if the station finds the channel busy, it does not restart the timer of the contention window;
it stops the timer and restarts it when the channel becomes idle.
Ans-The original Ethernet was created in 1976 at Xerox's Palo Alto Research Center (PARC). Since then, it has gone through four generations. We briefly discuss the Standard (or traditional) Ethernet in this section.
Summary of Standard Ethernet implementations
Summary of Fast Ethernet implementations
Summary of Gigabit Ethernet implementations
Summary of Ten-Gigabit Ethernet implementations
Q-11 Describe internetworking connecting devices in refence to layers.
Ans- In this section, we divide connecting devices into five different categories based on the layer in which they operate in a network
A bridge has more overhead than a repeater. A bridge processes the packet at two layers; a repeater processes a frame at only one layer. A bridge needs to search a table and find the forwarding port as well as to regenerate the signal; a repeater only regenerates the signal. In other words, a bridge is also a repeater (and more); a repeater is not a bridgeA transparent bridge is a bridge in which the stations are completely unaware of the bridge's existence. If a bridge is added or deleted from the system, reconfiguration of the stations is unnecessaryA hub is a multiport repeater
Q-12 What are VLANS.
Ans-We can roughly define a virtual local area network (VLAN) as a local area network configured by software, not by physical wiring
VLANs create broadcast domains.
Q-13 (a) Find the class of each address.
a. 00000001 00001011 00001011 11101111
b. 11000001 10000011 00011011 11111111
c. 188.8.131.52
d. 252.5.15.111
Ans-Solution
a. The first bit is 0. This is a class A address.
b. The first 2 bits are 1; the third bit is 0. This is a class C address.
c. The first byte is 14; the class is A.
d. The first byte is 252; the class is E.
(b) An IPv4 packet has arrived with the first 8 bits as shown:
01000010
The receiver discards the packet. Why?
Ans-There is an error in this packet. The 4 leftmost bits (0100) show the version, which is correct. The next 4 bits (0010) show an invalid header length (2 × 4 = 8). The minimum number of bytes in the header must be 20. The packet has been corrupted in transmission.
Q-14 Write difference between static and dynamic routing and Explain dijkstra routing algorithm.
Ans-A routing table can be either static or dynamic. A static routing table contains information entered manually. A dynamic routing table is updated periodically by using one of the dynamic routing protocols such as RIP, OSPF, or BGP.
Dijkstra algorithm
Ans-Congestion control refers to techniques and mechanisms that can either prevent congestion, before it happens, or remove congestion, after it has happened. In general, we can divide congestion control mechanisms into two broad categories: open-loop congestion control (prevention) and closed-loop congestion control (removal).
Leaky bucket
Leaky bucket implementation
A leaky bucket algorithm shapes bursty traffic into fixed-rate traffic by averaging the data rate. It may drop the packets if the bucket is full.
Token bucket
The token bucket allows bursty traffic at a regulated maximum rate.
Q-16 Define ISDN.
What is the difference between narrowband ISDN and broadband ISDN.Also give application of ISDN.
Ans-.Integrated Services for Digital Network (ISDN) is a set of communication standards for simultaneous digital transmission of voice, video, data, and other network services over the traditional circuits of the public switched telephone network
The narrowband ISDN is based on the use of a 64 kbps channel as the basic unit of switching and has a circuit switching orientation. The major technical contribution of the narrowband ISDN effort has been frame relay. The B-ISDN supports very high data rates (100s of Mbps) and has a packet switching orientation. The major technical contribution of the B-ISDN effort has been asynchronous transfer mode, also known as cell relay
Generally, narrowband describes telecommunication that carries voice information in a narrow band of frequencies. More specifically, the term has been used to describe a specific frequency range set aside by the U.S. FCC for mobile or radio services, including paging systems, from 50 cps to 64 Kbps
On the other hand, The broadband ISDN refers to telecommunication in which a wide band of frequencies is available to transmit information. Because a wide band of frequencies is available, information can be multiplexed and sent on many different frequencies or channels within the band concurrently, allowing more information to be transmitted in a given amount of time (much as more lanes on a highway allow more cars to travel on it at the same time)
Applications-
* It has a high speed image applications that is used to transfer data between two or more users.
* It also has a high speed data transfer as the bit transfer rate through ISDN is very high.
* It also has very good voice service.
* It is also used in the video conferencing in which we have used the various devices like camera, microphone, speakers, TV etc for carrying out communications with various users for formal purposes.
* It also provides Additional telephone lines in the homes etc.
|
Gebruiksaanwijzing Irondryer HS/HB/HR series
Instruction Irondryer Strijkpop HS02, HB04, HB05 & HT09
MADE IN EU
Dear Customer,
Thank you for purchasing our product IRONDRYERS.
We ask you to read carefully this manual before using the IRONDRYERS as it provides important information on safe installation, use and maintenance.
This book is part of the unit and Irondryer.com disclaims any liability resulting from improper use of the device, as the use of domestic appliances in professional circle.
Copyright. All rights reserved. This manual can not be reproduced in any part and any form without the express written permission of the producer. The contents of this manual may be changed without notice. The manufacturer reserves the right to change at any time and without notice the appearance or design of the product in order to improve performance.
GENERAL WARNINGS
- Keep this booklet for future reference, this booklet should be read and understood by all who use the equipment.
- After unpacking check the integrity of the appliance; in case of doubt do not use the appliance and contact the Technical Assistance Centre.
- All packaging materials (plastic bags, polystyrene, etc..) should be kept out of reach of children as potential sources of danger.
- Before connecting the device ensures that the data plate correspond to those of the electrical grid; the plate is located under the rotary switch.
- Check that the electrical capacity of the system and outlets is suitable to the maximum power indicated on the label; in case of doubt ask a professional qualified technician.
- In case of incompatibility between the socket and the plug at home/laundry, do replace the outlet with a suitable type by qualified technician (in general it is inadvisable to use adapters, power strips and extension cords); if their use is absolutely necessary, use only simple or multiple adapters and extensions that comply with current safety standards, taking care not to exceed the load limits in current value shown on simple adapters and extensions, and the maximum flow shown on multiple adapter.
- This equipment must be used only to uses for which it was built, any other use is considered improper and therefore dangerous.
- The manufacturer can not be held responsible for any damage caused by improper, incorrect or unreasonable use of the device.
- The use of any electrical device requires the observance of some basic rules. In particular: do not touch the appliance with wet/damp hands or feet; do not use the unit with bare feet; do not pull the cord or the appliance to remove the plug from the socket; do not expose the unit to the atmospheric agents (rain, sun, etc.); do not allow the appliance to be used by children, incapable or infirm persons without supervision.
- Before performing any maintenance / cleaning, turn off and unplug the appliance from the power supply, first turning off the appliance (see POSITION OF THE CONTROL PANEL), and later, by removing the appliance from the socket.
- In case of failure and/or malfunction of the device, turn it off and do not tampered with (see PROBLEMS RESOLUTIONS); for possible repairs, just ask the Technical Assistance Centre and requires the use of original spare parts (non-compliance with the written above may affect safety of the appliance).
- When you decide to stop using the appliance, we recommend you make it inoperable by removing the plug from the socket, after turning it down, and cutting the plug; we also recommend to render harmless any parts of the device which may constitute a danger, especially for children, who may use it for their games.
- Installation and assembly must be made according to the manufacturer's instructions; improper installation or wrong assembly can cause damage to persons, animals and/or things in respect of which the producer can not be held responsible.
-
The device is equipped with an engine designed for temperate climates; do not use the appliance in places with tropical climate.
- To avoid overheating, we recommend you to unwind for its entire length the electric cable; do not place items on the electric cable and make sure that the cable itself is not in a place of passage; the socket should be near to the device to reduce the encumbrance of the power cable and be easily accessible (in case of damage to the power cable, or its replacement, ask exclusively to the Technical Assistance Centre).
- Do not leave the equipment uselessly on; when not in use or when you want to move it, turn off the machine and remove the plug from the power supply.
- Any use of the IRONDRYER must end with tuning off the rotary switch of the device (see POSITION OF THE CONTROL PANEL).
To the goals of the compatible environmental disposal and to the goals of his/her own useful life, the appliance, which has to be treats separately from the domestic refusals, must be given to a centre of diversified harvest for electric and electronics equipments or redelivered to the retailer during the purchase of a new equipment.
The consumer is responsible of the conferment of the appliance at end life to appropriate structures of harvest, punishment the foregone sanctions from the in force legislation on the rubbish. For more detailed information inherent the available systems of harvest, address to the local service of disposal refuses or to the shop in which the purchase has been effected.
Directive 2002/96/EC of the European Parliament and the Council of the European Union on waste electrical and electronic equipment (WEEE).
IMPORTANT
- Do not use the equipment for drying and ironing wet clothes without dress shirt proper but follow the INSTRUCTIONS FOR USE for drying and ironing function ("irondrying").
- The appliance must not be used for drying and ironing clothes if the dress shirts are not assembled as suitable in the paragraph COMPONENTS AND ASSEMBLY.
- Do not set up on IRONDRYER wet garments or simply squeezed by hand.
- WARNING: this equipment is intended only for drying fabrics washed with water.
- Centrifuge at least 400 rpm all wet clothes that must be "irondrying".
- Do not block the air inlet and air outlet and always controls that are free and never even partially obstructed (see MAINTENANCE / CLEANING).
.
- Do not use the equipment in a not ventilated room, and for greater ease of use, put it into operation in a room with non inferior dimensions to the 2mt x 2mt and height of 2,40 mt of the work area. Do not use the equipment in a closet.
- Empty the pockets out, of the treated garments, all items such as pens and paper clips
- Use the device in an upright position resting on a flat stable surface and make sure that there are no objects in the vicinity of the opening of the air entrance to prevent the entry of the air itself.
- Do not use the device in the immediate vicinity of bathtubs, showers, sinks, swimming pools and make sure that the switch or other controls can not be achieved by the person who is using the bathroom, shower, sink.
- Do not use the unit immediately below a socket outlet.
- Do not use the device in the presence of flammable liquids or substances such as alcohol, insecticides, gasoline, etc. or near tents.
- The maximum ambient temperature for the operation of the unit is 40° C., while the minimum ambient temperature to dry and iron is 10° C.
- The device is constructed in a workmanlike manner. Its electrical and mechanical durability and reliability will be more efficient if it is used properly and if it will be done a regular maintenance.
POSITION OF THE CONTROL PANEL (fig. 1)
Irondryers from type HS02, HB04, HB05 and HT09
COMPONENTS AND ASSEMBLY
IRONDRYERS COMPONENTS
Fig. 1
| | Motor series D | H02, HB04, HB05 | | |
|---|---|---|---|---|
| | Motor series Pro | HB07, HB17 | | |
| 2 | Air inlets | | | |
| 3 | Air outlet | | | |
| 4 | Support rods with lock set | | | |
| 5 | Extension for pants, jackets, white coat, coat and Arabian dress | | H02, HB04, HB05 | |
| 6 | Neck support with shoulders rests | | | |
| 7 | Locking knob | | | |
| 8 | Hole docking rod | | | |
| 9 | Dress shirt (various colors) | | | |
| | Series D | H02, HB04, HB05 | | |
| | Series Pro | H02, HB04, HB05 | | |
| 10 | Red central stitching to center the dress shirt | | | |
| 11 | Central Velcro tab to center the dress shirt | | | |
| 12 | Dress Pants | HB04, HB05 | | |
| 13 | N. 5 side tensors + n. 1 central tensor N. 4 side tensors for pants | | H02, HB04, HB05 | |
| 14 | Data label | | | |
| 15 | Rotary switch | H02, HB04, HB05 | | |
| 16 | Warm air light | H02, HB04, HB05 | | |
| 17 | N. 2 velcro bands for cuff/short sleeve and n. 1 velcro band for collar | | | |
| 18 | Double clip for pants and collar without botton | | | H02, HB04, HB05 |
| 19 | Support base with adjustable height | | | HB04, HB05 |
| 20 | Support base to be attach to the ground | | | H02, HB04, HB05 |
| 21 | Timer ON-OFF | | | H02, HB04, HB05 |
| 22 | Switch warm/ cold air | | | H02, HB04, HB05 |
| 23 | Switch START | | | H02, HB04, HB05 |
IRONDRYERS ASSEMBLY
For ASSEMBLY and use the IRONDRYERS to dry and iron (irondrying) or iron vertically you must:
- Mount the support rods by joining, first, the two tubular at the motor body and securing the tubular hole (b) to the motor body by using the locking knob (fig. 2); screw the knob clockwise to the end; thereafter lock the two tubular with the special kit supplied, respectively, by inserting the bolt (a) inside the tubular (b), the tubular (c) and washer (d); tighten well the tubular by screwing the wing nut (e);
- Insert the neck support to the two opposite ends of support rod (Fig. 3). This operation is not to be made if we want irondry trousers or similar clothing (in this case, you just have to mount directly the dress pants after inserting and fixing the extension support rod - fig. 13);
- Mount the dress shirt respecting the centrality shown in the figure by the double arrow (the red stitching of dress shirt must be aligned with the first vertical strip of velcro counted to the left of the rotary switch - fig. 4); to simplify this operation take the two shoulders rests system closed and open them only after having slipped completely the dress shirt. For the Irondryer model "IRONMAN" the red stitching of the dress shirt must go to the left of the control panel.
OPERATION AND USE
The IRONDRYER can perform the following functions:
1. Drying and ironing (irondrying) of shirts, blouses, trousers, polo shirts and jeans
2. Iron vertically dry dress
INSTRUCTIONS FOR USE
1. Drying and ironing (irondrying) of shirts, blouses, trousers, polo shirts and jeans
The IRONDRYER is the first device capable of making simple, fast and comfortable drying and ironing (irondrying) of shirts, blouses, pants, jeans, polo shirts and shorts. His air jet (warm or at room temperature) allows in few minutes, automatically and in complete safety, to play one of the most tiring and boring chores to date: ironing.
The IRONDRYER can handle any size (for shirts and blouses from XS to XXL and pants and shorts from 38 to 58), all types of fabrics like cotton, linen, silk, flannel, mixed (cotton-polyester, etc.), short- or long-sleeved shirts, regular or slim fit, with Italian, French, semi-French, button-down or Korean collar.
Research carried out has allowed us to plan an IRONDRYER in order that you could irondry with not high temperature and tension, able to respect all types of fabric and keep it intact longer without the risk of burns, glossy reflections, signs of iron, buttons crushed or bent.
-
1.1 IRONDRYING OF SHIRTS AND BLOUSES
-
After the spin cycle of washing machine (or the dryer if it was activated the program "easy ironing"), take the shirt and put the collar on the neck support closing only the first button (Fig. 5) and observing the centrality of dress shirt represented by red stitching on the same; if the first button is not present use the "double clip" to close the collar.
- Take one at a time the ends of the sleeves of dress shirt and slip it inside the sleeve of the shirt, making sure to stretch out well - without twisting - (Fig. 6) and respecting the centrality of dress shirt (the red stitching of the dress shirt must remain central).
- Set the two rounded bolts of the shoulders rest near the shoulder-sleeve stitching of the shirt to get a very good stretching after the inflation effect (fig. 10).
- Use the central tensor with clips to lock the two lower edges of the shirt bringing one near to the other.
- Set the velcro bands for cuffs so that the cuffs are well stretch out lying on the stuffing in polystyrene inside the dress shirt (fig. 10_bis)
- Pull well the front of the shirt and block the tensor at the velcro located on the motor body to the left of the control panel (fig. 7).
- Control, during inflation, the presence of folds in front and behind the shirt and, eventually, use the tensors with clips and/or by reducing the waist circumference of dress shirt to remove them. IMPORTANT: during this step, although in the presence of shirts and size small blouses, never reduce at the limit the waist circumference of dress shirt, but let the lower part of dress shirt inflate as indicated by the arrows in fig. 10.
- At this stage, the sleeves of the shirt must be stretched out to remove any folds, grabbing at the same time the collar support and the end of the sleeve of the shirt and pulling it slightly outwards (fig. 8).
-
Stretch out all those areas with wrinkles and folds (shoulders, armpits, seams,
cuffs and pockets) and make the shirt adhere firmly to the dress shirt using
tensors supplied (fig. 10).
OK NO
Start the hot air (rotary switch to "WARM")
signalled by the automatic ignition of the light indicator. For Irondryers model "IRONMAN" press the switch.
-
Put the collar band to fix the collar joining the ends of the Ve lcro system (if there are shirts with non-rigid collar, such as
silk shirts, pay attention to well place the collar band - fig. 9
).
- Cover the collar of the shirt with the appropriate hooded coverage.
- At the end of irondrying, position for 30 seconds, the rotary switch on "AIR" to fix parts of the appliance. For Irondryers model IRONMAN press the switch to turn it off.
ning
- Switch the appliance off and, after removing the clips and the bads for collar/cuffs, softly unthread the sleeves of the dress shirt from the sleeves of the shirt and remove the shirt itself from the neck support (fig. 11).
- For short-sleeved shirts and little cuffs or in light fabric, use the bands cuffs included to prevent formation of "curls" on the end of the same (fig. 12).
Warning: placing the bands for cuffs as reducing sleeves for shirts with short sleeves is always essential to allow the passage of hot air inside the sleeve of dress shirt as indicated by the arrows (fig. 12).
1.2 IRONDRYING TROUSERS
- After placing the dress pants (Fig. 13) as indicated in the previous paragraph ASSEMBLY, place the wet and centrifuged pants on the same while leaving free the end of dress pants as indicated by the arrows (fig. 14).
- Join the front of the trousers with the double clips or the central tensor (fig. 15).
- To switch on the unit (rotary switch in the "AIR" position / timer rotated clockwise). For models SA14, SA15, SA17 insert coin.
- After a few seconds from switching on stretch well the pants out by pulling it from the two ends of the waist and the hem checking that the final part of dress pants is free to deflate as indicated by the arrows (fig. 16). To increase the tension of the fabric it could be applied two tensors for leg pants as indicated always in fig.16.
- Set the rotary switch to "WARM". For Irondryers model IRONMAN press the switch.
- Wait until the irondrying is completed (after 10-15 minutes, check the drying of the trousers and, if any areas of the trousers are still wet - such as pockets or other areas with double fabric - we recommend ending the irondrying, turn the pants and start again irondrying on the back of the trousers).
- At the end of irondrying place the rotary switch on "AIR" for only 30 seconds. For Irondryers model IRONMAN press the switch to turn it off.
- Switch the appliance off and after removing the double clip, unthread the trousers from the dress pants.
NOTE: When irondrying is normal to come out air from the lower end of dress pants.
HELPFUL TIPS
To appreciate the results of irondrying the shirt has to be totally dry and cool.
For apparel such as polo shirts is not necessary to place the central tensor and the lateral ones: it is enough to lay well the dress on the dress shirt and open the zip on the ends of the sleeves to reduce the inner pressure.
Clothing such as polo shirts and jeans, make the operation of "reversal", as quoted for pants, for a faster drying of those areas with reinforced and more heavy fabric; pay attention to clothing or parts of garments that tend to widen (for example for the collar of the pole if not stretched).
For a better irondrying and greater energy savings, we recommend you to wash with the washing machine at low temperatures (not above 40 ° C.).
The shirts and other clothing, if left in a bowl (or in the washing machine), maintain for several hours the necessary dampness to be irondryed; start to irondry lighter clothing as heavier remain wet longer.
Drying and ironing times will depend mainly on the dampness of the clothes (fabric weight and R.P.M. centrifuge of washing machine); for jeans and flannel we recommend a number of centrifuge revolutions per minute higher than silk, cotton, linen and cotton-polyester.
Please note that cuffs and collar of shirt and the pockets of the pants are areas of the garment that need more time to dry.
In the presence of silk shirts or other not rigid fabrics do care to well position, on the dress shirt, both the cuffs and collar to be able to remove all wrinkles.
Particular types of shirts with seams that are inaccurate may generate some folds, above all in the shoulder zone. Position to the best the shirt by well unfurling on the dress shirt and lying under the shoulder-sleeve seam.
Some washing machines (or dryers) have a program called "Easy Iron". If you wash (dry) clothes with this program, please check that, however, the centrifuge spins at least 400 rpm (the cloth has to be a little damp yet).
Do not use the IRONDRYER in places with strong smell (such as in the kitchen during meal preparation and use of kitchen) in order to avoid that they will fix on the dress.
2. Iron vertically dry garments
In case the shirt is already dry, position as described above using all the tensors with clip, and, with the aid of any steam iron (included with irondryers type SA18 and SA19), it can easily and comfortably iron in vertical even if you have no experience in traditional ironing. The convenience of IRONDRYER lies in the advantage of being able to "inflate" and stretch the dry shirt with only the air at room temperature and, by passing a jet of steam onto the fabric, be able to remove creases and wrinkles without any difficulty; in comparison to the old system that used a surface to iron, no strength and particular ability is needed: there will be no risk to make folds, glossy reflections or leave signs of iron.
NOTE: cotton and linen shirts, already dry and not ironed, can be irondryed with the IRONDRYER only if they are re-wash with soap and fabric softener.
MAINTENANCE / CLEANING
The device does not require special maintenance other than the usual interior and exterior cleaning (performed by qualified personnel only).
Before performing any maintenance / cleaning unplugged the unit from the power supply and wait for all parts of the appliance become cold.
For cleaning never use abrasive powders, solvents or flammable liquids and do not immerse the appliance in water.
External cleaning: clean the air inlets from any possible dust remaining with a simple brush or dry cloth (Fig. 17).
The dress shirt and the dress pants should be washed with cold water (max 30° C) and mild soap every 150/200 irondryed clothes; before replacing on the appliance make sure they are completely dry. The drying must be done to air and without the use of dryer.
When not using the unit, remember to cover it with any cover to prevent dust settles over dress shirts/pants.
Internal cleaning (only performed by qualified personnel): remove the four screws that hold together the hulls of the motor body (Fig. 18); use a simple dry brush or cloth to remove the powder residue from the blades of the impeller and the inside of the hulls (Fig. 19); bring together the hull and tighten the four screws respecting the centrality of the position of the Velcro strip as indicated by the arrow in fig. 18.
SECURITY SYSTEMS
The Irondryers are equipped with the safety system called Beta-TEMP Control System. The safety system automatically stops the electricity in case of overheating. If this event occur, turn off the appliance, disconnect the plug from the power outlet and wait 10 minutes. After this time, plug in and use the device again.
If the event of automatic shut-off supply repeats, run again the operations of turning off and contact the Technical Assistance Centre.
All major components used in the creation of IRONDRYER are made of materials with the highest level of self-extinguishing, as realized in V0 plastic resin, glass fiber reinforced.
Before contacting Irondryer.com check the following anomaly and possible causes.
PROBLEMS RESOLUTIONS
| ANOMALY | POSSIBLE CAUSE |
|---|---|
| The appliance is not working. | The power cord is defective. There is no tension of power supply. |
| The appliance turns off abruptly. | The safety thermostat has intervened. The safety fuse has intervened. |
| The appliance does not heat up. | The switch is not pressed. The resistance does not work. |
| The motor is working but the appliance does not inflate the dress shirt/pants. | The dress shirt/pants is ripped or not well positioned. Air inlets are obstructed by powder or other objects. |
TECHNICAL DATA
| | Power supply | 230 V ~ 50 Hz single phase |
|---|---|---|
| Maximum Power Watt | Maximum Power | |
| | Watt | 1.500 HS02, HB04 |
| | | 1.550 HB05 |
| | | 1.700 HB07 |
| | | 1.850 HB17 |
| | Maximum pressure mm H2O | 40 |
| Net weight Kg | Net weight | 6 HS02 |
| | Kg | 6.5 HB04 |
| | | 11 HB05 |
| | | 18 HB17 |
| Machine dimensions cm | | 26 x 35 x 110 HS02, HB04 |
| | | 26 x 35 x 113 HT09 |
| | | 50 x 50 x 160 HB05 |
| | Machine dimensions in operation | Variable from the irondryed garment |
| Irondrying average time minutes | Irondrying average time minutes | 5 – 12 for shirt* |
| Protection value | | |
| Insulation class | | |
Indicative variable values from fabric to fabric and from the degree of humidity of the irondryed garment. Tests carried out in ventilated room with working area of 12 square meters, temperature of 26° C., relative humidity 48-50% and washing machine spin at 800 r.p.m.
KIT OF SUPPORT ROD CLOSURE
a. bolt
b. 1° tubular support rod with a hole for knob.
c. 2° tubular support rod
d. washer
e. wing nut
Fig. 3
Fig. 5
Fig. 7
Fig. 8
s
Fig. 13
Fig. 14
GUARANTEE CERTIFICATE
To preserve with the product.
The guarantee is valid for 5 years on the whole National territory from the date of purchase for the blowing motor only if this certificate is compiled in every single part. Show the guarantee certificate together to the product at the action of the request of reparation.
The guarantee of the remaining components is valid 2 years with the exception of what mentioned below.
From the guarantee are excluded the defects, the damages and the breakdowns that might occur for a incorrect and improper use by the customer, for missed respect of the warnings and conditions of use indicated in this instructions book, for a not correct installation or maintenance, for interventions effected by not authorized personnel. In the aforesaid period of guarantee the manufacturer undertakes, after having effected the appropriate technical evaluations, to fix or to replace for free, the parts of the appliance that result to have manufacturing defects. From the guarantee are excluded the electric parts, the painted or enameled parts, the knobs, the handles, the plastic mobile or removable parts, the lamps, the glass parts, the hoses, the external electric wire and all possible accessories of normal usury.
The manufacturing society is not responsible of the direct or indirect damages caused to people or things from breakdown of the appliance or consequent to the forced suspension of the use.
The interventions in guarantee will be directly performed by Irondryer.com or, previous communication by mail to Irondryer.com in a Authorized Technical Assistance Centre.
The appliance must be directly transported or sent at the expense of the client.
Contact the manufacturer to know the closer Authorized Technical Assistance Centre. The performance effected in guarantee does not prolong the period of the same guarantee.
For all the firms with VAT number, the guarantee is valid for 1 year rather than 5 or 2 years.
The rights of guarantee respond to the Dutch Law.
Irondryer.com PO Box 595 NL-5400 AN Uden
IRONDRYER
Released to Mr. / Mrs.
____________________________________________________________________
Address
____________________________________________________________________
City
____________________________________________________________________
Telephone
____________________________________________________________________
Seller Stamp
Date of purchase
(or attach the receipt or the purchase invoice)
|
THE LEHIGH VALLEY CHAPTER OF
AMERICAN SOCIETY FOR CLINICAL LABORATORY SCIENCE - PENNSYLVANIA
CONSTITUTION AND BYLAWS
CONSTITUTION
ARTICLE I, NAME AND GEOGRAPHIC AREA
The name of this organization shall be "The Lehigh Valley Chapter of the American Society for Clinical Laboratory Science – Pennsylvania (hereinafter referred to as the Society), affiliated with the American Society for Clinical Laboratory Science. The geographic area of this Society shall include Berks, Carbon, Lehigh, Monroe, Northampton and Schuylkill counties.
Article II, PURPOSE
The purpose of this Society shall be:
EDUCATION:
A. To promote improvement of the technical and professional standards of all personnel concerned with the clinical laboratory and associated technologies;
IMAGE:
B. To provide a forum for the presentation and discussion of ideas concerning the betterment of service to, and understanding between, the members of the Society and the consumers, physicians and all other health care personnel.
SERVICE:
C. To provide a means to share technical information and solve technical problems through networking with other clinical laboratory scientists.
RECRUITMENT
D. To increase public awareness of clinical laboratory practice as a viable profession; to recruit students to the profession and support participation in professional activities.
STUDENTS
E. To involve and support students in clinical laboratory science activities at local and state levels.
ARTICLE III, MEMBERSHIP
Membership in this Society shall be offered to all qualified persons living and/or working within the geographic boundaries listed in Article I, subject to the conditions as set forth in the accompanying Bylaws of this Society.
ARTICLE IV, OFFICERS, EXECUTIVE BOARD OF DIRECTORS, STANDING COMMITTEES
A. The Officers of this Society shall consist of the President, President-elect, Secretary and Treasurer.
B. There shall be an Executive Board of Directors consisting of the Officers, the immediate Past President, the Nominations and Elections Representative to ASCLS-PA and the heads of the Standing Committees. All general policies and activities of this Society are subject to the approval of the Executive Board.
C. There shall be Standing Committees as described in the Bylaws.
ARTICLE V, MEETINGS
A. There shall be regular meetings of the Executive Board of Directors as described in the Bylaws.
B. In order to be considered an active Chapter according to ASCLS-PA, there shall be a minimum of three (3) educational programs of interest to clinical laboratory personnel presented each year. This requirement is waived in the year in which the Chapter hosts the ASCLS-PA Annual Meeting.
ARTICLE VI, PARLIAMENTARY AUTHORITY
The order of business for all regular and special meetings shall follow a standard order of business such as described in Robert's Rules of Order (the latest edition) or similar authority.
ARTICLE VII, AMENDMENTS
A. This Constitution and its Bylaws may be amended by 2/3 affirmative vote of the membership present at the time of voting.
B. Proposals for amendment shall be submitted in writing to the President, Secretary, and Chairperson of the Constitution and Bylaws Committee and must have the signatures of at least three (3) active members of the Society. Proposals are submitted to the Board for approval. Following Board approval, the proposed amendments shall be sent to the ASCLS-PA Bylaws Committee for state approval.
C. Proposals shall be announced to the membership at the first meeting following state approval, published at least 30 days prior to the final vote, and will be acted upon at the next regular business meeting.
ARTICLE VIII, QUORUM
A. A quorum for any regular business meeting of the Society shall consist of at least two (2) officers and those members present.
B. A quorum for a meeting of the Executive Board of Directors shall consist of at least 2 of the membership of the filled Board positions.
C. A quorum for a meeting when a proposal for amendment is to be considered shall consist of at least 1/4 of the total voting membership. The membership chairperson shall count the number of voting members as of 30 days prior to the meeting date where a proposal for amendment is to be considered. The quorum shall then be determined using this number.
D. A quorum for election of officers shall be 1/4 of the total voting membership. The membership chairperson shall count the number of voting members prior to the election of officers. The quorum shall then be determined using this number.
E. The Board of Directors may authorize voting by mail, FAX, electronic bulletin board or other means as current communication technology allows. Recognizing conference calls as "meetings" will necessitate following the same requirements for quorum as other meetings.
BYLAWS
ARTICLE I, MEMBERSHIP
A. The members of this Society shall consist of these classes: Professional, Collaborative, Emeritus, Student and Honorary.
B. The qualifications for each such class of membership shall be:
1. The Professional member may be anyone who has become a Professional member of ASCLS and ASCLS-PA.
2. The Collaborative member may be anyone who has become a Collaborative member of ASCLS and ASCLS-PA.
3. The Emeritus member may be anyone who has become an Emeritus member of ASCLS and ASCLS-PA.
4. A Student member may be anyone who has become a Student member of ASCLS and ASCLSPA.
5. An Honorary member may be anyone who has become an Honorary member of ASCLS.
C. Professional and Emeritus members are entitled to vote, hold office, and serve on the Executive Board of Directors. Student members are entitled to vote. All other rights, benefits and privileges of this Society shall be extended to all members.
D. Non-members of ASCLS are encouraged to participate in Chapter activities and to be put on the Chapter mailing list. They are required to pay a yearly program fee determined by the Board of Directors to cover these expenses. ASCLS members are also encouraged to pay this yearly program fee to cover mailing expenses.
E. The retention, suspension, expulsion or reinstatement of a member of the Society is by action of the Executive Board of Directors of this Society, and in the manner prescribed by the Bylaws and Society Regulations of ASCLS-PA and ASCLS.
ARTICLE II, NOMINATIONS AND ELECTIONS
A. Only Professional or Emeritus members shall be eligible for nomination to an elective office, provided they have been members of ASCLS for at least one year and are in good standing in the Society.
B. A full slate of nominees to all elective offices shall be announced to the membership by mail ballot. Nominations will be accepted from the floor by write in, provided the nominees have accepted the nomination and that their qualifications are available to the membership. Each Professional, Emeritus and student member shall receive by mail a ballot which shall then be returned to the Nominations & Elections Committee Chair.
C. The nominee receiving the majority of affirmative votes shall be elected. In order for the election to be valid, a quorum of ballots must have been returned.
D. The President and President-elect shall each serve a one year term. The Secretary and Treasurer shall each serve a two year term and may succeed themselves for only one consecutive additional elected term. The Officers shall be installed at the Annual Spring dinner or at the first meeting of the fiscal year and shall assume their duties at the start of the fiscal year.
E. In the event of a vacancy in any office, the President may appoint someone to fill the office for the remainder of the fiscal year.
F. A Chapter Representative to the State Nominations and Elections Committee shall be elected with the Society Officers for a one year term. Nominees for this position must be Professional or Emeritus members of this Society. Nominees for this position cannot be an elected member of the Leadership of ASCLS-PA.
ARTICLE III, DUTIES OF OFFICERS AND EXECUTIVE BOARD OF DIRECTORS
A. The Officers and the Executive Board of Directors shall conduct the general Society business in accordance with the stated purposes of the Society and within the provisions of the Constitution and Bylaws.
B. The President shall direct and be responsible for the activities of the Society, preside at regular and special meetings, make committee appointments, be an ex-officio member of all committees except the Nominations and Elections Committee, and are official spokesperson for the Society. The President shall submit written reports to the ASCLS-PAmPresident as required by ASCLSPA and attend at least one meeting of the ASCLS-PA Board of Directors or send an alternate. The President may also sign checks for disbursement of funds in the absence of the Treasurer.
C. The President-elect shall perform the duties of the President in the absence of, or the disability of, the President and shall act as the Program/Continuing Education Chairperson.
D. The Secretary shall be the custodian of all minutes and records of the activities of the Society and shall conduct correspondence.
E. The Treasurer shall be custodian of all Society funds, deposit said funds in a bank in a timely manner, make disbursements, sign checks for disbursements, act as the Chairperson of the Finance Committee, make a full report of all income and expenditures at regular and annual meetings, deliver all funds and records to the successor, and have the accounts audited every two years or at the end of the term of office by an auditing committee appointed by the President from the Professional or Emeritus membership.
ARTICLE IV, COMMITTEES - DUTIES AND FUNCTIONS
A. The president shall appoint the chairpersons of all committees. The chair of each committee shall appoint their committee members with the approval of the President.
B. The Program/Continuing Education Committee shall prepare and present at least three (3) programs each year in any form judged appropriate to the profession. This requirement will be waived in the year during which the Chapter hosts the Spring Meeting.
C. The Membership Committee shall receive and act upon all applications for program participation, collect program participation fees and submit them to the treasurer, maintain membership and program participation lists, and promote interest in Society activities.
D. The Finance Committee shall safeguard the funds of the Society and makes recommendations to the Board in regard to the handling of Society finances. The Committee is responsible for the organized transfer of all funds into the care of the next year=s Finance
Committee and ensures that the Society=s finances are audited as directed in Article III E of the By Laws.
E. The Committee on Constitution and Bylaws shall be initially responsible for the preparation of these documents and shall submit said documents for approval as required in Article VII of the Constitution. Thereafter, the Committee shall act as advisor in questions concerning amendments or interpretation of the documents and make their advice and recommendations known to the Society and its Officers. Duties shall include monitoring ASCLS-PA Bylaws and making sure chapter is conforming to these documents.
F. The Publicity Committee shall promote public understanding of the profession of clinical laboratory science in the community, shall publicize all activities of the Society, both to the members and the general public, shall aim to stimulate interest in our Society by other groups connected with the medical or technical fields and shall publish the Chapter newsletter.
G. The Scholarship and Awards Committee shall inform the membership of available scholarships, awards and funds for continuing education, shall receive and review all applications for awards given by the Society, and shall act as the judges at any Science Fairs, etc., in which the Society is invited to participate.
H. The Chapter Nominations and Elections Committee shall prepare a full slate of nominees to all elective offices of the Society and shall present these nominations to the members.
I. The Committee for Professional, Personnel, and Public Relations shall coordinate all programs and activities sponsored by the Society to promote the profession of Clinical Laboratory
Science during the National Medical Laboratory Week. Other areas of activity shall include public image, membership services, communications media, and personnel development.
J. The Archivist will compile and maintain a running history of the society by keeping an organized file of records, clippings, etc., pertaining to the Society.
K. The Chapter Student Forum Representative shall act as liaison between the students within the Society's (Lehigh Valley Chapter) area and the ASCLS-PA Student Forum. He/she will be available to coordinate activities for the students, such as job fairs and educational programs. He/she will, if possible, attend any state student forum functions, including the ASCLS-PA Board of Directors, when required. He/she shall speak for the Chapter students while in office and shall serve as a voting member of the Society's Executive Board of Directors.
ARTICLE V, Fiscal Year
The fiscal year shall be from September 1 to August 31 inclusive.
ARTICLE VI, Program fees
A. Fees may be assessed to receive meeting announcements and Chapter newsletters.
B. The Program Fees for this Society shall be determined by the Society's Executive Board of Directors. Changes will be published at least six (6) months before the start of the next fiscal year in which the new fee schedule would be used.
C. Members transferring from another District Chapter who can display just proof of payment of Program Fees to that Society for the current fiscal year, will not be required to pay program
fees until the next fiscal year.
ARTICLE VII, Termination of the Lehigh Valley Chapter of the American Society for Clinical Laboratory Science – Pennsylvania.
A. If, according to the rules and regulations of the American Society for Clinical Laboratory Science – Pennsylvania, the Lehigh Valley Chapter cannot continue as a charter member of such, the Executive Board of Directors of the Society shall meet immediately following notification and draw up several alternatives to the fate of the Society and to the disposition of funds in the Treasury.
B. A special meeting of all members of the Society will be held to present the alternatives determined by the Executive Board of Directors and to decide the fate of the Society. The future of the Society shall be determined by the affirmative vote of a majority of the voting members present.
1. If the members of the Lehigh Valley Chapter decide they cannot conform to the rules and regulations of the State Society (ASCLS-PA) the Chapter shall relinquish all claims to ASCLS-PA and all advantages received as a charter member.
2. If the members of the Lehigh Valley Chapter decide to form an independent Society of clinical laboratory scientists and clinical laboratory technicians with the same purpose for which the chapter was formed, the funds in the Treasury of the chapter shall be donated to the independent society.
3. If the members of the Lehigh Valley Chapter decide to disband completely, the funds in the Treasury shall be given to educational and/or charitable organizations chosen by the Executive Board of Directors and approved by the affirmative vote of a majority of the voting members.
|
―For nation shall rise against nation, and kingdom against kingdom: and there shall be earthquakes in divers places, and there shall be famines and troubles: these are the beginnings of sorrows.‖ Mark 13:8
The word ―sorrows‖ in this verse means ―a pang or throe, especially of childbirth:--pain, sorrow, travail.‖ It is also rather interesting that the same verse makes reference to the unrest among the nations and natural disasters, both of which are on the world's stage at this present hour. Scriptural prophecy is unfolding almost daily, yet men seem to completely ignore it. The above analogy of a woman's labor pains, describes the ever intensifying upheaval in the world today. Natural labor pangs begin rather mild and infrequently, and gradually increase, both in time and severity, until the infant is born. Just so, the present difficulties of this world, here called the ―beginnings of sorrows,‖ will intensify until the most severe part of the tribulation period, is come which is called ―the time of Jacob's trouble,‖ Jer. 30:7 This will bring forth the fulfillment of Isaiah 66:8 ―Who hath heard such a thing? who hath seen such things? Shall the earth be made to bring forth in one day? or shall a nation be born at once? for as soon as Zion travailed, she brought forth her children.‖ God's dealings with the nations, and all of humanity, have always centered around Israel, and so will it be in the end time.
The 2011 Christchurch earthquake (also known as the 2011 Canterbury earthquake and the Lyttelton earthquake) was a 6.3-magnitude earthquake that struck the Canterbury region in New Zealand's South Island on 22 February 2011. It followed nearly six months after the 7.1 magnitude 2010 Canterbury earthquake that caused significant damage to the same region but no direct fatalities. The quake in Japan was an 9.0 magnitude earthquake striking on March 9, 2011 leaving
horrendous damage and loss of life, and while the nuclear reactors withstood the earthquake, as they were designed to do, the tsunami that followed damaged them severely. Not only so, but much of the area continues to reel, due to the tremendous ―aftershocks.‖ Many conflicting reports are circulating as to just how extensive that reactor damage is and what risk there may be due to nuclear contamination. Our opening text declares that that such disasters would occur in divers places and they are coupled with ―famines and troubles,‖ that is ―disturbance, i.e. (of water) roiling, or (of a mob) sedition.‖ It simply means that multiple problems occur beyond the initial devastation. This particular disaster has produced tsunamis as far away as Hawaii and California, and the Canadians have also been warned about such waves hitting their shores. We are yet to hear how the fallout from the damaged nuclear reactors may affect other nations.
It is rather amazing that we hear so many reports blaming this disaster on global warming, despite the fact that the information supposedly proving this ―man made phenomenon‖ was officially deemed to be severely compromised and fabricated. Consider just a few of the comments from some die hard environmentalists, along with a few others, published in ―The Daily Caller‖ on the internet, with the headline ―Some respond to Japan earthquake by pointing to global warming.‖ ―Has the time come to demonstrate on solidarity – not least solidarity in combating and adapting to climate change and global warming?‖ ―I'm worried that Japan earthquake, on top of other recent natural ‗disasters,' is a sign we've passed point of no return for climate change.‖ ―An earthquake with an 8.9 magnitude struck Japan. And some say climate change isn't real?!‖ ―Never really believed all this global warming talk, but after the earthquake in NZ and today in Japan. Maybe we've ruined the world.‖
We wonder when men will finally wake up and realize that Jesus Himself prophesied very explicitly that these things should come, and perhaps ―Global Warming‖ could be better translated ―God's Warning.‖ Some of the above comments indicate that men do realize they are becoming more frequent, but the overall tenor of such words seems to suggest finding a way of prevention. That will not happen, according to God's Word. Men have learned to ―control‖ or ―adjust‖ the time of a birth with certain drugs, but the labor pains of a woman in
childbirth will not be completely eliminated until her child is delivered. So also the birth pangs of this world. It is indeed a runaway train which has already left the station, its wheels having been set in motion by God Himself and the futile efforts and ingenuity of men will not stop it. The world itself is actually in revolt even as Paul tells us ―…… that the whole creation groaneth and travaileth in pain together until now.‖ Rom 8:22 Paul continues here declaring that God's people also feel such travail. ―And not only they, but ourselves also, which have the firstfruits of the Spirit, even we ourselves groan within ourselves, waiting for the adoption, to wit, the redemption of our body.‖ V. 23 The apostle here gives us the glorious prescription for our own lives during this time of sorrows. It is not to try and save our environment, but rather to concentrate on being delivered out of this world, ―waiting for the adoption‖ (sonship) or manifestation of the fact that we are the sons of God. V. 19
Mark has specifically targeted earthquakes in his warnings of this end time period, but Jesus' words in Luke paint with a broader brush in reference to these same events. ―And great earthquakes shall be in divers places, and famines, and pestilences; and fearful sights and great signs shall there be from heaven.‖ Luke21:11 The ―fearful‖ (frightening, alarming,) sights, along with signs from heaven, must include a great host of phenomena far beyond the control of men. These are very often rightfully called ―acts of God‖ and would include volcanoes, famines, tsunamis, tidal waves, hurricanes, tornadoes, excessive snowfall, floods, drought, and multi-ton meteorites which have and could yet hit this earth. The ways of devastation for this little earth ball are legion, and man will one day learn that he can in no wise control any of them.
Insofar as earthquakes are concerned the ―big one‖ has yet to occur. Those in Christchurch and Japan have been devastating, but let us remember, this is only the ―beginning of sorrows.‖ After the two witnesses have finished their allotted 1260 days of ministry, bringing the world to the middle of the tribulation, they will be killed. Three and one half days later they will be raised from the dead in plain sight, and immediately taken to heaven. This will bring a great earthquake in Jerusalem whereby the 10 th part of the city of Jerusalem will fall and seven thousand will be slain. Rev. 11:13 Such devastation will be followed a short time later by
―…..a great earthquake, such as was not since men were upon the earth, so mighty an earthquake, and so great.‖ Rev. 16:18 The devastation in this one is so massive that the ―great city of Babylon‖ or modern day Rome will be divided into three parts. Other cities of nations are also said to fall at this time but ―….great Babylon came in remembrance before God, to give unto her the cup of the wine of the fierceness of his wrath.‖ V. 19
The great conflicts between kingdoms and nations are also included in this beginning of sorrows, and such skirmishes are extremely prominent at this present time. Egypt has already dethroned former President Mubarak, as she apparently leads the rest of the world toward democracy. Libya has tried to follow that same pattern, but at this writing her situation seems to fit the ―kingdom against kingdom‖ scenario, as factions within the nation rise up against Libyan dictator Muammar Gaddaffi, resulting in tremendous bloodshed and unrest. It seemed for a time that these Egyptian like demonstrators were winning, but in recent days, the national government has taken control of key strongholds occupied by those protestors. Other nations in the world community, some of which are pressing the democracy issue, are truly perplexed and distressed (Luke 21:25) because they are simply at a loss as to which direction to take. The democratic forces in Libya have cried out repeatedly to Arab, as well as other nations, to enforce a ―no fly zone‖ over the country to prevent Gaddaffi from striking them so severely from the air. New items abound on this matter, but even though most agree that Gaddaffi must be replaced by democracy, all relay basically the same message. Mercury News reported that the effort led at the G-8 meetings in Paris by French and British diplomats ―ran aground.‖ ―Germany's envoy saying his country was "very skeptical" about military action against Moammar Gadhafi's forces. Foreign ministers from the so-called Group of Eight countries agreed more action within the U.N. Security Council is needed to pressure Gadhafi—possibly through new sanctions, but not military action, diplomats said.‖ Germany's foreign minister, Guido Westerwelle further stated, ―Our position is well known: We are very skeptical about any military intervention, including a no-fly zone in Libya. We do not want to get sucked into a war in North Africa. We want to avoid any slippery slope in this
direction." The New York Times reports that ―An American official, who discussed United Nations deliberations on the condition that he not be identified, said the Security Council had moved more quickly on Libya than on almost any issue in recent years. The body is poised to take further steps, if warranted, like ―a rapid deterioration, a significant uptick in violence,‖ he said. ―In terms of big ideas like a no-fly zone, if the international community is ready, and there is a need to impose a no-fly zone or authorize use of force, that would require another whole debate and resolution.‖ U.S. Secretary of State Hillary Clinton reinforced this same message saying that a ―Libya no-fly zone‖ is a UN decision. Italy weighed in with further complications due to a 2008 treaty, wherein ―Italy pledges not to use ―direct or indirect‖ military force against Libya, or to allow the use of its territory ―in any hostile act against Libya.‖ Italian Foreign Ministry spokesman, Maurizio Massari, also noted that ―Italy had suspended the treaty, not revoked it, and would evaluate how to proceed as the conflict in Libya evolved.‖
All of these accounts simply show that these nations, though outwardly expressing great sympathy for those suffering so severely at the hands of Gaddaffi, are looking out, first of all, for their own interests and it surely does not take great speculation to realize that many of their decisions will be predicated upon economic considerations. War is expensive. It also seems quite apparent, by the world economic crisis that monetary issues will be at the forefront of ushering in a one world government.
Kingdom shall rise against kingdom, and such a declaration could well be applied to present difficulties in this country. Paul warned ―…..that in the last days perilous times shall come.‖ II Tim. 3:1 Rather than political difficulties the apostle speaks in this portion of the inward motivations of the flesh, stating that ―…. men shall be lovers of their own selves, covetous, boasters, proud, blasphemers, disobedient to parents, unthankful, unholy, Without natural affection, trucebreakers, false accusers, incontinent, fierce, despisers of those that are good, Traitors, heady, highminded, lovers of pleasures more than lovers of God; Having a form of godliness, but denying the power thereof:….‖ V. 2-5 The current situation in Wisconsin, where the ―kingdom‖ of a union has risen up, and some politicians fled the state to avoid voting on measures put
forth by the Governor, to address the severe economic crisis of a bankrupt state which can in no wise meet its financial obligations. Many states, which are in the exact same condition as Wisconsin, are watching intently to determine if this might be the path they must follow to keep from falling into the same pit of economic chaos. Also at issue is the recently passed health care law, already declared by certain Federal Judges, to be unconstitutional. A number of State Attorneys General have filed law suits against it, and it seems that a showdown of ―kingdom against kingdom,‖ within a nation, even as we see politically in Libya, may be in the offing.
The verses from Romans 8, quoted above tell us plainly that those looking for Jesus to come will, in no wise, escape these sorrows which are even now, coming upon this world. Right now rising gasoline prices and other hardships and other shortages are the primary culprits, but verses 24,2 tell us what to do about it. ―For we are saved by hope: but hope that is seen is not hope: for what a man seeth, why doth he yet hope for? But if we hope for that we see not, then do we with patience wait for it.‖ We have seen before that, despite the exhortations, demands, calls to prayer, or any other religious or political effort, this planet will not be preserved. Ours is not to try; and it can be very dangerous to our own spiritual development if we do bow to that obsession, for it will take our eyes off the real goal: the coming of Jesus! It is rather our responsibility to keep our eyes on the ―hope‖ which is here set forth as salvation. ―If we hope for that we see not…‖ is an expression of faith. It is imperative that we look beyond present world conditions, even those in our own country, and realize that we are not of this world. We are only pilgrims passing through and must look by faith to those things which are not seen, to the time when our glorified bodies will outwardly reveal what and who we have been all along, THE SONS OF
GOD! Rom. 8:17-19.
Why is He silent when a word Would slay His accusers all? Why does He meekly bear their taunts When angels wait His call?
―He was made sin,‖ my sin He bore Upon the accursed tree; And sin hath no defense to make -- His silence was for me.
OUR CONFLICT OF FAITH
Walter Anderson
―Being justified freely by his grace through the redemption that is in Christ Jesus:‖ - Romans 3:24.
―That as sin hath reigned unto death, even so might grace reign through righteousness unto eternal life by Jesus Christ our Lord.‖ Romans 5:21
There can be no self-delusion where grace is accepted by faith. God and His Blessed Son are altogether glorified therein. All creatures' vain assumptions fall smitten in self-despair, under the impact of grace's authority to reign.
His resurrection glory, acclaimed to be ―Almighty.‖ His invincible will, must be manifest in all the earth as well. Now in mystery, Christ in the fullness of the Godhead bodily, dwells in His Bride upon earth - in manifestation of the Spirit! The Bride accepts His fullness, and so lives in His glory by the Holy Spirit.
As ―all things‖ serve Christ, the absolute Potentate, so ―all things‖ must serve the Christ in us Christ can fully glorify Himself in His Bride. Think on this!
All self-attainment is mere presumption, and frustrates grace in its inner workings. Through grace, God Himself is pleased to glorify His Son within our hearts.
All sufficiency of grace comes forth by faith alone, in the life of Christ. All self-trust is the height of deception and arrogances of pride. Man's pride is smitten to utter humiliation, by the glory of grace.
For grace to reign without dispute is to allow Christ complete access to our innermost being. He must possess all in love, to be satisfied in holy wedlock and bliss! Our own self-will is judged to the very core. The victory is grace.
We must learn, sooner or later, that dependence upon flesh is false. This becomes painfully true when it comes to our own human nature. Let it be remembered that nature does not produce grace. Abraham found this out in the birth of Ishmael, whose mother was Hagar after the flesh.
Only faith pleases God; without it, it is impossible to please Him. God's way to life is faith alone! ―The just shall live by faith‖ - Romans 1:17. In believing God, we accept His declaration apart from our own reasoning.
We, as mere creatures, only reason from within our own
viewpoint, and our self-importance is so very dear to us. Only grace, received in faith, changes the entire disposition of our hearts! Through it, we become willing to accept God's will in any matter. This is victory.
God's will is contrary to human reason. God's sovereignty over the human will must be accepted, beyond all of our own considerations. He must be ―all in all,‖ if He is to be Sovereign and undisputed Lord.
We too must experience the contest between Jacob and the angel all over again. By sheer strength and might he would have overcome the messenger of God. ―And he (the angel) said, Let me go, for the day breaketh. And he said, I will not let thee go, except thou bless me‖ Genesis 32:26.
The reality is that we find our conflicts are with the Word of God. By our sheer self-determination and will, we would seek to overpower It within our hearts. We must learn by experience that the letter of the Word is God's messenger, the very Logos (―Word,‖ Greek) Himself.
Finally, in our desperation, we anticipate the strength of Logos to be Almighty. As we submit, we cling in desperation of despair to receive all blessings from our Beloved Bridegroom. Surely the Scriptures must needs be fulfilled in us. Our self-effort has been vanquished, and grace has secured our hearts in love to our Beloved! We are willing to let Him reign and be glorified in our lives!
So, ―without controversy‖ great is the mystery of godliness‖ in our lives in Christ and in God, through the fullness of the Holy Ghost. Oh, blessed grace! The very Trinity dwells in our hearts, in the full pleasure of the Godhead!
Such is the possession of love in the Bride of Christ. She has had her confrontation with the fullness of the Godhead in her Bridegroom! How invincible her love is, to possess all the fullness which dwelleth bodily in Christ Jesus. He becomes her most Blessed ―I AM THAT I AM!‖
She has come to His stature - Very God and Very Man! ―Be Thou exalted, O God, above the heavens; let Thy glory be above all the earth‖ Psalm 57:5.
How has this great gap between heaven and earth been bridged? What impossibilities they are! The inconceivable chasm is now bridged in grace! All victory is secured in the precious blood of the Lamb. Now it is the virgin Bride of Christ, who may comprehend all things in heaven and in earth through her Beloved. Israel never heard of Such faith! Grace has found the choicest vessel of election! Herein dwells the glory (10)
of the Godhead, in Christ! How great, beyond all expression of words, is wisdom manifest now in the ―fairest of women!‖
Oh, the magnitude of the infinite depths of the Godhead before the beginning of creation! ―He hath made the earth by His power, He hath established the world by His wisdom, and hath stretched out the heaven by His understanding! - Jeremiah 51:15.
Notwithstanding creation's complexity and variety, wisdom also bears rule over all kingdoms in the past and present. Wisdom stands with the Lord in all His administrations! ―Daniel answered and said, Blessed be the Name of God for ever and ever: for WISDOM (‗the Lord possessed Me in the beginning of His way' - Proverbs 8:22) AND MIGHT ARE HIS: And He changeth the times and the seasons: He removeth kings, and setteth up kings: He giveth WISDOM unto the wise, and knowledge to them that know understanding: He revealeth the deep and secret things: He knoweth what is in the darkness ('and darkness was upon the face of the deep' - Genesis 1:2), and the light dwelleth with Him‖ - Daniel 2:2022. This light of His glory was in the beginning and came forth to dispel chaos. ―And the light shineth in darkness; and the darkness comprehended it not‖ - John 1:5
she now rules in the kingdom of men. ―Counsel is mine, and sound wisdom: I am understanding: I have strength. By me kings reign, and princes decree justice. By me princes rule, and nobles, even all the judges of the earth‖- Prov. 8:14-16.
These foregoing accounts, show wisdom's activity in the past. Now for the present, in redemption's scheme. God discloses ―even the mystery which hath been hid from ages and from generations, but now is made manifest to His saints‖ - Colossians 1:26. It is to be seen that ―this mystery‖ is very comprehensive in what it includes. Many just establish it as beingthe Church, as the Body of Christ. Far more is implied, as being made effective through the sacrifice of Jesus Christ on the cross.
Paul declares his ministry to be ―according to the dispensation of God which is given to me for you, to fulfil the word of God;‖ Col. 1:25 This sets his ministry apart from all human authority and ordination. It must carry in it the full revelation of all scriptures that precede it. This purpose in Paul's calling is ―to fulfil the Word of God.‖ How tremendously important this is. To ―fulfill‖ is from the Greek word ―playro-o‖ meaning ―to cram, to furnish, finish, accomplish, complete, fill (up), perfect.‖
Within the confines of all Scriptures, that are completed or finished through Paul's revelation, must also be ―wisdom.‖ A portion of Scripture surely pertains to wisdom, ―which is now made complete,‖ through the ministry of grace. The wisdom of God is spoken in mystery, in all of Paul's stewardship - ―But we impart a secret and hidden wisdom of God, which God decreed before the ages for our glory‖ - I Corinthians 2:7 R.S.V. I Corinthians1:23,24 declares that wisdom is found in the preaching of the Cross - ―But we preach Christ crucified, unto the Jews a stumbling block, and unto the Greeks foolishness; but into them which are called, both Jews and Greeks, Christ the power of God, and the wisdom of God.‖ So wisdom must be manifest at the Cross, in the death, burial, and resurrection of Christ.
Let it be understood also, on the contrary, that man's wisdom is, at the Cross, nullified completely and rendered useless! ―For it is written, I will destroy the wisdom of the wise, and will bring to nothing the understanding of the prudent‖ - I Cor. 1:19. All the philosophical wisdom of the ages would hold that man was his own redeemer, and possessed the power and means to secure his own betterment. This would make Christ's death in vain. Golgotha was the place of the skull - the end of man's reasoning. Can he think through death unto resurrection? By no means! Impossible! All reasoning ends in death! It must be faith alone that perceives. So wisdom can only be understood through faith, apart from all reasoning. It transcends all thought of the creature! In being inconceivably great, wisdom is apprehended by believing God as grace is apprehended. ―Every good gift and every perfect gift is from above and cometh down from the Father of lights, with whom is no variableness, neither shadow of turning‖ - James 1:17. James 3:17 likewise asserts ―But the wisdom that is from above is first pure, then peaceable, gentle, and easy to be entreated, full of mercy and good fruits, without partiality, and without hypocrisy.‖ Just as grace bridges the gap between heaven and earth, the past to the present, so wisdom also has this inherent power. ―Christ…..is made unto us wisdom‖ - I Corinthians 1:30.
We may perceive, by illustration, the physical properties of light in its relationship to the sun. By itself the sun as a star, is one immense fireball. Through the means of light waves, this light, heat, and energy are transmitted from its body in all directions. Through
this means of radiation, all other physical bodies like the earth, moon, and planets assimilate the sun's rays. They thus receive all its content and benefits.
So likewise, the Bride of Christ in her human spirit receives the wisdom of Christ in pure light and spirit. As she assimilates wisdom's glory, she becomes wisdom in very essence and being. Whatever, we assimilate in spirit, we become also! In the very substance of wisdom, the Bride comes to know Christ's death and resurrection. The light of wisdom penetrates all the unknown confines of death, and brings it forth to understanding and reality. With our own reason, we could not know the meaning of Christ's death. Therefore, in faith, the Apostle Paul who apprehended wisdom could say, ―That I may know Him, and the power of His resurrection, and the fellowship of His sufferings, being made conformable unto His death; if by any means I might attain unto the (out) resurrection of the dead‖ - Phil. 3:10,11.
The apostle secured the effective power of wisdom to know Christ's death and become conformable to it, otherwise, His death would have meant no more than any other. Paul became like Christ in his death! All its issues were brought to light by the power of wisdom. This is declared in Psalm 68:20 - ―He that is our God is the God of salvation; and unto God the Lord belong the issues from death.‖ All the ―issues‖ of Christ's death became known to Paul, in believing God who bought them forth in wisdom. After all, death holds no secrets from wisdom.
Wisdom penetrates all that is unknown in death, because it can go through all space and time . So Christ's death so long ago, becomes just as real today, for those who believe wisdom.
Paul knew that life was conceived in death, both physical and spiritual. So to know Christ's death was to come to know His glorious life! Without Christ's death, His life in glory can never be known. Nobody could ever apprehend Christ's glorified life, while He was still living in the flesh. This all shows the great advance of Paul's Gospel. Now Christ is known fully in the glory which His Father gave Him after His resurrection.
The mystery of ―Christ in you, the hope of glory‖ is revealed to the Bride - ―To whom God would make known what is the riches of the glory of this mystery among the Gentiles; which is Christ in you, the hope (or expectation) of glory: Whom we preach, warning every man, and teaching every man in all wisdom; that we may present every man perfect in Christ Jesus‖ – Col. 1:27,28.
13
It is now the glorified Son of God in us - the believing Gentiles - that is the mystery or secret. Let it be understood that, prior to Christ's death, nobody was ever ―in Christ.‖ What a transformation the death, burial and resurrection has made! ―Christ after the flesh,‖ in the Gospels, was only followed as a Master - II Cor. 5:16.
By this glorified indwelling of the very Person of Christ Jesus, the Bride accepts the pre-incarnate Logos to be her true life! So inconceivable is this that it is rendered ―the riches of the glory of this mystery.‖ Herein, the adjective ―this‖ makes it a most particular mystery. Through his preaching and teaching, Paul secured this marvelous revelation ―in all wisdom‖ – Col. 1:28.
This disclosure of ―all wisdom,‖ without reservations, gives the fullest insight to the grand transfiguration of wisdom. Do all believers apprehend this? By no means! They rather follow Jesus after the flesh, without His glory. Now, through wisdom, the Bride fully acquires Christ's very glory with the Father ―to be made perfect,‖ to become full grown.
Only by accepting Christ's death, burial, resurrection and ascension can she secure this blessedness of her Beloved! What riches of glory this is! Through wisdom, all that is in the glorified ascension of Christ becomes the very experience of the Bride. This is far beyond human knowledge. The experience of its very reality becomes the woof and web of her very being.
So grace has come forth to transform wisdom unto the Bride of Christ! Indeed, this is ―the riches of the glory of this mystery.‖ Through the Holy Spirit, ―the deep things of God‖ are fully manifested. Without wisdom, Paul in his human faculty could never have apprehended such unreachable depths of the Godhead before the world began.
~~~~~~~~~~~~~~~~~~~~~~~~
Truth is not a ―what,‖ but a ―Whom.‖ We should rest our souls upon a person, Christ, and not on a philosophy.
* Christian faith is both assuring and enduring.
* Silence can be beautiful and impressive; don't break it unless you can improve on it.
* Giving up is the ultimate tragedy.
DRY BONES
Dr. Vicky Moots
Ezekiel 37:1-10 relates the story of Ezekiel in the valley of the dry bones. Verses 11 & 12 tell us that these bones actually speak of the nation of Israel and its restoration. ―Then he said unto me, Son of man, these bones are the whole house of Israel: ... Therefore prophesy and say unto them, Thus saith the Lord GOD; Behold, O my people, I will open your graves, and cause you to come up out of your graves, and bring you into the land of Israel.‖ But I would like to use this example of the dry bones and their healing applying it to us as individuals and to the Church which is the body of Christ. I would further use examples from the human body to illustrate its meaning.
The latter portion of Ezekiel 37:2 exclaims, ―Lo, they were very dry.‖ These bones represented a body that was once living, strong and healthy and joined together but died, dried up, and fell apart. The vultures, worms and other animals cleaned off all the meat from the bones (muscles, tendons, ligaments) and the marrow dried up as the heat of the sun evaporated any remaining moisture. They had obviously been dead for a long time and seemingly beyond hope of ever living again.
Bones are usually very moist, having an abundant blood supply, and they are filled with an amazing substance called marrow. Job 21:24 mentions it; ―his bones are moistened with marrow‖. Bone marrow produces all the cells in the blood and is located in the center of the bone. The marrow stores iron and other building supplies to continuously form new cells as the old ones die off or are lost through blood loss, such as trauma or a bleeding ulcer. Healthy bone marrow (moist bones) is necessary for life. If the bone marrow dries up and fails to produce adequate numbers of blood cells, a person will soon die.
A doctor sometimes needs to take a sample of the bone marrow to test for certain illnesses such as leukemia or persistent unexplained anemia. This requires a special needle to drill through the outer bone into the core to obtain the sample. In cases of trauma or serious illnesses in which fluids must be infused quickly into the body, a similar needle called an interosseous needle can be pushed into the center of the bone where the marrow is located to deliver those fluids at a rapid rate. A large amount of fluid can be infused in a short period of time.
Proverbs 3:8 tells us that the fear of the Lord is ―health to the navel and marrow to the bones‖. Furthermore, Proverbs 17:22 declares, ―A merry heart doeth good like a medicine but a broken spirit dries the bone.‖ (marrow).
The nation of Israel lost their fear of God and began to serve the gods of the nations surrounding them. When we fail to put God first in our hearts or lives and allow the cares of this life to take priority we too will soon dry up and become weak and lifeless, no longer able to stand before Satan. God questions the prophet further, ―can these bones live?‖ Ezekiel 37:3
The answer is in verse 4: ―Oh, ye dry bones hear the word of the Lord.‖
The word of God has the power to give or restore life. It is ―quick‖ (living) and powerful (Hebrews 4:12) and sharper than any two-edged sword piercing even to the dividing asunder of soul and spirit, and of the joints and marrow. It is like the sharp, two-edged interosseous needle that can pierce into the marrow and infuse life into someone who is dying.
Bones are the frame work of the body that enables it to stand. For a living body, the bones are held together by joints connected by ligaments and surrounded by muscles to allow movement, enabling the body to function.
The dry bones in the valley not only needed to be moistened but to be joined together as a body and then to be given breath. This is a promise in verse 6: ―and I will lay sinews upon you and I will bring flesh upon you and cover you with skin and put breath in you and you shall live.‖
This miraculous revival can only be accomplished by the lifegiving word of God's grace which is able to build us up (Acts 20:32). Eph 4: 15, 16 show us how this takes place. ―But speaking the truth in love may grow up into him in all things which is the head, even Christ, from whom the whole body fitly joined, together (with all the ligaments and tendons) and compacted by that which every joint supplieth.‖
The word of God pulls us together as a body and builds us up in order that we may stand in the evil day. But to have life we must have breath, even as Ezekiel's dry bones in the valley.
Ezekiel prophesied in verse 7 – spoke God's word (to edification, exhortation and comfort 1 Cor 14:3) ―and the bones came together.‖ However there was no breath in them. Theefore, Ezekiel prophesied to the wind and the breath came into them and they lived and stood up on their feet an exceeding great army. V. 9,10
II Tim 3:16 declares, ―All scripture is given by inspiration of God (―God breathed‖). Inspiration, in the physical body, is a part of breathing and means to inhale or to take a breath.
The Holy Spirit makes God's word become real and living in our own hearts, not just words on paper. Through HIS word,
God literally breathes into our souls the breath of life as He did into Adam's physical body. We can then ―breathe out‖ Gods' word by the power of the Holy Spirit to give life to someone else.
Does your life seem like it is falling apart and you just can't seem to get it back together? Are you suffering from spiritual bone marrow failure? Let the word of God penetrate into your dried up bones and fill them with lifegiving marrow and allow the Holy Spirit to quicken God's word to your heart. The word of His grace will build you up and give you strength.
Yes, those dried up bones can live again!
RESURRECTION
If you've been resurrected from the dead,
Without doubt,
Tell it out.
Lifted from the grave's dark night of dread.
Sing and shout,
Live it out.
Jesus precious' blood for you was shed.
If with Him you from the tomb arose,
In His love,
Realms above,
Far'up o'er the power of your foes.
Way up there,
In the air;.
Jesus soon will all those things transpose.
If you've ascended to heaven's light
In accord
With the Lord,
Life safe 'hid with Christ in glory bright,
Praise His Name!
Grace proclaim!
Eternal joy is your sure birthright.
"Moreover, brethren, I declare unto you the gospel which I preached unto you, which also ye have received, and wherein ye stand; By which also ye are saved, if ye keep in memory what I preached unto you, unless ye have believed in vain." I Cor. 15:1-2
Several years ago a man wrote an entire book, using the last six words of the above text to refute, in his words, "the ungodly doctrine of O.S.A.S. (Once Saved Always Saved.) He interpreted Paul's words to mean that if did not "tow the mark," and constantly keep in memory the message, "I preached unto you," he would not be saved because he would have believed in vain, and would then go to hell. He missed the entire burden of this chapter wherein Paul wrote to dispel the Corinthian myth that there was no resurrection. The phrase "unless ye have believed in vain" expresses only one of many consequences to humanity, if Jesus be not raised from the dead. Thus the apostle begins immediately in verses 3 & 4, proclaiming the death burial and resurrection of Christ as the basis for the entire plan of redemption. His brilliant outline continues as verses 5 to 8, list six eyewitness accounts of those who had seen Jesus in His glorified state, after He was raised from the dead. That list includes "…Cephas, then of the twelve: After that, he was seen of above five hundred brethren at once; …..After that, he was seen of James; then of all the apostles. And last of all he was seen of me also, as of one born out of due time."
Paul continues his argument by listing eight devastating consequences to all humanity "…if there be no resurrection of the dead,…." for "if Christ be not risen, then (1) is our preaching vain, and (2) your faith is also vain……(3) we are found false witnesses of God; …. For if the dead rise not, then is not Christ raised: (4) your faith is vain; (5) ye are yet in your sins….. (6) they also which are fallen asleep in Christ are perished…..(7) we are of all men most miserable." We would note that the possibility of our faith being vain, (without reason or cause) is actually mentioned three times, because of its importance and because it depends entirely on the resurrection of Jesus. It is a glorious (18)
thought and reality however, to see that Paul wiped out every one of the above consequences with one stroke of his pen; ―But now is Christ risen from the dead, and become the firstfruits of them that slept.‖ V. 20 The Corinthians have in no wise ―believed in vain,‖ for their faith is guaranteed by the resurrection of Jesus.
This chapter continues with the order of the resurrection, as all in Christ shall be made alive ―But every man in his own order:..‖ (orderly in arrangement (a troop), i.e. (figuratively) a series or succession:--order). V. 22,23 Paul then tells us that there are varying glories that will be manifest when the rest of the body follows the path of Jesus, the ―firstfruits of them that slept.‖ ―There is one glory of the sun, and another glory of the moon, and another glory of the stars: for one star differeth from another star in glory.‖ V. 41 Not only is there no threat of hell for the believer, but rather the possibility and glorious promise of sharing the highest sun glory with Christ.
The victory of the resurrection is concluded with these glorious words. ―So when this corruptible shall have put on incorruption, and this mortal shall have put on immortality, then shall be brought to pass the saying that is written, Death is swallowed up in victory. O death, where is thy sting? O grave, where is thy victory? …But thanks be to God, which giveth us the victory through our Lord Jesus Christ. Therefore, (because of Jesus resurrection) my beloved brethren, be ye stedfast, unmoveable, always abounding in the work of the Lord, forasmuch as ye know that your labour is not in vain in the Lord.‖ I Cor. 15:54-58
BE OF GOOD CHEER
Ty Robinson
Seven is the number of SPIRITUAL PERFECTION or SPIRITUAL COMPLETION, and seven times scripture records the phrase "be of good cheer."
―And he entered into a ship, and passed over, and came into his own city. And, behold, they brought to him a man sick of the palsy, lying on a bed: and Jesus seeing their faith said unto the sick of the palsy; Son, be of good cheer; thy sins be forgiven thee. And, behold, certain of the scribes said within themselves, This man blasphemeth. And Jesus knowing their thoughts said, Wherefore think ye evil in your hearts? For whether is easier, to say, Thy sins be forgiven thee; or to say, Arise, and walk? But that ye may know that the Son of man hath power on earth to forgive sins, (then saith he to the sick of the palsy,) Arise, take up thy bed, and go unto thine house. And he arose, and departed to his house. But when the multitudes saw it, they marvelled, and glorified God, which had given such power unto men.‖ Matt. 9:1-8 Was this man exhorted to be of good cheer because his sins were forgiven him, or because the Lord healed him, or both? Surely he departed in good cheer because he was made whole both spiritually and physically, and no doubt felt better inwardly than he did outwardly.
―And they that had eaten were about five thousand men, beside women and children. And straightway Jesus constrained his disciples to get into a ship, and to go before him unto the other side, while he sent the multitudes away. And when he had sent the multitudes away, he went up into a mountain apart to pray: and when the evening was come, he was there alone. But the ship was now in the midst of the sea, tossed with waves: for the wind was contrary. And in the fourth watch of the night Jesus went unto them, walking on the sea. And when the disciples saw him walking on the sea, they were troubled, saying, It is a spirit; and they cried out for fear. But straightway Jesus spake unto them, saying, Be of good cheer; it is I; be not afraid. And Peter answered him and said, Lord, if it be thou, bid me come unto thee on the water. And he said, Come. And when Peter was come down out of the ship, he walked on the water, to go to Jesus. Matt. 14:21-29
Mark likewise records the same story, stating in Ch. 50-51
"For they all saw him, and were troubled And immediately he talked with them, and saith unto them, Be of good cheer: it is I; be not afraid. And he went up unto them into the ship; and the wind ceased: and they were sore amazed in themselves beyond measure, and wondered." His disciples, being rocked in a storm tossed ship in the middle of a dark night, were troubled at seeing Jesus walking on the raging sea, thinking He was a spirit. Once again Jesus cried out "Be of good cheer: it is I, be not afraid," and as He came unto the ship the wind ceased, showing us, among many other things, that Jesus is in control no matter how stormy life's troubled sea may be, or how dark the situation. He can calm the storm, and relieve fear, if we will only trust Him, and believe that he can do such impossible things.
Paul relates the following experience after his arrest in Jerusalem, as one of the darkest times of his Christian life. ―And the night following the Lord stood by him, and said, Be of good cheer, Paul: for as thou hast testified of me in Jerusalem, so must thou bear witness also at Rome" Acts 23:11 This one sentence lit a fire that carried the chief apostle to the Church forward for at least the next five years of his life. It gave him direction, and brought him to the place where he had the opportunity to preach even to those of Caesar's household! Yes, there were many trials that followed; plenty of times not to be of good cheer, but the Lord's message remained the same: ... Be of good cheer, Paul. Paul's immediate circumstances did not change, but his heart was left in good spirits, and he probably did not sleep the rest of that night, having been given a shot of spiritual adrenaline that carried him all the way to Rome!
Acts 27 records the journey to Rome wherein Paul was on a ship with 276 souls, all doomed to die in another stormy sea, ... but for the grace of God. ―And when neither sun nor stars in many days appeared, and no small tempest lay on us, a11 hope that we should be saved was then taken away. But after long abstinence Paul stood forth in the midst of them, and said, Sirs, ye should have hearkened unto me, and not have loosed from Crete, and to have gained this harm and loss. And now I exhort you to be of good cheer: for there shall be no loss of any man's life among you, but of the ship. For there stood by me this night the angel of God, whose I am, and whom I serve, Saying, Fear not, Paul; thou must be brought before
Caesar: and, lo, God hath given thee all them that sail with thee. Wherefore, sirs, be of good cheer: for I believe God, that it shall be even as it was told me. . .. And when he had thus spoken, he took bread, and gave thanks to God in presence of them all: and when he had broken it, he began to eat. Then were thev all of good cheer, and they also took some meat. And we were in all in the ship two hundred threescore and sixteen souls.... And so it came to pass, that they escaped all safe to land". V. 2044
What have we just seen in these six "be of good cheer" scriptures? First a sick man told by Jesus ... Son, be of' good cheer; thy sins be forgiven thee. After having his sins forgiven, the Lord Jesus healed him of his disease. Secondly, Jesus' disciples, fearing for their lives on a storm tossed sea, proved to themselves, and to us, that dark night, that He can calm the storm, and relieve fear, if we will focus our trust only on Him. The third witness is the Apostle Paul in prison, in another seemingly hopeless situation with no way out, when at the darkest hour of the night Jesus came and spoke ... Be of good cheer, Paul: for as thou hast testified of me in Jerusalem, so must thou bear witness also at Rome. Our next scripture reference occurred on board the ship to Rome, as Paul believed God for himself and then exhorted 276 doomed souls to be of good cheer, for they were not to die in that severe storm, that life had brought their way. They all claimed Paul's assurance of good cheer, and all escaped safe to land, the implication being that they all were saved.
The seventh scripture proclaiming the phrase "be of good cheer" is found in JOHN 16:33, and speaks to all desiring His SPIRITUAL PERFECTION as we too travel life's troubled sea: ―These things I have spoken unto you, that in me ye might have peace. In the world ye shall have tribulation: but be of good cheer; I have overcome the world. There really is only one way to be of good cheer, and that is to believe The Word of God, Who is Jesus, trust His divine plan, focus upon Him, and experience His peace.
~~~~~~~~~~
The Cries Of Jesus
Gene Hawkins
―I am weary of my crying: my throat is dried: mine eyes fail while I wait for my God.‖ Psa 69:3
Psalm 69 is known as the trespass offering psalm. The language used here is very similar to that of Psalm 22 for both of them describe Jesus undergoing the effects of being made sin, and suffering the wrath of God because of it. The sin offering shows Christ being made sin for us and bearing it away behind God's back, ―as far as the East is from the West.‖ Psa. 103:12 The trespass offering bespeaks these same facts, but this offering required the offender, not only to make restitution for the damage done, but also to add the ―fifth part more.‖ Lev. 6:5 Thus Jesus says here in our Psalm ―….then I restored that which I took not away.‖ V. 4
―I am weary of my crying…‖ is indicative of the fact that Jesus was crying out even before He went to the cross, a fact that Paul confirms in Hebrews 5. ―So also Christ glorified not himself to be made an high priest; but he that said unto him, Thou art my Son, to day have I begotten thee. As he saith also in another place, Thou art a priest for ever after the order of Melchisedec. Who in the days of his flesh, when he had offered up prayers and supplications with strong crying and tears unto him that was able to save him from death, and was heard in that he feared;…‖. V. 5-7 The apostle's intent here is to show that the priesthood of Melichisedec was far superior to that of Aaron, and that priesthood belonged to Jesus. His reference to ―strong crying‖ is the record of Jesus' experience in the garden of Gethsemane the night He was arrested. ―And being in an agony he prayed more earnestly: and his sweat was as it were great drops of blood falling down to the ground.‖ Luke 22:44 Thus the first cry we would notice is the Cry Of Agony. Luke alone tells us of this incident, whereby Jesus expressed the effects of great pressure falling upon a Man. He recoiled at the prospect of being made sin and enduring the devastating results of God's wrath being poured out upon it. It was as a Man that He prayed earnestly ―….Father, if thou be willing, remove this cup from me: nevertheless not my will, but thine, be done.‖ Luke 22:42 Paul tells us here that He cried out to One ―who was able to save him from death,‖ but that was in no wise the purpose of God. Jesus must go to the cross, and thus surrendered to God's full plan and purpose for Him.
This brings us to His second cry found in Mark's gospel. ―And when the sixth hour was come, there was darkness over the whole land until the ninth hour. And at the ninth hour Jesus cried with a loud voice, saying, Eloi, Eloi, lama sabachthani? which is, being interpreted, My God, my God, why hast thou forsaken me?‖ Mark 15:33,34 This is the Cry Of Abandonment, as God literally turns His back on Him. This isolation is further reinforced by a number of statements from Psa. 22. Jesus begins with the direct quotation ―My God, my God, why hast thou forsaken me?‖ He continues with ―why art thou so far from helping me, and from the words of my roaring? O my God, I cry in the daytime, (perhaps a reference to Gethsemane) but thou hearest not; and in the night season, (that awful three hours of darkness on the cross) and am not silent…. Our fathers trusted in thee: they trusted, and thou didst deliver them. They cried unto thee, and were delivered: they trusted in thee, and were not confounded. But I am a worm, and no man; a reproach of men, and despised of the people.‖ V. 1-6 Those Jewish fathers cried out, as they trusted Him in their day of misery and were delivered, but such deliverance will not be extended to Him. He cries out again in V. 11 ―Be not far from me; for trouble is near; for there is none to help.‖ He has been totally abandoned, left to bear the full brunt of God's judgment for the sins of mankind from the fall of Adam in the Garden of Eden, to the time when time shall be no more. That entire ―body of sin‖ (Rom. 6:6) must be laid upon Him if He is going to destroy it, and Jesus understood that this was His very mission, His reason for coming down from the courts of glory into this world of sin and unrighteousness. ―Now is my soul troubled; and what shall I say? Father, save me from this hour: but for this cause came I unto this hour.‖ John 12:27
After the three hours of indescribable darkness, symbolic of the fact that God literally forsook Jesus and sent Him away into ―outer darkness, which we as Christians, will never experience, the cry of abandonment suddenly gives way to a Cry Of Triumph. ―And Jesus cried with a loud voice, and gave up the ghost.‖ And the veil of the temple was rent in twain from the top to the bottom.‖ Mk. 15:37,38 This is God's signature to the fact that the holy of holies has now been opened. Heretofore, only the high priest could enter that sacred place, and that only one a year; on the great day of atonement. Lev. 16 This was where the ark and mercy seat had been placed, and represented the closest, most intimate, place
of divine fellowship. Now it has been opened for all priests who desire such a close audience with God. Paul exhorts us in Heb. 4:16 ―Let us therefore come boldly unto the throne of grace, that we may obtain mercy, and find grace to help in time of need.‖ Thus God Himself rent that veil and punctuated Jesus' cry of triumph showing that the path is wide open to the very heart of God. Mark tells us that Jesus ―cried with a loud voice,‖ but he does not reveal what He said. John however does, as he relates these same chronological events. ―John 19:28 After this, Jesus knowing that all things were now accomplished, that the scripture might be fulfilled, saith, I thirst. Now there was set a vessel full of vinegar: and they filled a spunge with vinegar, and put it upon hyssop, and put it to his mouth. When Jesus therefore had received the vinegar, he said, It is finished: and he bowed his head, and gave up the ghost.‖ John 19:28-30 IT IS FINISHED! is not a cry of defeat, or despair or simply resignation proclaiming ―My life is over.‖ It is rather a shout of triumph announcing first of all that redemption is complete. My work is finished, sin is done away and there is nothing left for man to pay. Sadly, even many Christians today have never grasped this glorious message. It seems they are still trying to pay, to make some kind of restitution for their wrong doing and mistakes, hoping to endear themselves to God and gain His Favor. God, however, was absolutely satisfied with His work and it is an insult to both Father and Son to try and add anything to it.
―IT IS FINISHED!‖ is also Jesus shout of victory proclaiming loudly that the battle against Satan is over, and indeed He was won. Some have taught that when Jesus left the cross, he went down to hell and ―grappled‖ with the devil, to wrest away the keys of death and hell from him. That is not the case. Scripture plainly affirms that Jesus went to Paradise, upper sheol, Abraham's bosom, that is, the abode of the righteous dead, and He was indeed on a mission. Peter plainly tells us that ―….Christ also hath once suffered for sins, the just for the unjust, that he might bring us to God, being put to death in the flesh, but quickened by the Spirit: By which also he went and preached unto the spirits in prison;.‖ I Pet. 3:18,19 Paul further explains that mission indicating that Jesus preached a message of deliverance to those captive spirits ―When he ascended up on high, he led captivity captive,…‖ Eph 4:8 This simply means that Jesus took the spirits of those righteous dead, back to heaven with Him, when He ascended
on high. Thus, Paradise is now located in heaven and we are greatly comforted to know that ―to be absent from the body,‖ is ―to be present with the Lord.‖ II Cor. 5:8
The fact is that Satan was not then, nor is he now in hell. He is declared to be the ―prince of the power of the air,‖ (Eph. 2:2) and he was very much on the scene, raging against Jesus as He hung on the cross. Psalm 22 plainly describes it thus: ―Many bulls have compassed me: strong bulls of Bashan have beset me round. They gaped upon me with their mouths, as a ravening and a roaring lion. Save me from the lion's mouth: for thou hast heard me from the horns of the unicorns.‖ Vs. 12,13,21.
When Jesus cried out ―It is finished,‖ He meant that the battle with Satan was over, and indeed He had won. That fact was proven three days later when His spirit was reunited with His body and He marched out of that grave triumphantly, in effect, announcing that He had defeated Satan with his own weapon: death. This great threat of fear this arch enemy enemy had used against all mankind since the fall in Eden, has now been disannulled by Jesus. Death could not hold Him, and Satan's power, not only over Jesus, but all humanity, has been broken. Because of that great victory at the Cross, Jesus could now proclaim ―I am he that liveth, and was dead; and, behold, I am alive for evermore, Amen; and have the keys of hell and of death.‖ Rev. 1:18. The battle was truly over the moment Jesus cried out in triumph, ―IT IS FINISHED!‖
There is however, one cry left. It is the Cry Of Confidence. ―And when Jesus had cried with a loud voice, (it is finished) he said, Father, into thy hands I commend my spirit: and having said thus, he gave up the ghost.‖ Luke 23:46 Jesus' work of redemption was complete. The battle with Satan was done. Now he gives forth this cry of faith, which was actually probably no more than a whisper, but it expresses His absolute confidence in His Father's care, as He simply claimed the promise ―For thou wilt not leave my soul in hell; (upper sheol) neither wilt thou suffer thine Holy One (His Body) to see corruption.‖ Psa. 16:10 His mission to earth was absolutely complete, and now He would simply rest in the assurance that He was safe in the keeping of His Father, a confidence that would be realized on that first, and most glorious, Easter Morning!
************************
PAUL'S GOSPEL IN THE SONG OF SOLOMON
Alice S. Mooneyhan
Ch. 5:14 Cont'd.
―As gold rings set with the beryl.‖ The beryl was the eighth stone mentioned in the foundation of the Holy City - Revelation 21. Eight is the new creation number. So it was in resurrection, as Head of the new creation, Christ was given all power and authority in heaven and earth. As a Man, He has been appointed Head of all principalities and powers - I Peter 3:22. In Isaiah 9:6, it is prophesied of Him, ―His Name shall be called Wonderful, Counselor, The Mighty God, the everlasting Father, the Prince of Peace.‖ For a thousand years He will reign as ―The Mighty God.‖ He will exercise that Divine authority which is symbolized by this golden ring.
―His belly is as bright ivory overlaid with sapphires.‖ His ―belly‖ or His ―body‖ was like ivory encrusted with precious gems. Solomon had made a throne of ivory for himself. Ivory signifies endurance. For a thousand years Christ will sit on a throne of ivory. This description refers to His glorified body. ―Who only hath immortality, dwelling in the light which no man can approach unto; whom no man hath seen, nor can see; to whom be honor and power everlasting. Amen‖ - I Timothy 6:16. The sapphire is a blue stone, and speaks of His heavenly character as a new creation -- the glorified Man.
5:15. ―His legs are as pillars of marble.‖ Marble is a stone which is very durable. This also speaks of his eternal existence as a Man. When God joined Adam and Eve in the Garden of Eden, Adam said, ―This is now bone of my bones, and flesh of my flesh: she shall be called Woman, because she was taken out of man. Therefore shall a man leave his father and mother, and shall cleave unto his wife; and they shall be one flesh‖ Genesis 2:23-24. Christ, the last Adam, left His place in glory to be joined to humanity. In Ephesians 5:30-31, the same statement which Adam made is applied to
Christ. Christ shall forever be joined to His people as one flesh - glorified flesh.
His legs are ―set upon sockets of fine gold.‖ This means that Divinity is underneath His humanity. He was the holy Son ofGod before He became a Man. The Scripture says that he ―was in all points tempted like as we are, yet without sin‖ - Hebrews 4:15. He was perfect God and perfect Man, otherwise He could not have been made son for us. All of His glorified humanity rests upon the fact that He was the eternal Word of God before He became a Man.
―His countenance is as Lebanon, excellent as the cedars.‖ Lebanon was a majestic snow-capped mountain in the northern part of Palestine. Nothing seems to portray the greatness and the majesty of God as do the lofty and awe-inspiring mountains. The countenance of this holy Man portrays the majesty and grandeur of God. The whiteness of the snow figures the purity and holiness and righteousness of His character. Cedars speak of the great ones of the earth. They symbolize strength and longevity. Christ is the greatest of all men. In strength and majesty He will be supreme forever.
5:16. ―His mouth is most sweet.‖ This speaks of the tenderness and compassion of the Son of Man. And wasn't He compassionate when He was on earth! He always spoke kindly to the poor and needy. The only time He spoke harshly was to the Pharisees and Sadducees, because they were hypocrites. I am sure that His eyes flashed fire when He spoke to them. He called them, ―serpents, ye generation of vipers‖ - Matthew 23:33. One time He said, ―Ye are of your father the devil‖ - John 8:55. But to the poor, needy and weak, He was always tender and compassionate. To us, whose heart He has won, He is most tender and loving.
―Yea, He is altogether lovely.‖ When the Shulamite began to speak of her Beloved, she completely forgot herself in describing His excellency. In 4:9, He had said to her, ―Thou hast ravished my heart with one of thine eyes, with one chain of thy neck.‖ In 6:5, He says, ―Turn away thine eyes from me, for they have overcome me.‖ She fixed both her eyes on Him, and that is how she could give such a wonderful and perfect picture of Him. This is love's description of her Beloved. It is most precious and intimate. ―This is my Beloved, and this is my Friend.
"Christ in you, the Hope of Glory" Ch. 6:1-13
This chapter corresponds with the truth given in Colossians. It is in contrast with Ephesians which gives the provisional truth of our position in Christ. In that epistle, all the spiritual riches of Christ have been given to us -- the new creation. In Colossians the practical side is stressed, ―which is Christ in you, the hope of glory‖ - 1:27. The word ―Colosse‖ means ―correction.‖ The Bridal saints accept the correction of the Word of God, by which they are brought to a perfect spiritual state and prepared to be a helpmeet for Christ.
6:1. ―Whither is they Beloved gone, O thou fairest among women? Whither is thy Beloved turned aside? That we may seek Him with thee.‖ In 5:8, the Shulamite was not aware of the whereabouts of her Beloved, but sought contact with Him through the daughters of Jerusalem. In the present chapter, the same daughters were aroused to question her concerning his whereabouts, because of her perfectly wonderful and beautiful eulogy of Him. She knows now where He is. She has become completely engrossed in the wonders of His Person, as she testifies of Him to others. Never again is her fellowship with Him broken.
In Colossians 1:9-11, Paul prayed for the Colossian saints thus; ―That ye might be filled with the (exact) knowledge of His will in all wisdom and spiritual understanding; that ye might walk worthy of the Lord unto all pleasing, being fruitful in every good work, and increasing in the knowledge of God; strengthened with all might, according to His glorious power, unto all patience and long-suffering with joyfulness.‖ In this prayer, Paul asks that they might know, not only the full provision which God has made for us in Christ, but that they may have an experimental knowledge of God in a practical way. When this prayer is answered to the fullest extent, our state will have come to perfection. This is expressed in the words, ―Unto all patience and longsuffering with joyfulness.‖ Consider the word ―all‖ and the number of times it is used in the book of Colossians. It implies completeness, perfection,
entirety. A perfect knowledge of His will induces the knowledge of His whereabouts and of His activities. This she expresses in verse two.
6:2. ―My Beloved is gone down into His garden to the beds of spices, to feed in the gardens, and to gather lilies.‖ Wherever the saints of God meet together in the Name of the Lord, He is in the midst of them, feeding on their fellowship and worship. The saints themselves are likened to lilies - 2:1-2. The Bridal saints are likened to lilies among thorns.
6:3. ―I am my Beloved's, and my Beloved is mine; He feedeth among the lilies.‖ This verse expresses complete surrender to Him. In 2:16 she had laid claim to Him, but here she surrenders all to Him. This makes their fellowship complete. He feeds on her love.
6:4. ―Thou art beautiful, O my love, as Tirzah, comely as Jerusalem.‖ Tirzah and Jerusalem were royal cities in Canaan. Tirzah was a city of the ancient kings of Canaan, and Jerusalem was the capital of Judah, the place where the Lord chose to dwell in Israel. ―Tirzah‖ means ―my delight is in her.‖ This expresses the pleasure which the Lord has in His people when the throne of their heart is fully surrendered to Him. After Israel is restored to fellowship with the Lord, the name of the city of Jerusalem will be called, ―The Lord is There‖ - Ezekiel 48:35. Jerusalem on earth will be a figure of the New Jerusalem which will be the eternal habitation of God. Christ dwells in His people now. He becomes the King of the throne in our hearts.
―Terrible as an army with banners.‖ Such saints ―reign in life by one, Jesus Christ‖ - Romans 5:17. They are victorious over all the power of the enemy that is arrayed against them, for Christ is their life. ―For we wrestle not against flesh and blood, but against principalities, against powers, against the rulers of the darkness of this world, against spiritual wickedness in high places‖ - Ephesians 6:13. ―An army with banners‖ signifies a victorious army as they come marching home -- perhaps bedraggled, nevertheless, with banners waving.
Agree With God
Paul N. Smith
―And Moses went up from the plains of Moab unto the mountain of Nebo, to the top of Pisgah, that is over against Jericho. And the Lord showed him all the land….and the Lord said unto him, this is the land which I sware unto Abraham, unto Isaac, and unto Jacob, saying, I will give it unto thy seed: I have caused thee to see it with thine eyes, but thou shalt not go over thither. So Moses the servant of the Lord died there in the land of Moab, according to the word of the Lord. And He buried him in a valley in the land of Moab, over against Beth-peor, but no man knoweth of his sepulcher unto this day. And Moses was an hundred and twenty years old when he died; his eye was not dim, nor his natural force abated.‖
If anyone had the right to become bitter, it would have been Moses. Imagine all the hardships he had faced--eighty years in all--putting up with the constant murmuring and badgering of the children of Israel. He was doing everything he could to bring them into the Land of Promise. He shared God's anger a number of times because of their rebellion and unbelief. Now here he was, on the threshold of Canaan, in perfect health, well able to lead Israel over Jordan, where they, as well as he, could enjoy the benefits of God's blessings, and perhaps, forget some of the rigors of the wilderness life.
But no, God said, ―You're not going over into the land, Moses, but I'll show it to you.‖ Can you imagine God saying to us, ―I'll show you what heaven is like, but you won't be able to go there‖! Would we censure Moses if he had hung his head between his knees and wept? God had told him earlier (32:48-52) why he could not lead the people over. One, he smote the rock the second time, when God said only, ―Speak to the rock.‖ The rock in both cases represented Christ, the first time it was all right to smite the rock, because Christ had to be smitten for us. The second time was not necessary, because Jesus only had to die once, and all we need do is look to the Cross and live. But another very important reason he could not go in, is that Moses was identified with the Law, and the Law, no matter how strong and vigorous, could not lead the people over into their Promised Possessions. But, this is not our topic primarily.
Did Moses lose anything by not leading the people over into victory? No way! He was given a private burial where only God and the angels were in attendance, and then God hid him. Why? Because He
had other plans for Moses. By reading Jude 9, we find that Michael was sent down to claim the body of Moses, to be resurrected. Satan objected because he knew that Jesus was purported to be the first fruit of the resurrection.
We read nothing about Moses' body in the Old Testament, and hundreds of years went by until suddenly a wonderfully strange event took place. In Matthew 16:27-28, Jesus spoke of His coming Kingdom and of His glorification. Then in chapter 17, Jesus took Peter, James and John to the top of a mountain and was transfigured before them. Then to their amazement, Moses and Elijah appeared there with Him and conversed with Him concerning His imminent death in Jerusalem. We are not told when Moses was resurrected, but here he appears in his eternal glorified body, along with Elijah and Jesus. Not bad! How long he remained in his secret grave we don't know, but I believe it wasn't very long. No, he did not get to go over into Canaan, but he did arrive in heaven much sooner than his contemporaries. He was saved the rigors of Canaan fighting and more of the treatment he had in the desert.
Tragedy happens to us at times, but let us remember that God always has something much better planned for us. If we go by way of the grave, before the Rapture, we'll just miss a lot of suffering and fighting. Whatever God says, we will be agreeable, just like Moses!
A Far Better Land
Dwelling confined in this earthly tent, Oft times I groan, tempted to lament. I've a desire for a place, not made with hands, My heav'nly home, in a far and better land.
Cheerfully enduring, loss of all things here Pursuing eternal gains, to which I am heir. Though outwardly I may, be wasting away, By God's Word I'm renewed day by day.
God Speaks these words…. ―Be of good courage! Don't lose heart! To make you a son was my plan from the start!‖ I must press on. I've made up my mind, Taking hold of Jesus, forgetting that behind.
Living, I set, my mind on things above Growing in grace and the knowledge of His love. I've a desire for endless days, Where I'll sing ―worthy,‖ and give Him praise. Cara Schnakenberg
(Taken from II Cor.5 & Eph. 2:3)
Jesus Lover Of My Soul Charles Wesley, 1707-1788
―The Lord is good, a refuge in times of trouble. He cares for those who trust in Him.‖ Nahum 1:7
This hymn written shortly after Charles' "heart-warming" experience at the Adlersgate Hall in London in 1738, it has since brought comfort and inspiration to countless numbers during "the storms of life."
The simple yet vivid language of this hymn gives it a special quality. Some have called it the "finest heart-hymn in the English language." Also the exaltation of Christ is truly noteworthy in such picturesque terms as "lover," "healer," "fountain," "wing," and "pilot." But possibly the greatest appeal of these lines is the assurance they give of Christ's consolation and protection through all of life and then for eternity.
There is no authenticated information as to what particular situation caused Wesley to write this text. A frightening storm at sea that he experienced while returning home from America may account for the nautical references. A story also has been mentioned of a bird flying into Charles' cabin for safety, while another incident is given of his hiding under a hedge after an attack by an angry mob opposing his ministry. Still others see this text as a picture of Wesley's own life as a young man as he struggled to find his peace with God before his dramatic Aldersgate conversion experience.
Taken from Amazing Grace:366 Hymn Stories and used by Permission of Kregel Publications.
Author: Kenneth W. Osbeck
According to the above writer, there are a number of accounts as to how this song came to be, and another one is presented below.
―Mrs. Mary Hoover, of Bellefonte, Pennsylvania, whose grandmother was the heroine of the story, has related to her pastor this family tradition: Charles Wesley was preaching in the fields of the parish of Killyleagh, County Down, Ireland, when he was attacked by men who did not approve of his doctrines. He sought refuge in a house located on what was known as the Island Barn Farm. The farmer's wife, Jane Lowrie Moore, told him to hide in the milkhouse, down in the garden. Soon the mob came and demanded the fugitive. She tried to quiet them by offering them re-freshments. Going down to the milkhouse, she directed Mr. Wesley to get through the rear window and hide under the hedge, by which ran a little brook. In that hiding-place, with the cries of his pursuers all about him, he wrote this immortal hymn. Mr. Osbeck asserts that ―Many different tunes have been used with this text, including several fine anthem and classical settings. The bestknown of these tunes in America is ―Martyn,‖ composed by Simeon B. Marsh.‖ Neither the tune nor the lyrics are the same in ―Grace and Glory Carols, where the song is identified as ―Paul's Version.‖ This anonymous writer took the first line of each stanza, adding the wealth of truth found in these lines. They seem to bespeak the writer's own experience as ―let me to thy bosom fly.‖ is replaced with ―Bids me on His bosom. stay, showing one who had already arrived at this coveted place and simply wanted a greater intimacy with Christ. The extra verse also reflects the deep sanctification, purity, separation comfort and intimacy with Christ, which is found in Paul's message. We do not know who wrote either the tune or lyrics but we believe that Bro. Copley was responsible for these glorious words. We list them both side by side and will let our readers decide if they agree.
Jesus, lover of my soul, let me to Thy bosom fly. While the nearer waters roll, while the tempest still is high! Hide me, 0 my Savior, hide-till the storm of life is past; safe into the haven guide, O receive my soul at last!
Other refuge have I none-hangs my helpless soul on Thee. Leave, ah, leave me not alone; still support and comfort Me! All my trust on Thee is stayed-All my help from Thee I bring. Cover my defenseless head with the shadow of Thy wing.
Thou, O Christ, art all I want, more than all in Thee I find Raise the fallen, cheer the faint, heal the sick and lead the blind. Just and holy is Thy name--I am all unrighteousness; false and full of sin I am; Thou art full of truth and grace.
Plenteous grace with Thee is found, grace to cover all my sin; let the healing streams abound; make and keep me pure within. Thou of life the fountain art---Freely let me take of Thee; spring Thou up within my heart; rise to all eternity.
Jesus Lover of my soul, Bids me on His Bosom stay; And thou' billows round me roll, I am safely hid away. For He holds me in his arms, Quite beyond the tempest's reach And He whispers to my heart, Words unknown to human speech.
Other refuge have I none; He my habitation is: Here no evil can befall; I am kept in perfect peace; I am covered all day long ―With the shadow of His wing – Dwell in safety thro' the night; Waking, this is what I sing
Thou O Christ art all I want, Rests my helpless soul on Thee' Thou wilt never leave alone, Nor forget to comfort me: Thou dost save my soul from death; Thou dost scatter doubts and fears; And the sunshine of Thy face, Sweetly drieth all my tears..
Thou of life the fountain art; Thou dost wash me white as snow; I'm content to dwell apart From all else, Thy love to know; Blessed Son of righteousness, I so love to look on Thee, That mine eyes are growing dim, to the things once dear to me.
Plenteous grace with Thee is found, Grace to cover all my need; Full supplies in Christ abound -- Soul and body on Him feed; Soon my Lord will take me home On that great translation tide, Evermore with Him to roam, As His spotless, glorious bride.
John Wesley
Anon
|
On the Front Line A guide to countering far-right extremism
vidhya ramalingam
About the project
From 2012 to 2014, the Swedish Ministry of Justice and the Institute for Strategic Dialogue (ISD) are partnering on a pan-European project aiming to enhance understanding of what works in preventing and countering far-right extremism in 10 countries (Sweden, UK, the Netherlands, Norway, Finland, Denmark, Germany, Poland, Hungary, Slovak Republic). It has developed a package of resources which include the policy report Old Threat, New Approach: Tackling the Far Right Across Europe, as well as The FREE Initiative – Far-Right Extremism in Europe (www.theFREEinitative.com), an online resource which aims to inspire and connect those tackling the far right and showcase best practices.
Acknowledgements
The author would like to thank the Swedish Ministry of Justice for its partnership on this project. At ISD, she is grateful for research assistance from Neil Miller, Tom Johnson and Brian Daigle, and editorial guidance from Rachel Briggs and James Kearney. ISD and the Ministry of Justice are grateful to the European Commission for its financial support for the project, and the support of the governments of Finland, Norway, Denmark and the Netherlands, as well as Exit Fryshuset as associate partners on this project.
Finally, we would like to thank the inspirational individuals we interviewed across these 10 countries, for sharing their personal stories and insights into tackling this problem. This project aims to amplify their voices and experiences.
© Institute for Strategic Dialogue, 2014
This material is offered free of charge for personal and non-commercial use, provided the source is acknowledged. For commercial or any other use, prior written permission must be obtained from the Institute for Strategic Dialogue. In no case may this material be altered, sold or rented. The Institute for Strategic Dialogue does not generally take positions on policy issues. The views expressed in this publication are those of the authors and do not necessarily reflect the views of the organisation.
This project has been funded with support from the European Commission. This publication reflects the views only of the authors, and the European Commission cannot be held responsible for any use which may be made of the information contained therein.
Design by Soapbox, www.soapbox.co.uk
On the Front Line
A guide to countering far-right extremism
vidhya ramalingam
Table of contents
3
3
Introduction
Far-right extremism remains a worrying problem across Europe. The most visible cases are those that hit the headlines, such as the discovery of the National Socialist Underground in Germany or Anders Behring Breivik's attacks in Norway. In the past decade, both Hungary and Sweden were hit by a string of serial murders of Roma and ethnic minorities. Though attacks of this magnitude and scale remain rare, they are not unheard of. In some cases, those personally touched by these violent attacks are still fighting for justice.
While high-profile and high-impact events hit the headlines, the bulk of the threat posed by the far right is felt through smaller-scale localised harassment, bullying and hate crime by extremists targeting minority communities. These kinds of incidences often go undetected, and indeed they are hard to quantify. They manifest in the sectioning off of some local areas as no-go zones for ethnic minorities, graffiti of far-right symbols on mosques and synagogues, or threats received by individual members of the community.
Those carrying out these actions – far-right extremists – are a broad group, ranging from less ideological youth street gangs to neo-Nazi terrorist cells, anti-Islam activists and registered political parties. Though they differ in their aims and methods, there are some defining features: racism, xenophobia, ultra-nationalism and authoritarianism. The actions they
take aim to intimidate and assert power over particular communities and undermine democracy.
In some countries, the capacity for violence within the far right is on the rise, and it remains challenging to ascertain at what point ideology can turn to violence. With the proliferation of extremist content online, and the ease with which anyone can access communities advocating violence across the web, this challenge has only grown.
There are thousands of front-line professionals across Europe who come face-to-face with this issue on a regular basis, whether it is those working specifically on countering violent extremism, or those who encounter the far right as part of their daily responsibilities policing communities or educating young people.
Though European countries differ on the particular problems they face and the ways in which they address them, there are more commonalities than differences when it comes to specific challenges posed by the far right. Front-line professionals and local communities often develop innovative solutions to these challenges, though these rarely make headlines or send ripples beyond the community immediately affected.
This project aims to change this. This is one of the first projects aiming to enhance understanding of what works in prevention, intervention and response to far-right extremism across Europe. It has developed a package of resources which include ISD's report Old Threat, New Approach: Tackling the Far Right Across Europe which sets out government approaches to far-right extremism and provides guidance to policymakers, as well as an online platform called The FREE Initiative – Far-Right Extremism in Europe (www.theFREEinitative.com), which aims to inspire and connect those tackling the far right and showcase best practices.
This is a practical guide for front-line professionals and activists. It is based on the collective experiences of over 120 individuals tackling far-right extremism across 10 countries (Sweden, UK, the Netherlands, Norway, Finland, Denmark, Germany, Poland, Hungary, Slovak Republic). This includes both governmental and non-governmental professionals coming into contact with far-right individuals or those who are impacted by them, on a daily basis. These professionals are thus in a unique position to influence those within or vulnerable to far-right extremism, and limit their impact.
5
These are: education and youth workers; local authorities; police; Exit and intervention providers; victims supporters; and campaigners and activists.
Though most are delivering local or nationally specific work, those tackling far-right extremism are not alone in their efforts. Across Europe, they share many of the same challenges. They often devote their personal and professional lives to tackling extremism and many have worked in this area for many years. They often fill a void where national government is unable or unwilling to act.
They work in a variety of ways; a break-down of their key actions is outlined in the figure below. These range from softer measures like local dialogue and promoting positive narratives to rival the far right's to hard-end policing of extremist activity and intervention work to halt violent behaviour.
ACTIONS
EDUCATION AND YOUTH WORKERS
Contact across community divides
Diversion and alternative activities
Educational programmes
Dialogue on the hard issues
LOCAL AUTHORITIES
Local dialogue
Public order management
Diversion and alternative activities
Reclaiming public spaces
Alternative narratives
POLICE
Public order management
Diversion and alternative activities
Local dialogue
One-to-one interventions
EXIT AND INTERVENTION PROVIDERS
One-to-one interventions
Exit programmes
Online engagement
VICTIMS SUPPORTERS
Rehabilitation and reintegration
Empowering victims and their communities
Training for the justice system
7
CAMPAIGNERS AND ACTIVISTS
Take downs
Alternative narratives
Counter-narratives
Training for key professionals
Raising awareness of the problem
Pushing public agencies to act
This handbook provides a series of 'how to' guides for key activities delivered by front-line professionals to prevent, counter and respond to farright extremism. These include:
1 Diverting people from getting involved
2Responding to hate speech and incitement
3 Managing threats to public order
4 Ending violent behaviour and fragmenting movements
5 Supporting and empowering victims
6 Raising awareness of the problem
7 Pushing public agencies to act
Each of these guides provides a breakdown of key approaches and case studies, as well as guidance on 'getting it right.'
This handbook recognises that front-line professionals' good work is sometimes inhibited by the wider environment, or institutional constraints. These include the reality that in some places the public debate on these issues is dominated by misinformation, or that far-right attitudes are held by the majority. In some contexts local authorities don't see the problem, refuse
to acknowledge it or simply don't know how to act. Front-line professionals may even be targeted by far-right movements, and their personal safety may be at risk. Therefore this handbook also provides some guidance on changing the wider environment around front-line professionals.
Finally, professional groups share some common learning points, but there will also be distinct challenges and lessons for different responders. The conclusion presents the key take-aways for each of these groups.
9
10
On the Front Line
EDUCATION AND
YOUTH WORKERS
ACTIONS
Contact across community divides
Diversion and alternative activities
Educational programmes
Dialogue on the hard issues
GETTING IT RIGHT
Experiential learning rather than simply myth-busting
Acknowledge and address real and perceived grievances
Creative use of film, visuals and new media
Amplify voices of credible messengers
Offer a competitive package
Support peer education for a longer term impact
Long-term programmes rather than one-off events
12
On the Front Line
LOCAL AUTHORITIES
ACTIONS
Local dialogue
Public order management
Diversion and alternative activities
Reclaiming public spaces
Alternative narratives
GETTING IT RIGHT
Identify and tackle community grievances head on
Offer a competitive package
Get the community involved in positive ways
Encourage change of behaviour
Strong communications: accessibility, transparency, consistency
Long-term programmes rather than one-off events
14
On the Front Line
ACTIONS
Public order management
Diversion and alternative activities
Local dialogue
One-to-one interventions
GETTING IT RIGHT
Encourage self-policing or change of behaviour
Demonstrate a willingness to protect vulnerable communities
Involve the community in public order management
Increase the social costs of participation
Strong communications: accessibility, transparency, consistency
16
On the Front Line
EXIT AND INTERVENTION
PROVIDERS
ACTIONS
One-to-one interventions
Exit programmes
Online engagement
GETTING IT RIGHT
A non-judgemental approach
The right timing: on the way in or on the way out
Individualise support
Focus on the future, rather than the past
Confront ideology with caution, and when the time is right
Offer a competitive package
Prioritise staff well-being and personal safety
18
On the Front Line
VICTIMS SUPPORTERS
19
20
On the Front Line
CAMPAIGNERS
AND ACTIVISTS
ACTIONS
1. Diverting people from getting involved
Introduction
Far-right extremist attitudes are often far from confined to the margins of society, but increasingly found in the mainstream. In many cases far-right individuals are perfectly normal, socially integrated, and connected in one way or another to mainstream groups and ideas. In some countries, like Hungary, far-right attitudes are widespread amongst young people. In others, like the UK, younger generations are progressively more tolerant than older generations. However, even in these places, it is important that front-line professionals do not assume this trend will continue without programmes in place to promote tolerance and democratic behaviour among those vulnerable to far-right ideologies.
Key approaches
1. Contact across community divides
Aims to promote meaningful contact between individuals from different communities, and across divides. This might be done through informal social networking, sports clubs or mentorship programmes. It might also involve
cross-community dialogue programmes to bring together individuals to discuss grievances in a frank way.
CASE STUDY
Project name/Country:
Artemisszio Foundation, Hungary
Aims/Objectives:
The Artemisszio Foundation works to encourage cross-cultural communication and better relations among diverse communities in Hungary.
Description/Activities:
The Artemisszio Foundation's work is framed around the idea that the greatest barrier to understanding and empathising with the 'other' is that individuals carry a whole cultural system that is not easily visible to oneself. Sustained interaction and training can make people aware of this cultural weight and how it affects their interactions. Its youth training programme organises events to encourage communication across social and economic strata, and diverse ethnic backgrounds. The Foundation pairs individuals of ethnic minority background with ethnic Hungarians to do joint mentoring and volunteer work.
Additionally, the Foundation provides training for social workers in effective communications with clients to prevent misunderstandings and stop the spread of stereotypes and prejudices. They also run training seminars for private sector businesses, aiming to reduce conflict between social and ethnic groups in the workplace. These two-day seminars are designed to break down mutual prejudices and serve as a starting point for frank discussions about identity and discrimination in the workplace.
2. Diversion and alternative activities
Aim to undercut far-right groups' abilities to contact and recruit young people. This can be as simple as providing young people with meaningful spare time activities, particularly targeting susceptible youth, including football, extreme sports and outdoor activities. In some cases these are led by individuals from ethnic minority backgrounds.
CASE STUDY
Project name/Country:
Mixed Martial Arts Club, Poland
Aims/Objectives:
Using sport to push skinheads out of the far right scene and challenge their perceptions of the 'other'.
Description/Activities:
This unique programme engages skinheads interested in fighting clubs and trains them in martial arts. The programme has brought in Mamed Khalidov, a well-respected Polish mixed martial artist of Chechen descent to work with them. Chechens are often victims of far-right crime in Poland, and discovering Khalidov's ethnic background and being trained by someone they admire so much, has shaken prejudices about Chechens.
3. Educational programmes
Aim to shift attitudes through tailored curricula. This includes Holocaust and religious education as well as more targeted programmes such as teaching people about the multicultural history of a place and the plight of refugees. Educational programmes may work specifically to challenge myths and prejudices harboured by particular groups.
CASE STUDY
Project name/Country:
The Tolerance Project, Sweden
Aims/Objectives:
To provide opportunities for young people susceptible to extremist or white power subcultures to take part in an educational programme that seeks to challenge their perceptions and disengage them from these movements.
Description/Activities:
The Tolerance Project was developed in 1995 in Kungälv, Sweden and is a model that has since been rolled out across Sweden. A mapping exercise is done in partnership with teachers, social workers, youth workers and students themselves to identify the target group, key activists and their followers. Those deemed most 'at-risk' are given the option to apply for participation in the project as part of their regular school curriculum. The main incentive to apply is the promise of an international field trip to Poland.
The Tolerance Project mixes a traditional Holocaust education model with a challenging educational experience to enable students to re-evaluate their existing belief structures. There are three stages to this strategy: splitting activities; focus on the future and re-socialising activities.
First, the programme offers new meaningful activities that are designed to create a boundary between the core group and their followers. Then, the project focuses on helping participants focus on their future, to visualise a successful life that is detached from the extremist group. Finally, atrisk students are pushed to develop new social strategies in groups that they are unfamiliar with, as the Tolerance Project mixes them with highachieving students who are not at risk. This mixed approach pushes those on both sides to re-evaluate their conceptions of the other. The programme culminates in a trip to Poland, where the students explore the history of the Holocaust and engage in a series of exercises to humanise this history and apply lessons from this to the students' own lived experiences.
4. Dialogue on the hard issues
Aims to engage directly with difficult viewpoints, to tackle grievances that can underlie racist or prejudiced attitudes. It might be done through peer education programmes to train individuals to have hard conversations with peers who may exhibit extreme views, or public dialogue forums on tough and divisive issues, including foreign policy, immigration and employment. It also includes programmes that engage directly with far-right extremists, rather than simply talk about them.
CASE STUDY
Project name/Country:
The Think Project, UK
Aims/Objectives:
To strengthen and empower young people in Wales by building inner selfresilience to the growth of far-right sentiment in the UK and Europe.
Description/Activities:
The Think Project was inspired by the Swansea Ethnic Youth Support Team's (EYST) work supporting victims of racism, and the realisation of a critical need to work with those vulnerable to the far right and challenge the growth of negative views surrounding asylum and immigration.
The project aims to test and develop new ways of working with the most disengaged young white people in Wales.
It targets youth offenders and individuals excluded from mainstream schools. Its approach involves discussing the definitions of divisive terminology related to 'hot' political issues (such as asylum seeker, extremist, terrorist) with participants, and encouraging open and honest dialogue. Educational courses are supported by films, interactive exercises, particularly focused on bringing a human face to these issues.
The project equips young people with the knowledge, understanding and experience to refute and challenge racist myths, as well as to hear and address young people's real and perceived grievances. In doing so, the project seeks to strengthen and empower disadvantaged young people in Wales to become more confident in their own identities, more secure of their own belonging, and more resilient to extremist ideologies.
Getting it right
Profile
Whether or not a preventative programme will reach its intended audience depends on how it markets the programme to these groups. Project titles should be non-judgemental and positive, avoiding references to extremism or racism. Make educational and experiential learning programmes relevant to the local community and lives of the participants. Some organisations like the Jewish Community Center Krakow have shown participants the hidden Jewish history of their local community, or the immigrant background of major local institutions.
How to do meaningful contact
Though organising one-off events like a cross-cultural football tournament can be meaningful for a day, they will not on their own build longstanding relationships across communities, or lead to long-term attitude changes, unless they are repeated at regular intervals with the same groups, incorporated as part of a broader programme, or mainstreamed within schools. Front-line professionals need a methodology for meaningful contact. This can include having diverse staff members run a programme, those who are prepared to field difficult questions and challenge stereotypes. Intercultural education methodologies, which specifically train young people to engage directly with those who have different cultural backgrounds, can be valuable here.
How to do the hard conversations
In many cases, prejudiced and racist ideas can be traced back to perceived grievances about different groups, and in some cases real grievances, such as experiences of being bullied by ethnic minority gangs. When individuals express ideas contrary to popular norms against racism, there is a tendency to deny them the right to be open about these grievances. The tendency to deny and shut down conversation with 'don't be a racist' can inadvertently push people further down the path to radicalisation. It is important for those with grievances to have their views listened to and heard, before they can be challenged. This kind of approach is often not easily achieved in a mainstream educational setting, and may require special educational programmes that can provide a safer environment for people to express and discuss unsavoury opinions.
How to myth-bust
Myth-busting is notoriously difficult, and providing facts to undercut far-right narratives is often not the most effective way to change attitudes. Myth-busting has to be done in conjunction with experimental learning. This means rather than telling someone the facts about people from different backgrounds, give them the opportunity to engage with someone from that background, for example through engagement with a Muslim programme instructor or the opportunity to meet an asylum seeker and ask questions first-hand. In some cases, this may be the first time someone has engaged with a person from this background. 'The facts' must be embedded in wider learning process. Humanising anti-racism education can have an impact, and can push people to think about the human impact of their words and actions. For example, the Think Project provides a space for young people to speak to staff members from minority backgrounds about how they feel when they are called by popular derogatory slang specific to their ethnic or religious group.
Helping young people challenge one another
Initiatives will have a wider impact if they can help to train up young people to have tough conversations themselves with their peers who express intolerant views. The Tolerance Project specifically brings high achieving students alongside those vulnerable to extremism in a Holocaust education model, with the aim of not only building tolerance among the intolerant, but also helping those not at risk to come to terms with their own
prejudices against their intolerant peers. This also includes training young people to run projects to tackle far-right extremism: An initiative by the Amadeu Antonio Stiftung in Germany aims to equip young activists with the tools they need to run effective campaigns and local initiatives to tackle far right extremism.
Keeping people involved
Activities that empower people and give them a sense of achievement are more likely to keep the vulnerable involved. This might include mentoring (professional or social), leadership programmes, or sports and music programmes. Once participants feel empowered and engaged in an initiative, those running a project may be in a position to negotiate the terms of involvement and push for small changes. For example, an initiative by Oslo Municipality Preventative Police officers to get young kids in the neo-Nazi scene snowboarding was ultimately able to get the group to replace their skinhead bomber jackets with snowboarding jackets.
Particularly when it comes to sports, it may be important to offer activities that are not 'the usual.' In Norway, preventative police have offered activities such as American Football and snowboarding. Some organisations, like Cultures Interactive in Germany, use alternative youth culture: hip hop and other music genres, skateboarding and street art.
Using creative methods and action-oriented activities can help to hook people. For example, getting participants involved in film production through video diaries, documentary creation and interviews with the community, as has been done by the Anne Frank House in the Netherlands. Some organisations have experimented with developing mobile phone applications which aim to challenge racist ideologies, like an app developed by All Together Now in Australia. This might also include more mainstream methods of creative outreach, such as theatre, traveling exhibitions or comic books. For example, Exit Fryshuset in Sweden has developed a play called The Voice of Hate, which brings the personal stories of Swedish former farright extremists to young people in schools.
2. Responding to hate speech and incitement
Introduction
While extremist voices are in the minority, they are able to punch far above their weight because they are determined and dedicated to their cause. Whether individuals on social media, movements disseminating hateful videos or leaders making public statements, hate speech and incitement can have a damaging impact on target groups and those vulnerable or on the peripheries of extremist movements.
Taking down posters and graffiti in public spaces is important and critical to ensuring that communities do not live in fear of the far right. However, focusing exclusively on takedowns on the online space can be futile, because the rate at which new information is uploaded means it is impossible to catch everything. Civil society activists have therefore experimented with other methods of engaging directly with the ideologies behind hate speech and/or the individuals spreading it. The methods employed here matter; engaging with hateful content in the wrong way can have a counter-productive effect.
Key approaches
1. Takedowns
Aim to limit the dissemination and reach of hate speech and incitement. This includes takedowns of content, and use of reporting functions on sites like Facebook and Twitter. It also includes community mobilisation to remove stickers, posters and graffiti.
CASE STUDY
Project name/Country:
Against Violent Extremism network (AVE), YouTube Trusted Flaggers Program, Global
Aims/Objectives:
To combine the knowledge of 'former' extremists with the technical expertise of YouTube to improve existing procedures for video takedowns. The aim is to help remove extremist and gang-related content more effectively.
Descriptions/Activities
The Trusted Flaggers Program is a scheme devised by YouTube to use individuals with particular experience to flag the most malicious video content on their website. Any videos flagged by Trusted Flaggers are given highest priority for investigation and, if applicable, removed. As part of this program, YouTube has collaborated with the Against Violent Extremism network (AVE), to harness the experiential, first-hand knowledge of 'former' extremists and gang members to improve YouTube's integrated flagging service. Chosen representatives from the AVE network, working across far-right and other ideologies, have received training from YouTube specialists with technical expertise, who in turn prioritise extremist videos flagged by these 'experts', as they have the relevant experience and understanding of the culture and ideology underpinning harmful or illegal content. Once they are Trusted
Flaggers, AVE 'formers' input and feed into future YouTube flagging policy, and a direct influence on the type of hateful content that can be removed.
2. Alternative narratives
Aim to unite the silent majority against extremism by emphasising solidarity, common causes and shared values. Alternative narratives come from a variety of actors, from inter-faith and inter-community leaders to sports personalities and pop artists, and promote more moderate and inclusive discourses.
CASE STUDY
Project name/Country:
Never Again Association (NAA), Poland
Aims/Objectives:
To use civil mobilisation and education to counter ethnic and racial prejudice and contribute to an inclusive democratic civil society in Poland.
Description/Activities:
The NAA is a civil society organisation working to: raise awareness of the issues of racism and xenophobia; develop a broad movement against racism and discrimination; and to marginalise or eliminate racist and anti-Semitic attitudes and tendencies in Polish society.
The NAA have launched a number of high profile projects to promote both an anti-racism agenda and an understanding of different cultures and ethnicities. These include the 'Polish Woodstock' festival – one of the largest music festivals in Europe – as part of their campaign 'Music against Racism'. They actively work with musicians and major football organisations to ensure that positive narratives standing up for tolerance are given the right visibility in Poland. In 2012, they received funding from UEFA to implement the 'Let's Kick Racism out of the Stadiums' campaign and ran the 'Respect Diversity' programme during Euro 2012.
3. Counter-narratives
Aim to deconstruct, de-legitimise and de-mystify extremist propaganda. This includes: picking apart extremist ideologies by undermining their intellectual framework; attempting to mock, ridicule or undermine the legitimacy of extremists; highlighting how extremist activities negatively impact on the people they claim to represent; demonstrating how their actions are inconsistent with their own beliefs, or questioning their overall effectiveness.
CASE STUDY
Project name/Country:
English Disco Lovers, UK
Aims/Objectives:
To counter the online presence of the English Defence League (EDL) through the use of "Google bombing" to reduce its significance on the internet.
Description/Activities:
The English Disco Lovers was founded in September 2012 as a Londonbased effort to counter the English Defence League. With messages of equality and respect (and with a good deal of humour), the English Disco Lovers were designed as a comical response to the xenophobia and racism of the EDL. The central tenet of this online campaign is to reduce the top result search of the English Defence League when typing EDL on Google. The English Disco Lovers also have Facebook and Twitter presences, with similar aims. They also run disco-themed events during EDL protests, donning colourful wigs and sparkly outfits.
Getting it right
Who to respond
Getting the right voices involved can expand the reach of alternative or counter-narratives and ensure they don't simply preach to the choir. This includes amplifying the voices of former extremists and survivors of violent extremism, who bring a human element to the issues and will be most credible among those at risk of radicalisation.
Celebrities and cultural leaders, particularly those well respected by individuals vulnerable to far-right narratives, can often reach much farther than anti-racism organisations on their own. For example, a tweet by popular British rapper Professor Green (who has 1.97 million Twitter followers) on the evening of the murder of Drummer Lee Rigby in Woolwich, London asking "why are idiots running around attacking mosques? why are edl supporters taking to the streets? to kill more innocent people?" was re-Tweeted thousands of times more than any tweet by the EDL themselves, or by those countering the EDL.
Finally, some of the most important counter-campaigns are led anonymously, e.g. the Slovak Facebook group called Frankly Speaking about Slovaks, which pokes fun at the far right's anti-immigrant claims by making ridiculous claims about Slovak people. The campaign's success is that it remains anonymous, and therefore cannot be undermined as no one knows who is behind it. These kinds of initiatives also give the impression that they are led by the general public. Similarly, flash campaigns (spontaneous campaigns) led by the public are difficult for the far right to undermine; for example, #creepingsharia, a Twitter hashtag used by former EDL leader Tommy Robinson, which was hijacked by hundreds of members of the public to ridicule the assumption that 'Muslims are taking over.' Though they cannot be anticipated or planned for, front-line professionals can encourage and help to snowball these initiatives when they see them.
Where to respond
While it is important to ensure there are spaces online to share and disseminate moderate information, such platforms can have limited and self-selecting readership. Setting up new websites to share alternative
narratives can simply divide the audience and risk having little or no impact on those susceptible to extremist messaging. Disseminating 'alternative narratives' on mainstream social networks and platforms, where the audiences already are, is a better strategy than trying to pull them to new locations.
How to respond
Confronting extremist messages and rhetoric directly and on an individual level can be difficult and risky. Getting into individual debates with farright groups can often push them into a defensive and combative position, and can simply serve to confirm what both sides think. It is best to leave the one-to-one engagement with far right individuals to those who are trained and experienced in doing this. Front-line professionals can have a greater impact by planting seeds of doubt in the minds of those vulnerable or already signed up to extremist narratives. Seeds of doubt are pieces of information that, without directly undermining the narrative, push the individual to question key tenants of far-right groups and ideologies.
Quantity matters
Practitioners countering the far right have, to date, struggled to match their investment of time and energy. Some shortcuts can be made if they train themselves up in technologies which can boost their social media presence, like Hootsuite or Tweetdeck and other applications. They should also seek to identify people who are looking for ways to get involved, both on and offline, and mobilise them to play a positive and collective role in promoting alternative or counter-narratives, rather than simply responding to extremists on their own. Some of the best initiatives have worked with young people who want to take action, to train them to develop successful counter-campaigns, including the Amadeu Antonio Stiftung in Germany.
Quality matters more
Counter-narratives are often unappealing cut and paste jobs that fail to reach a computer savvy, media-saturated, video game-addicted generation. They often simply present facts to try and undermine the false claims of the far right. However, facts alone will not win this battle. Front-line
professionals need to mirror the far right in their strategies and match their use of emotional appeals, modern technology, culture, and public relations. Some of the more popular counter-narrative methods involve directly playing on the brands of the far right. For example, the English Disco Lovers use the 'EDL' acronym to subvert the EDL's messaging by replacing it as a top search result on sites such as Google and Facebook, and hijacking its Twitter hashtag. Other popular strategies have involved hijacking hashtags used by the far right, like #creepingsharia, which was first used by former EDL leader Tommy Robinson, but was co-opted by civil society ridiculing the assumption that 'Muslims are taking over'.
Real-time evaluation
The counter-narratives space is new territory for most organisations, and there is very little understanding about what works. Front-line professionals can rely on some open source tools to track who is engaging with the content they post online and gauge which kinds of content receive greater attention. For example, on Twitter, these might include TwitterCounter to count followers over time; Tweetmap to show the location of these followers; Hootsuite for analysis of click-rates on articles posted on Twitter accounts; and applications like Crowdbooster to overall understand how engaging and far-reaching campaign Tweets are.
3. Managing threats to public order
Introduction
Public order disturbances are some of the most common expressions of far-right extremism across Europe, ranging from less organise activities like loitering and harassment of local communities by street gangs, to larger demonstrations. This includes English Defence League demonstrations which have at their largest brought out 3000 supporters in Luton or the 66,000 who took to the streets across Warsaw during the National Independence Day in Poland. But even the smallest of demonstrations can impact local communities, shutting down local businesses, instilling a sense of fear, or in the worst cases, leading to violence.
The context of public order management will differ from country to country, both in the nature of the protests and the legal and political context in which they take place. In some contexts, police may have strong penal codes they can make use of to limit the impact of far-right movements on communities. In countries like Sweden and the UK, large numbers of counter-activists organise demonstrations to counter the far right, and clashes between the far right and counter-demonstrators have descended into serious violence. In countries like Hungary, mobilisations of counteractivists rarely occur.
Key approaches
1. Diversion
Aim to divert supporters' attendance at far-right events. This includes raising awareness among protesters and those who are at risk of getting involved about the penal code and consequences of their actions; liaising with key influencers (e.g. social workers and teachers) to encourage them to discourage individuals from attending; and diversionary activities planned to coincide with the far-right event.
CASE STUDY
Project name/Country:
Choice Cards, Luton Borough Council, UK
Aims/Objectives:
To show young people the legal and personal ramifications of engaging in far-right extremist activity through user-friendly cards distributed at key events.
Description/Activities:
The Luton Borough Council has engaged in a number of innovative campaigns to reduce the impact of far-right activity in the Luton area. Among these are the distribution of "choice cards" to local schools and community centres.
These choice cards are the size of a business card, so are easy to transport and distribute. They contain information on the number of arrests for extremism, along with prison terms and personal consequences for convictions (for example, the end of studies and careers). The cards also contain information for Luton-affiliated organisations that deal with counter-extremism efforts, along with contact information for police and other reporting agencies. These cards have been distributed widely, hitting schools, colleges, youth centres and organisations, and youth offending services.
2. Reclaiming public spaces
Ensures that extremists have minimal impact on communities. This includes keeping demonstrations away from areas with high concentrations of ethnic minorities and migrants, community businesses declaring themselves zones where extremists are not welcome, and rapid community responses to paint over graffiti or clean streets after protests.
CASE STUDY
Project name/Country:
Night Ravens Parents' Initiative, Norway
Aims/Objectives:
To involve community participation in night-time safety, with parental patrols of public spaces serving to counter hooliganism and violence.
Description/Activities:
The Night Ravens were founded in 1990 as a public engagement initiative to minimise street crime and violence at night in Norway's major cities. Beginning in communities with heightened neo-Nazi activity, the aim was to fill the evening streets with parents, and thus make the space less fun for youth gangs. Night Raven parents' groups simply stand on street corners providing a calm, parental presence in areas with higher levels of far-right hooliganism and violence. Though originally more closely connected with Norwegian police forces, it is now a fully private organisation that collaborates with police.
3. Smart demonstration management
Ensures that demonstrations don't inspire fear, inflame tensions or lead to violence within the community. This might involve tension monitoring, communication of the march route to the public, and real-time communications about the progress of the event as well as smart use of social media. It may also involve getting the community engaged in management of the demonstration.
CASE STUDY
Project name/Country:
Active Citizens Initiative, Greater Manchester Police, Rochdale Division, UK
Aims/Objectives:
To involve key members of the community in policing of far right demonstrations and act as a community liaison.
Description/Activities:
The Active Citizens Initiative began as a police-led effort to encourage communication and address misperceptions in the local Rochdale community about how public services respond to extremism. Rochdale police identified 30 key individuals from across the community in order to get a cross-section of views and perspectives and then brought them together to explain legislation and tactical strategies relating to the policing of EDL demonstrations and gather community feedback. This offered a space to break down misconceptions about what police are legally able to do during demonstrations, and allowed for dialogue with the community about their concerns. During demonstrations, each 'active citizen' was paired with a police officer or mediator to patrol the community and act as a communication link to those directly affected by the march. Active Citizens are trained alongside police officers before and during demonstrations.
Getting it right
Getting the trust of the community
Some communities lack trust in the police, and in some cases these are the very communities targeted by the far right. The reasons for this are varied, and may include experiences of police discrimination and racial profiling, or even some local activists encouraging communities not to engage with the police. Re-building this trust is an important process.
On the one hand, it is vital that the police take seriously and show a willingness to respond to the fears of communities targeted by the far right. Police should invest the time and energy to learn about the society they are policing, and actively engage with community leaders and business owners, particularly those with a history of being targeted by the far right.
Building strong relationships with political activists in the community, across the spectrum, will also be helpful. Gaining the trust of the community will ensure that local leaders and citizens will come to the police when they see signs of unrest and violence. Police should also invest in specific roles responsible for dialogue and engagement with communities and targeted groups, as well as those responsible for engagement with extremist activists themselves (in some countries, this role is the function of preventative police officers).
Getting the community involved
Communities may feel fear, powerlessness and frustration surrounding far-right demonstrations. Communities may not know how to show that they stand against the far right. Counter-demonstrations are valuable in that, in the best scenarios, they are peaceful displays of communities uniting against hatred, demonstrating that the far right is unwelcome in a community. However the risks of counter-demonstrations are that, in the worst scenarios, they can inadvertently inflame the actions of the far right, and end in clashes between groups.
There are other ways that community members can take action, and some of the best initiatives get the community involved in more positive ways, whether it is involving community members in demonstration management, local businesses declaring themselves extremism-free or inclusive zones, or organising alternative community activities.
Police for their part, can encourage community members to come and see the far right if they are curious, rather than preventing people from viewing the group, or not allowing photography. Putting up these barriers between the community and the far right group can serve to stoke more fear than often deserved.
Limiting the far right's appeal
Far right groups often get boots on the ground through their social networks, with many turning up for demonstrations simply because it makes for an exciting afternoon with their friends. Local authorities and police can work with communities to make far right activities less appealing. This has been done successfully by working with local businesses and bars frequented by extremists closing or deciding not to sell alcohol at key moments during demonstrations. Some have experimented with clever methods like making toilet access difficult, or active construction sites next to the demonstration site. Engineering the area where the demonstration will take place to make it less exciting can be particularly effective and lead to fewer people willing to take to the streets.
Convincing people not to get involved
Indicating the possible consequences of their involvement can be a successful method of diverting vulnerable individuals away from demonstrations. This has been done through home visits by police, teachers delivering the message in schools, and through innovative methods employed by local authorities such as the 'consequence cards' used in Luton. Local authorities and police have also put on diversion activities, including free trips outside of the area, football tournaments, and action and adventure trips (e.g. snowboarding, rafting, and mountaineering).
Encouraging self-policing and change of behaviour
Minimising public disturbances can sometimes be achieved through interaction directly with far-right activists. Though in some cases far-right protesters may come from afar, in many cases, far-right demonstrators may be members of the community they are protesting in. Innovative techniques employed in Sweden by the Dialogue Police include getting to know far-right protesters personally; what their aims are and what methods they are prepared to use. De-anonymising protesters, seeing them as individuals and helping them to see the police as individuals too, can in some circumstances prevent people from carrying out particular actions.
Police can delicately balance enforcing the law with offering far-right activists opportunities to do things differently. Talking to the far right
rationally about the implications of their actions can have an impact. This has been done with groups as extreme as neo-Nazis in Germany, as done by Soko Rex, which communicated directly with potential offenders before events to highlight the consequences of additional criminal offences. It has also been done at the other end of the spectrum, with non-violent far-right groups in the UK. For example, in one instance when a wedding was set to take place at a local town hall at the very time the EDL was planning a demonstration there, the police simply explained the situation to the EDL activists; they agreed not to ruin a wedding day and cancelled the demonstration.
Police can also use the hierarchical structure of far right movements instrumentally; it is often clear who the leaders are and the responsibilities of different members of the group. By liaising directly with the leadership of these groups, they can encourage groups to police themselves, for example by serving as demonstration stewards.
Using the law
If police are aware of the legal frameworks surrounding protests and how to use them, they can actually take advantage of this knowledge and use it to their benefit. For example, in the UK, the Metropolitan Police make good use of Public Order Act 1986 to ensure far-right demonstrations have little impact on the communities they are targeting. The Swedish Dialogue Police make good use of the application process when individuals apply to local councils for a license to protest; they call up the demonstrators and begin getting to know them personally to facilitate policing.
Smart communications – accessibility, transparency, consistency
Good management of the far right should also aim to avoid misunderstandings and rumours, both about the far right and the policing of the far right, which can inflame tensions and make communities more fearful.
This can only be done through transparency and being prepared to answer key questions, such as why the far right is given the space to demonstrate, or why they cannot be banned. Police should be active in
uploading operational developments to their and partner Facebook and Twitter pages. They should keep track of what information the far right are disseminating on the day, and actively engage with and refute false claims.
Ensuring community members have access to the police and local authorities is also important, whether done via social media, offering mobile numbers to give community leaders direct access, or pairing community leaders with officers to patrol communities. It is also important to allow the community to view the demonstrations as they are taking place, and to take photos. This de-mystifies the groups themselves and helps communities become better informed about the problem.
Whether during a demonstration or simply managing a far-right group that is active in the area, a strong media strategy is key. The most important thing is to ensure consistent messaging. This can be done through local actors (including police, municipality, citizens groups, social workers and journalists) carrying out a joint mapping of the problem and developing a joint media strategy, so there is no risk of inconsistent stories emerging.
4. Ending violent behaviour and fragmenting movements
Introduction
Though intervention is one of the most important and effective ways of having an impact on existing movements, it is rarely done by governments. In an ideal scenario, it should be done as a loose cooperation between government and civil society. The reality is that this work is often done by just a handful of qualified front-line specialists in each country, who often struggle for funding but pull far more than their weight in terms of impact. Practitioners adopt a number of approaches to help right-wing extremists to change their behaviour and avoid using violence.
glossary
Group dissolution: Break down or weaken local far-right extremist groups
Disengagement: Change a person's behaviour away from violence
De-radicalisation: Change a person's views away from far-right extremist ideology
Exit: Provide a way out of extremist movements for those who are ready to leave
Key approaches
1. One-to-One interventions
Aim to build rapport with an individual involved in far-right extremist activity in order to widen the gap between them and the movement, demonstrate the consequences of their actions, help them to identify a different life path, and support them to achieve it. The length of intervention will vary according to need. They can also be conducted with groups; they have successfully dissolved youth street groups in Norway, Denmark and the Netherlands.
CASE STUDY
Project name/Country:
The Empowerment Conversation, Oslo Police, Norway
Aims/Objectives:
To push young people on the peripheries of the far right to consider their future ambitions, and empower them to leave far right street groups and pursue their goals.
Description/Activities:
The Empowerment Conversation is one component of an approach devised by Oslo Municipality Police. Individuals within or on the periphery of a far-right group are invited in for a one-to-one session with a preventative police officer. Participants are asked to create a 'social network map' during this conversation, to expose any social connections to known radicals, which is then used to assess their position in, or motivations for being part of, a particular group. Conversations often focus on the individual's motivations and goals in life, and demonstrating the consequences of involvement in criminal activity on the person's ability to achieve their goals. The aim is to empower individuals to envision the achievements and lifestyle they could have outside of a far-right movement, and assist them in transitioning away from the movement. The Empowerment Conversation was initially used
during preventative police work with racist and skinhead youth groups, but has since been applied to a variety of different youth delinquency problems. It has been most effective when parents are actively involved.
2. Exit programmes
Aim to offer a structured route out of extremist movements through deradicalisation and a longer-term support package to re-integrate into society. These involve one-to-one interventions, but also include counselling and intense psychological support, practical help with housing and jobs and pursuit of interests and goals. Practitioners take different approaches to the balance between challenging and reshaping ideology and practical help or social support. Some are initiated in prison. They largely rely on voluntary participation.
CASE STUDY
Project name/Country:
Exit Deutschland, Germany
Aims/Objectives:
To support right-wing extremists to leave the German neo-Nazi scene through long-term disengagement and de-radicalisation programmes.
Description/Activities:
Founded in 2000, Exit Deutschland is an initiative that provides support, advice and assistance for individuals seeking to leave the right-wing extremist scene. Exit Deutschland's work involves providing support to right-wing extremists and neo-Nazis who seek a departure from the movement. Exit Deutschland provides one-to-one support and gives practical aid, as well as offering guidance on personal safety and legal issues. They address the ideology of participants directly during the process of deradicalisation, working to change perceptions and perspectives from
their prevailing far-right beliefs and narratives. Exit Deutschland emphasise the importance of establishing long-term, trustful relationships between caseworkers and clients. They have developed a case management system that teaches the core concepts of their work to employees: ideology, security, and intervention and dialogue techniques. Exit Deutschland also provides advice to the families and friends of people in extremist movements.
Getting it right
Where to intervene?
Most interventions are best delivered locally, but it is important to think broader – groups work across borders, local and international. Individuals are also influenced by what they see online, as well as their peer group in the local area. Many intervention providers travel to their clients' location for one-to-one meetings. This work is also increasingly done in prisons, which can be an important place for behavioural or ideological change.
When to intervene
The best time to work with an individual is when they are considering joining or leaving a movement. It can be effective to reach out to far-right extremists in the aftermath of a violent incident associated with a far-right group, such as a murder or attack; for example, preventive police in Norway did this following the murder of Benjamin Hermansen by the BootBoys and the size of the movement dropped by half. Interventions shortly before release from prison can be effective when individuals are contemplating their future.
How to intervene
It is vital to approach individuals without judgement. Labelling people – e.g. 'right-wing extremist' or 'fascist' – creates barriers. Using personal stories can help to build bridges, although those intervening should be careful to maintain professional boundaries and protect their own safety.
The programme has to have something to offer – it has to be able to compete with far-right extremist movements: this might include help securing a job, membership of a youth club or opportunities to pursue interests. It is also vital to individualise support to the person's needs, taking into account their personal history, ambitions and characteristics (such as age, gender, socio-economic status, and interests).
Who should intervene
Having the right background matters – former extremists can be powerful in this role as they have credibility; those who share a social background may find it easier to strike up a rapport; and even fashion preferences can make a difference at the start of a relationship. Gender can be important in some contexts, for example, women may require female intervention providers, and some extreme right males' perspectives on women may impact their relationship with female intervention providers.
Profile
Some programmes rely on referrals from social services or government programmes, such as Channel in the UK, while others rely on individuals seeking out assistance. For the latter, it is important that the programme is well known to members of far-right extremist movements so they know where to come when they decide to exit. This might be achieved through building a presence at far-right events, establishing relationships with individuals, or running campaigns (e.g. Exit Deutschland 'Trojan T-shirt' campaign which saw referrals increase three-fold). It is important to consider safety when doing so, as well as the structure of the far right scene. Rather than confronting movements directly, it may make sense to build a strong web presence to ensure the programme can be found through relevant web searches.
When to talk ideology
There is disagreement about when to engage in discussions about ideology with those exiting far-right extremist movements. Some programmes, like Exit Sweden, avoid these discussions because they believe people enter movements for other reasons (e.g. emotional and social) and are
well rehearsed in counter-arguments, which would lead to a defensive pose unconducive to bonding. Others, like Exit Deutschland actively challenge and engage with extremist ideologies in an attempt to build a new world view. Structure of the far right scene, context and personal circumstance matter too.
Where ideologies are confronted, extreme caution is required: only within the bounds of a pre-existing trusted relationship; show understanding for the other person's concerns; and do not approach from a 'right/wrong' perspective. Direct challenge can be counter-productive.
Stay on the right side of the law
The legal obligations of front-line workers in relation to informing authorities of past or possible future crimes vary from country to country. In some countries, intervention providers are not obliged to report crimes that have been committed already, but might be obliged to report knowledge of severe crimes before they happen. Some front-line workers tell clients not to tell them if they are planning to use violence. However, sometimes this is not a choice as clients rely on their case managers to talk them away from committing an act of violence.
Supporting yourself and staff
Being confronted with hate on a daily basis can be emotionally taxing, particularly when it becomes personal. It is important that exit and intervention providers have strong support networks to speak about their work and how it is affecting them. In some cases, organisations have lined up external support, or have a trained therapist or counsellor in-house. This support can also be found informally from colleagues, similar professionals abroad, or friends and family. Aggreddi, a violence intervention programme in Finland, has a room in its office devoted to time out – an important space for intervention staff to take a break from this difficult work.
5. Supporting and empowering victims
Introduction
Support for victims is instrumental not only to dealing with the aftermath of violent cases, but in preventing future incidences. Victims of far-right extremist violence and hate crime often face specific challenges:
* They often struggle to explain or understand why the violence took place, as opposed to victims of robbery and other types of crime
* Victims of hate suddenly find themselves representing something (a minority identity); they may struggle with their sense of individuality
* They are often confronted with blame for the events that took place – for example, LGBT victims being told that they 'brought it on' themselves
* They are unsure of whether police or local authorities will help them, due to institutional racism and discrimination, or may fear deportation or arrest
* There are significant challenges to re-integrating hate crime victims back into society: fear, risk of perpetuating cycles of prejudice
* Hate crimes are not just committed against the immediate victim, but against a community, so the impacts are felt far and wide. Entire communities may be traumatised following an attack on a single person.
European countries struggle with encouraging victims to report hate crime. The most common reasons that victims do not report hate crime include the belief that nothing will change as a result of reporting incidences, that these cases are everyday occurrences, and that they do not trust the police. Not only do victims support professionals assist victims, they also work with law enforcement (and prosecutors) to ensure that these relationships can be repaired.
Key approaches
1. Rehabilitation and reintegration
Ensures that victims and their families receive the care and support they need to regain health and stability and re-build a life for themselves.This includes support reporting cases to the police, navigating social services and legal advice, as well as longer-term counselling and psychological support.
2. Empowering victims and their communities
Aims to empower communities to report crimes and speak out against them. This includes providing communities with information about their rights and the legal frameworks on hate crime.
CASE STUDY
Project name/Country:
Hungarian Civil Liberties Union (HCLU), Roma Programme, Hungary
Aims/Objectives:
To enable and empower Roma communities, raise intra-community awareness of fundamental human rights, and shape public opinion to reduce discrimination against Roma people.
Description/Activities:
Established in 1994, the HCLU is a human rights watchdog working to strengthen civil society and the rule of law in Hungary. HCLU runs a project dedicated to supporting the Roma population in north-eastern Hungary. The programme aims to empower Roma communities and activists by: reversing the process of criminalisation of poverty; utilising effective communication and campaigning to shift opinions against prejudices and discrimination; and drawing attention to 'double standards' within law enforcement, administrative authorities and the judiciary.
HCLU conducts training sessions to provide Roma communities and activists with the tools to understand their fundamental human rights and victims' rights, and the capacity to enforce these rights. They have set up over 20 legal support stations in Roma communities across the region, and offer free legal aid to vulnerable, isolated people living in extreme poverty remotely via Skype.
HCLU have used video testimony from the victims of racist attacks to raise awareness of hate crime and improve societal understanding of the problem. They also use video testimony as material for the judiciary to use as evidence during legal proceedings.
3. Training for the justice system
Aims to prepare the justice system for handling hate crime and far-right violence with sensitivity and appropriate action. This includes raising awareness among police, prosecutors and judges of hate crime and far-right extremism, and promoting human rights awareness and sensitivity to working with vulnerable communities.
CASE STUDY
Project name/Country:
Lambda Warszawa, Poland
Aims/Objectives:
To create a space to build a positive identity for the LGBT community in Poland and bring independent, professional and expert assistance in cases of emergency and crisis.
Description/Activities:
Lambda Warszawa is the oldest LGBT rights group in Poland. The organisation serves as a centre of information for Polish LGBT members on legal, professional, and personal advice; maintains a hotline to respond to acts of discrimination and violence; and communicates with local authorities when necessary. The organisation carries our training with Polish police on working with vulnerable communities, particularly LGBT communities. They work closely with the Human Rights Adviser to the Commander in Chief of the Polish Police.
Getting it right
Approach
A non-judgemental approach is critical. Victims support professionals should listen without any pre-conceived expectations, and without commentary. Victims may not realise that what they have experienced is not hate crime, but discrimination or simply a different form of crime. It is important nonetheless to listen to those you cannot help. Suggest ways in which the individual can approach the relevant service they should contact, whether it is the police, an ombudsman, or other social services.
Building trust
Particular groups, for different reasons, often lack the victims' support they require. These include young people, male victims and groups that don't have a strong relationship with the police due to discrimination or prejudice (including Muslim and LGBT communities). Victims support professionals may need to partner with organisations and institutions that are trusted in the community in order to ensure they are known and trusted. Victims support organisations can offer special training for staff on how to support victims from ethnic minority backgrounds. Offering support to victims in key languages may also be important.
Profile
In some contexts, depending on the organisation, smaller legal advice centres may not need to advertise the service because they risk having more clients approach them than they can handle. Those victims support organisations that advertise do so via the usual channels – in hospitals, police stations and online for example.
Some are increasingly using social media and online tools to reach communities. Even police have set up a presence online (via dedicated websites or Facebook pages) for people to report hate crime. In the UK, organisations like Tell MAMA (Measuring Anti-Muslim Attacks) are testing the use of social media as a method of collecting information on harassment, intimidation and violence against particular communities. Gathering data on hate crime and hate speech via Twitter and social media comes with its challenges, including a need to be rigorous (but sensitive) with fact checking and following up, but it is an area worth exploring.
Encouraging reporting of crimes
In some countries, there is a real need for campaigns to encourage minorities to report hate crime, and raise awareness of where they can go if they are uncomfortable going straight to the police. Some of the most successful examples include use of shocking images to draw attention to the issue. It is essential to raise awareness within communities of what hate crimes are, and victims' rights. Organisations like the HCLU in Hungary or the Association for Legal Intervention in Poland provide training for
minority communities about hate crime, with the aim of empowering them to act when they see or are a victim of a crime.
Shaping the justice system
Victims support professionals are increasingly delivering training sessions for police, prosecutors and judges on three key issues: recognising hate crimes and far-right extremist crimes; ability to engage with victims of hate crime and extremism; and broader diversity, tolerance and human rights education. The most successful training programmes for police are delivered by front-line professionals, but done in partnership with the police. Even organisations externally funded to deliver training have specifically asked police to work with them to design the curricula together, to promote institutional buy-in and ownership of it.
The most effective training sessions involve humanising hate crime by bringing minority community representatives or survivors to the table. For example, trainers in Denmark have brought the organisation LGBT Denmark or family members of a victim of racial violence in to speak to police officers during a training session on hate crime. Some organisations are also using film to deliver these personal testimonies.
Communicating personal testimonies
Though recounting experiences can be a difficult and sensitive process for a survivor, for some people at the right time, telling one's story can be a meaningful process. It can be part of the healing process. In some cases it is a powerful method of pushing back at injustices that led to the events, and of appealing to government or the general public for change. This should be done with care, and when the time is right for the individual.
Supporting yourself and staff
Supporting victims of hate crime and extremist violence can be emotionally taxing. It is important that victims support professionals have a system in place to support staff working on these issues, and to offer a space where staff can speak about their work and how it is affecting them. In some cases, organisations have lined up external support, or have a trained therapist or counsellor in-house.
6. Raising awareness of the problem
Introduction
Some of the key challenges facing front-line professionals are made more difficult by the wider climate on issues surrounding far-right extremism, diversity and race relations. Practitioners are often pushing against the grain in countries where hostility and prejudice against particular minority groups are widespread. There are, however, a number of actions frontline professionals are taking to alter the way both the general public and governments engage with this issue.
In some countries, limited awareness among the general public of far-right extremism is a concern. This includes limited awareness about the scale of the threat of violence, but also about what far-right extremists look like today. The general public can be a powerful force in prevention and intervention efforts, and low public awareness can hinder communities from self-regulating far-right extremism where possible.
Key approaches
1. Document the problem
Aims to improve public information about far-right extremism and perpetrators. This includes gathering and presenting the facts on far-right extremism and trends, and monitoring violence and hate speech.
CASE STUDY
Project name/Country:
Athena Institute, Hungary
Aims/Objectives:
To build a European-wide information database on extremist groups and actions.
Description/Activities:
Modelled after the U.S. Southern Poverty Law Center, the Athena Institute conducts several important campaigns, but the most important is its monitoring database of extremist groups and their activities. Athena has created interactive online maps, with individual country profiles, trends in cities and across borders, and overviews of extremist groups, their supposed levels of support, and their leaders (when known). The purpose of this monitoring is to serve as a tool for the media, government and the general public. As a group independent of government funding, the Athena Institute is able to act in a bold and honest manner, even noting the importance and threat of far-right groups in the Hungarian government. It also provides highly detailed data on far-right extremist groups in Hungary, noting eight major groups, their ideologies and probable behaviours.
2. Challenge misinformation
Aims to disrupt stereotypes about what far-right extremists look like today. The popular conception of a far-right extremist is an outdated one, generally based on visions of a male skinhead, anti-social, and in bomber jackets and boots, often perpetuated by mainstream media. Some non-government organisations (NGOs), are actively working with police and the media to disrupt their conceptions of far-right extremists.
CASE STUDY
Project name/Country:
Amadeu Antonio Stiftung, Expert Center on Gender and Right-Wing Extremism, Germany
Aims/Objectives:
Runs projects and campaigns to directly support victims, promote alternative youth cultures and networks to weaken neo-Nazism, antiSemitism and other forms of bigotry. This Expert Center specifically focuses on raising awareness of the role of women in right-wing extremist groups.
Description/Activities:
The Foundation houses Germany's strongest expertise on gender in the far right scene. Right-wing extremism in Germany continues to be perceived as predominantly a 'male problem,' with the stereotype prevailing of white women as peaceful and non-violent. The Expert Center promotes a gender-sensitive approach in all strategies and actions to prevent rightwing extremism. The Expert Center has provided training sessions in kindergarten and pre-schools across Germany on this issue, and has started a network of teachers, principals and heads of kindergartens who wish for further support to deal with this issue. They have also developed training for leaders of sports associations, youth clubs and other community centres. They have initiated discussions with journalists and schools of journalism in an attempt to influence media coverage to address the gender-specific failures in reporting on right-wing extremism.
3. Changing public opinion on diversity
Aims to change stereotypes about particular minority groups targeted by the far right. In some countries, like Hungary, it remains difficult to mobilise the general public on tolerance to diversity. This also rings true in countries that easily mobilise against racism, but have high levels of intolerance towards particular groups like Muslim communities, as in the UK, the Netherlands and the Nordic countries. These initiatives aim to mainstream positive stories about these groups, and change public perceptions by promoting positive role models from these backgrounds.
CASE STUDY
Project name/Country:
Syndrom, People Against Racism (PAR), Slovakia
Aims/Objectives:
Runs campaigns to combat racism, discrimination, anti-Semitism and antiziganism in Slovakia, ranging from educational programmes to billboard and TV campaigns.
Description/Activities:
PAR ran a national campaign called 'Syndrom' which presents stories of Roma who disrupt the common stereotypes of Roma in Slovak society, including successful teachers, lawyers and doctors. The campaign aimed to challenge popular stereotypes about Roma communities. The campaign profiled images and personal testimonies of several successful and inspirational professionals of Roma background, and invited the viewers to question their assumptions about Roma people. The website included split images of individuals, stating, for example 'One of them is a teacher – A teacher and Roma. Excluded? Do you also have a syndrom?' PAR has been successful in mainstreaming its publicity, even partnering with major newspapers to include their campaign images and reach wider audiences.
Getting it right
Getting the right timing
In countries where society poses a major hindrance to front-line professionals' work, as in Hungary, the focus should be on early promotion of human rights and education among young people. However, most countries will need strategies that target adults, and that respond quickly to changes in the local or national situation. The far right is particularly adept at using and abusing current affairs and major media headlines to promote their cause. Front-line professionals need to respond as quickly and with evocative messages in the immediate aftermath of national events. Though messages need to appeal to the emotions, it is important to remain calm in the face of the upsetting rhetoric of the far right. Front-line professionals can also prepare the basic tenants and principles of a communications strategy in advance of events, to be ready for crisis situations.
Good use of creative methods
Though the far right is particularly good at dissemination of emotional rhetoric without the facts, simply disseminating facts is unlikely to have the desired impact. Visualising information and data can ensure it reaches a wider audience. PAR runs a campaign called HateMeToo, which has developed visually appealing infographics to deliver key facts on Roma and immigrant groups in Slovakia. Through a partnership with a major newspaper, these infographics have been disseminated in the daily newspaper. Celebrities and other leaders can also be instrumental in getting racism and far-right extremism on the radar. Organisations like Never Again Association organise concerts and massive public events with celebrities professing their dedication to the cause.
Where to do this
Similar to alternative and counter-narratives, initiatives to change public attitudes are more likely to have an impact if placed in the mediums that those who hold those attitudes might see. Front-line professionals have developed partnerships with major newspapers to ensure they are given a space to publicise their perspectives.
Making good use of existing data and filling gaps
In some cases, there is extensive information out there on the far right, which simply needs to be coordinated. German NGO Apabiz, for example, is gathering this information to develop an online map called Rechtes Land for the general public to key in their postal code to see a snapshot of farright extremist crimes and activity ongoing in their local areas.
Front-line professionals can also identify gaps where less data is available. For example, Apabiz also initiated a project to improve photo documentation of the far right, as the police were preventing photography at far right events to limit public visibility. Apabiz filled a gap by gathering photos of the modern far right in Germany.
7. Pushing public agencies to act
Introduction
Where municipalities have a high level of autonomy, there have been considerable challenges to push them to recognise the problem and devote resources to tackling far-right extremism. In some countries, there are even challenges convincing those tasked with prevention of extremism that it is a legitimate problem. Local government often has to be convinced they have something to gain from tackling a problem of far-right extremism in a community.
Governments are often operating with narrow definitions of extremism, and fail to see them as anything other than neo-Nazis and skinheads. In Slovakia, police don't include anti-Roma groups as far right, and in the Netherlands government doesn't include anti-Islam groups in their definitions of far-right extremism. In some contexts, like Germany and Hungary, groups countering the far right struggle with government labelling them as extremist. This is complicated by the fact that in some places, anti-fascist activists have engaged in violent methods to tackle far-right extremism, which undermines the work of front-line professionals.
Key approaches
1. Monitoring
Aims to monitor how public agencies tackle the far right and handle both high-profile and lower-profile cases. This includes building an evidence base on government and police oversights or misconduct and the impact of these failures.
CASE STUDY
Project name/Country:
Hungarian Civil Liberties Union (HCLU), Hungary
Aims/Objectives:
To enable and empower Roma communities, raise intra-community awareness of fundamental human rights, and shape public opinion to reduce discrimination against Roma people.
Description/Activities:
Established in 1994, the Hungarian Civil Liberties Union (HCLU) is a human rights watchdog working to strengthen civil society and the rule of law in Hungary. They monitor government statements and rhetoric regarding the activities of the far right, to record when basic human rights legislation is contravened. The programme aims to empower Roma communities and activists by: reversing the process of criminalisation of poverty; utilising effective communication and campaigning to shift opinions against prejudices and discrimination; and drawing attention to 'double standards' within law enforcement, administrative authorities and the judiciary.
HCLU have used video testimony from the victims of racist attacks to raise awareness of hate crime and improve societal understanding of the problem. They also use video testimony as material for the judiciary to use as evidence during legal proceedings. They maintain a regular and visible media presence using visual testimony, video messages and blog posts.
Particular emphasis is placed on monitoring legislation and law enforcement measures which directly affect Roma communities.
2. Policy advocacy or political advocacy
Aims to lobby government to raise far-right extremism onto the political agenda, and push government to act where it is not. This includes fighting for justice in the aftermath of high-impact cases, like the National Socialist Underground murders in Germany.
3. Mobilising the public
Aims to raise public interest in an issue, and de-facto garner the attention of political leaders. If the community is concerned, politicians have to act.
CASE STUDY
Project name/Country:
Communication Center X (XKK), 'Their Skin Was Their Only Sin,' Hungary
Aims/Objectives:
Aims to use methods of communication to generate positive changes in social and democratic issues. XKK represents the communication interests of the Roma community during crisis periods.
Description/Activities:
In Hungary in 2008 and 2009, a series of ethnic-related attacks took place against Roma people, leaving six dead and many severely injured. XKK
made four short moving films to commemorate this, involving emotive visuals of individuals recounting the attacks with projections of violence flashing over them. The films openly comment on the failures of the state and the police surrounding the murders. XKK launched a campaign
disseminated on Facebook and in the Hungarian mainstream media. The campaign was carried out in three spheres: Hungarian and international media, Facebook, and offline events; XKK also launched a Virtual Commemoration Campaign. They asked companies, churches, and NGOs to take an active role in remembering the victims by posting and sharing the films on their web and social media sites. The campaign won numerous awards and reached over 1.2 million people, and the general public reacted.
Getting it right
How to do it
It is best to start advocating where there is some buy-in, whether this is at the national government or local government level. In some cases targeting politicians is the best approach; at other times working with policymakers directly will be the most useful approach. Carefully consider the end goals to decide on an appropriate response. Advocating for change from the top can be most effective. This is particularly relevant when working with hierarchical institutions like the police, but also when working with civil servants.
Working within government rather than outside it
Though there are often disagreements between government and civil society when it comes to dealing with far right extremism, practitioners can in some cases have a greater impact by working within the confines of the system, using the language government uses. Whether the compromise is worth making will depend on the context, but those that choose not to work within these constraints can find themselves cut out of decision making circles. It can also be important to involve governments in design of the programme, to provide a sense of ownership.
Creative use of video and social media
Videos distributed via social media can be used to lobby governments for victim justice. In addition to the films distributed by Communications
Center X, the Hungarian Civil Liberties Union has published videos of witnesses' testimonies in several controversial hate crime cases to lobby the government for action.
When to do it
It is important to harness the right moment, particularly during media frenzies or following traumatic incidences. These can be difficult moments for those working closest to the issue, but these are the moments when governments are pushed to respond and take action.
Transparency and evidence
Front-line professionals will need to work hard to evidence their methodologies, and will need to be very methodical and transparent with numbers. Particularly those organisations protecting the interests of minority communities that are the victims of prejudice among the wider public, like Muslims or Roma communities, these statistics will be under harder scrutiny by those opposing them. Front-line professionals should aim to partner with academic institutions, which can be vital for validation of evidence, and producing quantitative evidence. Human testimonies can be evidence too. When confronted by media or other criticism about evidence, practitioners should stick to the script, and stand their ground – if the evidence is sound, there is nothing to be worried about.
Lead by example
Even when the problem of far-right extremism has been acknowledged, questions often remain concerning who is responsible, and at which point interventions should be made by each actor. Local government may be scared to engage directly with the far right. Civil society can train up authorities on how to work with far-right extremists. For example, Cultures Interactive in Germany gives authorities guidelines and vocational training on how to work with young right-wing extremists.
Pushing for long-term structural changes
Governments may be inhibited by structural discrimination or racism. Though there is a broad field of activists specifically tackling institutional discrimination, working to monitor attitudes and get more minorities into key sectors, it is important for this to remain part of the discussion when dealing with far-right extremism. This has certainly come to the forefront in the aftermath of the National Socialist Underground murders and the Parliamentary Inquiry that followed along with its report published in August 2013. In 2014, the co-plaintiffs issued a public statement noting the absence of recognition for institutional racism and how it impacted the case and the treatment of the victims' families.
Conclusion
Violent far-right extremism continues to pose a threat to community safety and national security. Its impact is felt on a daily basis by individuals and communities across Europe. Though often rooted in its local context, far-right extremism has impacts across borders. It has been persistent and flexible, and tactics which appear in Sweden and Germany today are likely to appear in the Netherlands and Slovakia tomorrow. It is all the more important that good practice is shared.
This handbook has set out guidance for front-line professionals tackling different critical pieces of the problem of far-right extremism across Europe.
Though methods that have proved successful in one location may not have the same impacts if transplanted in the same form to a different context, there are several cross-cutting learning points that will apply across Europe and to all professionals encountering this issue.
1 The problem is no longer just local, so learning the ropes in the online space is non-negotiable. Many front-line professionals struggle to grasp new media, alongside their traditional responsibilities. However, they need to make the time and investment to understand this space, and how it can be used to maximise their own work,
2 Context matters. Every initiative to prevent or respond to far-right extremism needs to begin with a mapping phase, which identifies the context, the people and their capacity for action. Interventions need to be tailored to specific individuals or far-right groups. Far-right groups should be policed differently based on what methods they are prepared to use, and distinctions must be made between non-violent and violent far-right groups in order to avoid undermining democratic principles.
3 Consider who to target, and don't forget adults. Perhaps for obvious reasons, prevention has tended to be carried out amongst young people; youth commit the overwhelming number of right-wing related violent crimes. However, adults are also susceptible to far-right ideologies and activism so there is a need to widen the focus for preventive efforts. Alternatively, most intervention and victims support work tends to reach adults. This may be due to state regulation which poses challenges to working with under-18s, or that programmes are simply not reaching young people who need them.
4 Staff need to be supported. Coming face to face with extremism and hate can be an emotionally draining business. Some spend their entire career facing these difficult situations, and in other cases, teachers or other professionals may be newer at dealing with them. Front-line professionals need to prioritise their own health and well-being, and should ensure they have a support network in place to allow them to speak about their work and if necessary seek longer-term counselling.
5 Think about safety. Working on prevention, intervention or response to violent extremists comes with its risks. Safety should always be a consideration when devising project methodologies, communications strategies and in particular, direct interaction with far-right extremists.
6 Front-line professionals need to put aside differences and work together. Those in the not-for-profit sector will know competition for funding is always a concern. In addition, front-line professionals often disagree over definitions of right-wing extremism and over methods that should be used within the field. They need to put these differences aside and work together where it can enhance their impact. There are too many enemies working against those countering far-right extremism, that they cannot afford not to work together.
There are also distinct sets of guidance for particular professionals groups.
Education and youth workers must:
* recognise and acknowledge real and perceived grievances held by young people, and tackle them head on
* prioritise experiential learning rather than simply myth-busting – myths will only be undermined by offering experiences and fostering relationships that shape attitudes
* make good use of creative methods, including use of film, visuals and new media
* offer a competitive package to the offers of the far right, which might mean exciting activities, a sense of family or brotherhood, or opportunities to pursue new interests
* amplify voices of the most credible messengers, including former extremists, survivors of violent extremism, and popular figures known to vulnerable communities
* support peer education, where young people are better equipped to challenge their own peers, for a longer-term impact
* prioritise long-term programmes rather than one-off events, which often have limited impact
Local authorities must:
* offer a competitive package to rival with the offers of the far right – whether this is options for concerned citizens to take action, or exciting activities for young people during demonstrations
* identify and tackle community grievances head on – ensure there are spaces for citizens to express their concerns and have their voices heard
* get the community involved in positive ways during far-right activities, as community mediators or organising alternative activities
* ensure a strong communications strategy is in place, prioritising accessibility, transparency and consistency of messaging
* interact with the far right themselves to encourage change of behaviour, emphasising consequences of their action
* prioritise long-term programmes rather than one-off events, which often have limited impact
Police must:
* demonstrate a willingness to protect vulnerable communities
* encourage self-policing and change of behaviour by engaging directly with far-right groups – even simple appeals or reasoning with them might make a difference
* involve the community in public order management where possible, involving them in policing and liaison roles during demonstrations
* ensure a strong communications strategy is in place, prioritising accessibility, transparency, and consistency of messaging
* work with the community to increase the social costs of participation in far-right activities – communities will be willing to pitch in
Exit and intervention providers must:
* take advantage of the right timing – many believe the best time to do an intervention is when a person is on the way in or on the way out of a movement
* approach clients with a non-judgemental manner – avoid using labels or approaching their beliefs as 'right' or 'wrong'
* individualise support as much as possible – tailor a support package specific to a person's needs
* confront ideology with caution, and only when the time is right
* focus on the future of the individual, rather than the past – identify goals, ambitions, and where that person would like to go in the future
* offer a competitive package to replace the main offers given by the far right
* prioritise staff well-being and personal safety – ensure that there are routes for staff to seek support and counselling as needed
Victims supporters must:
* take the time to build a trusted reputation among the communities who might need support
* always adopt a non-judgemental approach when working with victims, with no expectations about their situation and background
* make creative use of new media to reach communities – to raise awareness, provide a platform for victims to ask for support, and build a stronger evidence base on hate crime and incidences
* allow police or prosecutors to take ownership of training sessions – this might improve their engagement with the content
* prioritise staff well-being – ensure that there are routes for staff to seek support and counselling as needed
* recognise the power of storytelling as part of a survivor's journey – at the right time, storytelling can be important in the healing process
Campaigners and activists must:
* use creative methods, including film, visuals and new media to engage new audiences
* organise positive alternatives to counter-demonstrations, which can sometimes lead to unexpected or counterproductive outcomes
* appeal to the emotions rather than just the facts – myth-busting is notoriously difficult to do, and appealing to the emotions can be coupled with facts to have a greater impact
* use existing platforms to disseminate information rather than setting up new ones
* amplify voices of the most credible messengers, including former extremists, survivors of violent extremism, and popular figures known to vulnerable communities
* public ownership or even anonymity of campaigns can be important
* focus on quality over quantity of messages – going viral is not always the aim
The problem of far-right extremism will not go away in the near future. This is no easy challenge, however this project aims to offer a platform for the good work that is being done across Europe to prevent, intervene and respond to this challenge. Cross-border exchange at the European level encourages innovation, will allow us to learn faster, and means that those with less experience can learn from those with more. This is the first set of resources in the FREE Initiative, which will grow over time as new methods are tried and tested and new lessons learned. Visit www.theFREEinitiative.com for inspirational films, testimonies and case studies on tackling far-right extremism across Europe.
About the author
Vidhya Ramalingam is Research and Policy Manager at ISD, leading a programme of work on far-right extremism and intolerance. She regularly briefs governments and NGOs on far-right extremism across Europe, and methods for response and intervention. Her work on the far right has been featured in the Guardian, the Telegraph, Huffington Post, the New Statesman, and international press. Vidhya holds an MPhil in Migration Studies from the University of Oxford, and a BA in Anthropology and Inequality Studies from Cornell University.
Institute for Strategic Dialogue 48 Charles Street,
London W1J 5EN T: +44 (0)207 493 9333 email@example.com
www.strategicdialogue.org
|
University of St. Thomas Law Journal
Volume 5
Issue 2 Winter 2008
2008
Medical Professionalism and the Formation of Residents: A Journey Toward Authenticity
David C. Leach M.D.
Bluebook Citation
David C. Leach, Medical Professionalism and the Formation of Residents: A Journey Toward Authenticity, 5 U. St. Thomas L.J. 512 (2008).
This Article is brought to you for free and open access by UST Research Online and the University of St. Thomas Law Journal. For more information, please contact firstname.lastname@example.org.
Article 8
ARTICLE
MEDICAL PROFESSIONALISM AND THE FORMATION OF RESIDENTS: A JOURNEY TOWARD AUTHENTICITY
DAVID C. LEACH, M.D.*
Let me begin by thanking the Holloran Center and the Law Journal of the University of St. Thomas School of Law for the opportunity to share my thoughts and observations about medical professionalism—in particular, medical professionalism as it pertains to the formation of resident physicians. Medicine, unlike most professions, requires a period of formal, supervised training after graduation. These educational programs, called residencies, are accredited by my organization, the Accreditation Council for Graduate Medical Education (ACGME). 1 There are 8,186 residency programs in the country, which in the aggregate house 103,367 residents in 122 specialties and subspecialties. 2 I will use residents and residencies to illustrate both the problems and opportunities associated with our topic: the formation of an ethical professional identity. The questions of professionalism and the formation of young professionals can thus be stated: How do we preserve and nurture authentic human and moral reflexes in our young learners? How do we foster authentic professionalism and moral development in young people when the context in which young people are being formed is itself morally challenged?
This article is organized into three sections: first, background information about residents and residencies; second, examples, both egregious and normal, of challenges to resident formation; and, finally, proposed solutions to address these challenges.
* Former Executive Director and CEO of the Accreditation Council for Graduate Medical Education.
1. Accreditation Council for Graduate Medical Education, http://www.acgme.org (last visited May 7, 2008).
2. 2005–2006 Annual Report, 2006 ACCRED. COUNC. GRAD. MED. EDU. 8–9, available at http://www.acgme.org/acWebsite/annRep/an_2005-06AnnRep.pdf.
I. BACKGROUND
As any of the nation's 106,000 medical residents could attest, residency is an intense experience with a learning curve steeper than any other area of physician formation. The differences in knowledge and skill between first-year and chief residents are profound. The residents' journey is one in which they learn the practical skills of medicine. Residents discover clinical wisdom, yet they also discover themselves. They are seeking to become authentic physicians. It is a journey that is surrounded by external drama, but actually proceeds from the inside. It is a journey that calls not only on their intellect, but also on their will and their imagination. Residents learn to discern, tell the truth and make good clinical judgments in very complex, clinical situations.
Because of the intensity and importance of this most formative phase in physician development, and because the habits of a lifetime are developed during this period, we (the staff and volunteers of the ACGME) pay attention not only to the residents' progress, but also to the context in which residency occurs. The learning environment is crucial and is monitored by ACGME's Institutional Review Committee. 3 Residents and residency programs offer a particular view of the formation of an ethical professional identity.
II. SOME CHALLENGES TO THE FORMATION OF YOUNG PROFESSIONALS
One of my mentors, Parker Palmer, a sociologist in Madison, Wisconsin has said:
Hope is not the same as optimism. An optimist ignores the facts in order to come to a comforting conclusion, but a hopeful person faces the facts without blinking—and then looks behind them for potentials that have yet to emerge—knowing that the human experiment would never have advanced were it not for the possibilities, however slim, that lie hidden behind the facts. 4
Using Palmer's definition I can say that I am cautiously hopeful, but definitely concerned, about the formation of medical professionals in the modern world.
In May 2002, Palmer facilitated a retreat for residency program directors who had received the ACGME's Parker Palmer Courage to Teach Award. During the retreat, a case was presented about a liver transplant donor who had died while in intensive care. He died despite the fact that the surgery had gone smoothly and despite the fact that his wife, who was with
3. For a description of ACGME Institutional Requirements, see ACGME Institutional Requirements, 2007 ACCRED. COUNC. GRAD. MED. EDU. 1–17, available at http://www.acgme.org/ acWebsite/irc/irc_IRCpr07012007.pdf.
4. Parker Palmer, Address at the Marvin Dunn Memorial Lecture at the ACGME Educational Conference: The New Professional—Educating for Transformation (Mar. 4, 2006).
him throughout the entire post-surgical period, insisted repeatedly and to no avail that her husband was going downhill fast. Three months later, the State Health Commissioner issued an incident report saying: "The hospital allowed this patient to undergo a major, high-risk procedure and then left his postoperative care in the hands of an overburdened, mostly junior staff, without appropriate supervision." 5 On the day the donor died, a first-year surgical resident with twelve days of experience in the transplant unit had been left alone to care for thirty-four patients. She could not—and did not—monitor every patient with the care and precision required.
I present this case as an example, perhaps an extreme example, of abandonment not only of the patient, but also of a very junior resident. I also present it because of the response it evoked from a set of doctors analyzing it. The doctors at the "Courage to Teach" retreat discussed the case in small groups and almost universally came to the conclusion that system issues were to blame. The analysis was impersonal and abstract. Culpable parties were the hospital leadership, the clinical department chair and the system of supervision, inexperience and staffing.
During the debriefing, Palmer asked a question that brought the group into deep silence: "Who is the moral agent of this story?" We were not used to thinking in terms of moral agency. The group agonized over the question and the fact that, by habit, we had avoided asking the question. Palmer then inquired: "What if residents were expected to be the moral agents of the institutions in which they work and learn?" He suggested that young learners, not yet acculturated by prevailing institutional mores, offered a more pure look at the moral issues in healthcare than those of us who, by experience and habit, had developed a ready list of explanations to cope with such failings.
This case invites exploration of several themes about the development of professionalism and value systems in modern healthcare systems. Although it is tempting to highlight the several external forces that influence the developing professional today, I speak more to the developing professional's internal influences. To frame this discussion, I think of medical professionalism as more potato than lettuce; lettuce rots from the outside in while a potato rots from the inside out. For example, there has been much talk about the influence of commercial support of education—I put that into the lettuce category. It should not happen. Fixing it might involve removing some of the outer leaves of lettuce that appear brown and slimy. For me, and for many who take residency education seriously, the question of professionalism is deeper and emerges from the internal: How do we preserve and nurture authentic, human and moral reflexes in our young learners?
5. N.Y. State Dep't of Health, State Health Department Cites Mt. Sinai Medical Center for Deficient Care in Living Liver Donor Death, DOH NEWS (Mar. 12, 2002), available at http:// www.health.state.ny.us/press/releases/2002/mtsinai.htm.
How do we foster authentic professionalism and moral development in young people when the context in which young people are being formed is itself challenged morally?
A. A Few Words about Language
ACGME has identified professionalism as one of six general competencies used in the accreditation of residency programs. ACGME requirements for professionalism include:
Residents must demonstrate a commitment to carrying out professional responsibilities and an adherence to ethical principles. Residents are expected to demonstrate:
Compassion, integrity and respect for others; responsiveness to patient needs that supersedes self-interest; respect for patient privacy and autonomy; accountability to patients, society and the profession; and, a commitment to excellence and ongoing professional development.
. . . Sensitivity and responsiveness to a diverse patient population, including but not limited to diversity in gender, age, culture, race, religion, disabilities, and sexual orientation. 6
As this definition makes clear, medical professionalism depends heavily on the quality of a physician's inner life. Transcendence of self-interest is not a technique—it is a way of being. The resident, in addition to learning the science and art of medicine, must also learn a new way of being in the world in order to become a fully-developed professional. The resident's journey is an inner journey. We have a heavy obligation to help them.
B. Some External Variables that Influence Developing Professionals
Although the journey is deeply personal and the inner journey is heavily influenced by context, both institutional and societal contexts influence the development of professionalism. Is it possible to model and teach professionalism in institutions that do not demonstrate professional values? Is it possible to teach and model professionalism in a society that does not demonstrate social justice, that accepts limited access to health care for the uninsured, and that tolerates demonstrably worse healthcare outcomes for the poor?
No, the current context in which resident formation occurs does not make the task of fostering medical professionalism easy. Relentless pressures of time and economics, fragmentation of care and the relationships
6. ACGME Board, Common Program Requirements: General Competencies, 2007 ACCRED. COUNC. GRAD. MED. EDU., available at http://www.acgme.org/outcome/comp/General CompetenciesStandards21307.pdf [hereinafter Common Program Requirements: General Competencies].
supporting care, increasing external regulation, exciting but disruptive new knowledge and technologies and, above all, the broken systems of health care dominate conversations and characterize the external environmental context.
C. The Internal Context of Healthcare
In addition to external pressures, healthcare delivery systems demonstrate their own internal values by their behavior. The news in this field is not promising. The internal context of the system of care is daunting. We lie regularly. Justifiable lack of trust pervades the system. Beth McGlynn 7 estimates that only fifty-four percent of patients receive care that is known to be the best, a number that falls to two or three percent when evidence-based guidelines are bundled. 8 Hospital websites proudly announce that the hospitals they promote provide the best care with the best doctors, the best technology, etc. Some are so detached from acknowledging human suffering that they make it seem as though a hospital might be a fun place to visit. As a profession we have tolerated that message, forgetting Hannah Arendt's adage that every time we make a promise we should plan for the forgiveness we will need when that promise is broken. 9
The hospital bill offers another example of a breach in professionalism. It is frequently not interpretable, even by the hospital's own administrative staff—let alone patients and their families. Paul O'Neill 10 has said that he knows of no other industry that regularly accepts a thirty-eight percent reimbursement on amounts billed, a percentage he states is the national average. We all know how the number is derived. Hospitals actively negotiate with several insurers in ways designed to cover costs. Inflated bills and discounted deals result. This system, while cumbersome, works fine from the hospital's perspective, as long as the aggregate reimbursements cover expenses and some margin. The system works fine, that is, until a patient shows up with no insurance and with no one to negotiate for a discounted rate. Further, the undiscounted fees are billed to those least able to pay. The hospital bill is about as far away from " compassion, integrity and respect for others; responsiveness to patient needs that supersedes self-interest; . . . accountability to patients" as one can get. 11
It is hard to foster professionalism when incongruities between espoused and evident behaviors are so apparent. I call this the "Abraham Verghesse problem." At a spectacular forum sponsored by the American
7. Beth McGlynn, Associate Director of Rand Health, Rand Corporation, Address at the AMBS Symposium: The Quality of Healthcare in the United States (Sept. 2005).
8. Id.
9. HANNAH ARENDT, THE PORTABLE HANNAH ARENDT 180–81 (Peter Baehr ed., 2000).
10. Letter from Paul O'Neill, former United States Secretary of the Treasury, to Author (Mar. 2004) (on file with author).
11. Common Program Requirements: General Competencies, supra note 6.
Board of Internal Medicine in the summer of 2005, the audience was, with some justifiable pride, celebrating the accomplishments of the Physician Charter on Medical Professionalism. 12 This well-written document, endorsed by many, clarifies principles and commitments in a very important way. Yet, in the midst of the celebratory speeches, Abraham Verghesse stood up and said that his medical students shrugged that the principles espoused in the Charter were self-evident—it was why they went into medicine. Why were so many making a fuss about it? Dr. Verghesse then said: "Perhaps we pay so much attention to the words because there is no other evidence that the phenomenon exists." Everyone became silent.
III. POTENTIAL SOLUTIONS
In spite of these examples, I remain cautiously hopeful, using Parker Palmer's definition, because there are also a number of vectors in play that serve to support the good moral development of young professionals—vectors that can offer some hope for solutions.
There is a deep hunger for a return to classic professional values. Many good people are seeking clarity about how best to do that in the modern world. As Parker stated, "[in] looking for potentials that have yet to emerge . . . [and] at the possibilities hidden behind the facts . . . ," 13 we can find allies that can help move this particular human enterprise forward.
Dee Hock has said, "[s]ubstance is enduring; form is ephemeral. Preserve substance; modify form; know the difference." 14 The task before us is to be faithful stewards of the moral foundations of medical professionalism while adapting to the new and emerging forms of medical practice. By aligning the solutions to professional development with the fundamental faculties of human nature, we are connecting with values in medicine— truth-telling, altruism and practical wisdom— that go back several millennia and give us a solid foundation on which to stand. If in fact medical professionalism is like a potato, and not just lettuce, our responses to the new forms of medical practice will either reveal deeper lesions of professional values or opportunities to drag the goodness of medicine into the modern world.
How can we best proceed? I think it is best to work with, rather than against, human nature. What does that mean? Residents, their teachers, and all humans come equipped with three faculties that are naturally aligned with the goals of professionalism: intellect, will and imagination. 15 The ob-
12. To view the Charter on Medical Professionalism, see Linda Blank, Medical Professionalism in the New Millennium: A Physician Charter, 136 ANNALS OF INTERNAL MED. 243–46 (2002), available at http://www.annals.org/cgi/content/full/136/3/243.
13. Palmer, supra note 4.
14. DEE HOCK, BIRTH OF THE CHAORDIC AGE 198 (1999).
15. JACQUES MARITAIN, AN INTRODUCTION TO PHILOSOPHY 112–13 (E.I. Watkin trans., 2005).
ject of the intellect is truth, that of the will goodness, and that of the imagination beauty. The job of a good doctor boils down to discerning and telling the truth, putting what is good for the patient before what is good for the doctor, and making clinical judgments that harmonize—harmonize in ways that are creative and sometime even beautiful—the particular needs of a patient with the general scientific evidence at hand. This construct invites a new frame (or rather a very old frame) for organizing experiences: How good a job did I do in discerning and telling the truth, in putting the patient's interest first, and in accommodating the particular realities of the patient's situation in my clinical judgments?
A. Some Examples of Truth-Telling in Healthcare
Some hospital websites are beginning to tell the truth about their clinical outcomes. The Dartmouth-Hitchcock website, for example, provides a list of several clinical procedures and diseases as well as Dartmouth's performance for each. 16 Three columns then compare Dartmouth's performance with the national average and national best performance. While still unavailable for most hospitals, Dartmouth is not alone in its transparency; others are beginning to follow. The Cystic Fibrosis Foundation website, for example, provides comparative outcome data for each of the major cystic fibrosis treatment centers in the country. 17 While not yet available for other diseases, the data inevitably will be compared. As a profession, we are beginning to tell the truth.
We are also beginning to tell the truth about medical error. Many hospitals now have formal programs in which patients are told exactly what happened, given an apology, and provided with some evidence that the hospital staff is working to reduce the probability of that error occurring again.
B. Attention to the Inner Life of the Physician
We must acknowledge that we, the teachers of medicine, must attend to our own inner landscape. Teachers who take resident formation seriously find that both resident and teacher are changed. The journey to authenticity is not being taken by the resident and faculty alone—the profession of medicine is on the same journey. For that matter, our American society is on a journey to authenticity as well. To the extent that our profession discerns and tells the truth about healthcare, to the extent that it puts what is good for the patient and the public before what is good for the doctor, and to the extent that it is creative and generative—it is an authentic profession. Authenticity in this sense is a verb, not a noun. It is not a state of rest; it
16. See Dartmouth-Hitchcock Medical Center, Overall DHMC Performance Results, http:// www.dhmc.org/qualityreports/list.cfm?metrics=Overall (last visited May 7, 2008).
17. Cystic Fibrosis Foundation, Care Center Data, http://www.cff.org/LivingWithCF/Care CenterNetwork/CareCenterData/ (last visited May 7, 2008).
requires constant vigilance. Residencies and the institutions that house them should be built on the bedrock of the intellect, will and imagination, and they should offer experiences that strengthen and test these capacities.
C. Some Practical Steps
We must debunk the myth that our institutions are external to ourselves. We tend to accuse others of our own sins; we tend to blame the nebulous "they" for violations of standards that we, alone and together, must defend. Palmer has stated:
[P]rofessionals, who by any standard are among the most powerful people on the planet, have the bad habit of telling victim stories to excuse behavior: "The devil (boss, rules, pressure) made me do it . . . ." The extent to which institutions control our lives depends on our own inner calculus about what we value most. These institutions are neither external to us nor constraining, neither separate from us nor alien. In fact, institutions are us. The shadows that institutions cast over our ethical lives are external manifestations of our own inner shadows, individual and collective. If institutions are rigid, it is because we fear change . . . . If institutions are heedless of human need, it is because something in us is heedless as well. 18
In our journey to authenticity as a profession, we must call institutions to account as we call ourselves to account. We may pay a price; we may be marginalized, demoted or even dismissed. Yet, the price we pay for continuing to pretend that we are helpless victims, for living professional lives in conflict with our deepest values, is greater. We must resist unprofessional institutional behavior—not because we hate our institutions, but because we love them too much to allow them to fall to their most degraded state.
Perhaps we should take seriously Palmer's suggestion that we create a system in which residents and other early learners could function as moral agents. Like the canary in the coal mine, the residents could detect and warn others when institutional conditions (relationships) are toxic to professional values. They could keep us honest about how we are dealing with the sick. This approach would require that we both listen to and validate the residents' feelings and that we train them to use the human heart as a source of information. This, of course, is problematic.
Embedded in the higher education process is a systematic discounting of the subjective; it is thought to be a source of bias and unreliability. Yet, good physicians do more than simply pay attention to objective details. Compassion, empathy, and deep respect are all dependent on truths revealed by the human heart. Perhaps the heart, like the mind, can be taught to discern truths. Perhaps when the heart is uneasy we should listen more carefully and mine the information it is giving us. Perhaps a disciplined approach could enable moral agency to develop.
Lacking a disciplined approach, we too frequently socialize residents to cope with, rather than master, the systems in which they work and learn. They live in the cracks of a broken system, but they are the glue that often holds it together as they get things done. However, residents are renters and not owners. They can identify system issues but do not feel empowered to fix them. Coping with systems in which patient safety depends on individual vigilance rather than design is wearing and dangerous, and we will fail every hundred or thousand times—well below what we know is achievable in other sectors of our society today. It also inhibits the formation of true professionalism. The solution requires attention to group as well as individual formation.
We have assumed that professionalism is an attribute of individuals alone. It is not; it also marks communities. The assumption that the doctorpatient relationship is a one-to-one relationship is flawed. In fact, it is more like a twenty-to-one relationship—with several different types of doctors, nurses and other health care professionals interacting with the patient and each other in ways that are variable and frequently disorganized. Needed is clarity for all about the roles, authorities and functions of the various members of the team. Cultivating communities to discern and tell the truth to each other, to enable and facilitate altruism, to make good promises and to seek forgiveness, and to harmoniously integrate true hospitality into care plans depends on paying attention to small group as well as individual formation. It will help us respond to society's call for respect.
Lastly, we must not stand passively by when our country violates fundamental principles of social justice. Every resident physician encounters the poor. Many academic health centers include care of the poor as part of their mission and are frequently the backbone of such care for their communities. Yet, widespread disparity exists across the larger society and even within academic centers. The profession has been ineffective at best, and silent at worst, about healthcare disparity. We would be well-served to have a bias toward rather than against the poor—the larger society judges us over time by our response to its needs.
D. Postmodernism: Can Medicine Offer a Corrective?
We live in a society in which truth is viewed as nothing more than a social construct. Spin doctors, rather than real doctors, prevail. They can construct a view of social justice that will serve their master. Medicine, in its very nature, functions under a different set of assumptions. Rather than a postmodern, socially constructed view of truth, doctors deal with things like gallstones and brain tumors. Medicine accepts that there is a truth and that it can be known, although sometimes with great difficulty. A gallstone is not a social construct. A doctor may or may not detect it, but ultimately truth trumps opinion. If we by habit discern and tell the truth, we can offer the larger society an approach to truth that conforms to reality, rather than mere social constructs that attempt to create reality.
Good doctors are humble; even the arrogant ones encounter failure. Postmodernists lack that corrective and can become quite proud, marked by hubris and convinced that they are right. Flannery O'Connor has said, "[i]n the absence of the absolute the relative becomes absolute." 19 This is the source of all fundamentalism: religious, political or other.
We cannot accept socially constructed views of social justice. This is not an issue of conservative or liberal—it is deeper than that. We are called upon to provide health care for all of our citizens; it is their due. In a society with resources and know-how, failure to care for the sick is a breach of professionalism. Further, we must respond to the needs of all of our citizens in ways that offer an example for our young learners. They, too, will judge our words and actions and grade us on professionalism. When idealistic young people are told to adjust their values downward in order to accommodate our accommodation, we have a problem. If we get this right, the "crisis" in professionalism will fade, and we will have achieved the next step on our own journey towards authenticity. We can deal with external threats once our internal values are sound and our courage is found.
|
A Shift in the Gallery.
Ten o'clock, the gallery opens its doors to the public. I am ready for visitors, having made sure all the pictures are as they should be. One space with an apology card - 'Lady with Squirrel and Starling. Removed for cleaning'. Solemn woman, determined to sit still, locked into an oblique stare. The picture's labelled 'could be Anne Lovell?' because her family's coat of arms has a squirrel. That's all I know about her, her face in a thick white bonnet, and her (possible) name. Locked in place through a few hours with Hans Holbein the Younger. He probably wouldn't have 'known' her either, and here she is, where she might least expect to be, gawped at by common folk (or not, as the case now is). If it had been by a less able painter, she wouldn't be here at all.
I take up my stand in Room 4, to oversee Rooms 2, 4 and 6. Sometimes I sit, sometimes I walk about. Sometimes I answer questions; Americans like to ask questions, to 'make contact'.
Until I came here, I knew nothing about pictures. I was unaware. I looked round on that first day; nothing. I didn't like their static nature - too much Harry Potter with the kids, too many video games, too much fantasy television. I took the job because there wasn't much else after I came out of the army. The person in the job centre thought this would suit me because I could stand for hours, on parade or at royal occasions. But I'd also known action. I wasn't sure I'd last a day indoors, just watching. I thought I'd go out of my mind - well, the bit I was still hanging onto, the bit that jangled and wouldn't let me sleep. At the end of that first week, I realised the gentle movement of people, their murmuring, the calm of the place, settled over me. I had to watch, but without fear. I had to be alert, but know the period of concentration would be without sudden surprise - no-one was at my back.
I was, though, petrified someone would ask me a question, so I spent hours on the Gallery's website mugging it up. Kev, one of the other attendants, told me it wasn't worth the bother. 'Now they've got those audio-sets, you only get asked "where's the Titian?" Or "where's the toilets?'' You don't need to know anything.' So I stopped worrying. One or two visitors would glance at me nervously. I try not to look like a policeman, though I do stand up straight, hands behind my back. My job is to protect the pictures, notice suspicious behaviour, but I don't want people to be uneasy, I want to be helpful, allow them to enjoy the pictures. I don't have to communicate.
I started to make up stories about the visitors to pass the time. Where they came from, what they did, why they were here. After a while, I found this unsatisfactory, I was frustrated that visitors would move on before I got a good handle on their fictional life. I'd look up and they were gone, their 'story' fizzled out. I started to look, really look, at the pictures, and I went back to the website. I visited other galleries. I kept quiet about this, I didn't tell Kev that I was actually interested, which really surprised me, until he told me how much he loved the Impressionists. He would go in early just to look, before 'the hordes' came in, the Impressionists being the most popular with tourists.
Ten minutes past ten. A woman comes in and sits in front of Holbein's The Ambassadors, she takes out a sketchpad. A student, fine art or art history; greybrown hair tied back, glasses, jeans and a plain jacket, which she takes off and sits on. A 'mature' student. She stares. She should by rights have stood in front, twisting this way and that to see the optical illusion - white grey splash of paint, or, if you stand in the right place, a skull. People exclaim to their companions when they see it. Americans are the loudest.
This woman obviously knows the painting, she went straight to it. She will know who the ambassadors are: Jean de Dinteville, aged 29, Georges de Selve, aged 25. Don't seem old enough to be Ambassadors, but that's judging them by today's standards. Then, they were all spies, with all the physical stuff included in that job description. Holbein - probably also a spy, but for which side? - makes them both look much older, solemn. Bored, if you ask me. No-one would know much about them if not for this picture - perhaps not be interested in the picture itself, but for the skull. Mortality. Death comes to us all. We prefer not to know that, it's better just to marvel at the artist's skill. Skull - skill - scull…and it's by Holbein, who then painted the picture of Henry VIII. The one everyone knows, if only as a reprint on a tee-shirt, or a logo for Historic England. The one that shouts POWER, ALPHA MALE, BOW DOWN YE MORTALS. The 'brand' of Kingship, not him at all - gout-ridden, halitosis probably, weak and old. But what do I know? Not him, certainly.
A few more people come in, a group with audio sets clamped to their heads. This means they will gaze at a picture, perhaps just jutting a head forward, oblivious, hogging the picture. Solitary, a recorded voice, no human contact for several minutes. There used to be guides, talking in different languages, noisy at times, but animated. Now it's silent technology, divorcing one person from another.
I prefer those like the couple coming in. They sit on a bench, talking about the pictures in front of them, gesticulating. Forties or fifties, female, one looking forward, chin on fingers, leaning towards the other. I wander past; the language sounds like Dutch. The one talking, pointing seems to be explaining, the listener nods from time to time. Then she speaks and they both laugh. I imagine them as oil portraits, caught in a moment of communication with each other, without technology.
What I do now, knowing the pictures so well, is fit the visitors to the pictures. Singly or in groups, I classify them. The young women might be Madonnas, Virgin Marys, occasionally (very occasionally), Venus. Not that I undress them with my eyes, you understand, but I do recognise a beauty that belongs to a time past, with a selfconfident air. The Renaissance nudes all have that confidence, self-awareness. That woman in the white mac is a Monet, that one, a robust Rubens.
A couple of young men, a cleric, thin and pasty, unwashed hair enters with an Adonis, or a 'portrait of a young man'. There are quite a few of these nowadays, ones who go to the gym a lot. An older man, frowning, slightly bent, is a Joseph, a poor, long-suffering Renaissance Joseph. Background to Mary, a young pregnant woman married off for the sake of 'virtue'. No communication, after all, he isn't Jesus's Dad. Just talks to the animals, makes tea for the magi. Whether she was real or not, Mary's image is everywhere here: a young girl, a Queen of Heaven, staring out, disgruntled, disinterested in her nude baby (understandably, as they're usually quite ugly). Until you come to Raphael, my favourite, The Madonna of the Pinks, an ordinary girl delighted by her baby, really looking at him, not attending to anyone else. I don't know who the models were, prostitutes mostly, I suppose, or at least the painters' lovers. They have no names except those they represent; the real women are not those they represent. They have been given another history, another, frozen, life.
Although these rooms are less crowded than the Impressionists Room, there are quite a few today, Saturday. Roman senators, groups for battles, women for markets. A red-faced small man, smiling, is fit for a kitchen boy with plucked chickens and wine jugs. Actors for Caravaggio, stage set up for a supper with Christ. Folks out for a day on the Seine, unknown to Renoir - until he shared a drink with them?
Most of the pictures in the Gallery, certainly here, are of people. I can match the visitors to them. Lots of rich men, not all arrogant, some of them looking used and rough. And their ladies; they can be arrogant - more so than the men. If they are named, I can look them up on the internet, find out about them. I can look up the painters as well, I can find facts (or 'alternative facts'), I can read biographies, I can attend lectures. I can know birthdates, (disputed?) death dates, ages, I can know about them but I don't know them. I've been to the National Portrait Gallery several times. Hundreds of people I don't know, but some, some were people I'd like to have known. The artist has made me feel that, a glint in the eye, folds of skin. Something. Back here, in Room 6, I can think of one painting that scares the daylights out of me: the Portrait of Pope Julius II - Raphael again – old, querulous, the power here is in his hands on the arms of a chair. He isn't looking at me, his head is bowed, but I can feel a crackle in the atmosphere around the sitter. Every time. Some people call Raphael 'sweet', saccharine, but here he paints the absolute opposite. I'd like to have met him.
I've seen some live painters, at exhibitions, previews. Not here, the pictures here stop at the beginning of the twentieth century (although they do have contemporary artists talking about their favourite pictures. I go to these if I can.) But at other galleries, at exhibitions of their work, they'll gauge whether you're a buyer or not. I'm not, but sometimes I like to tell them if I like the work. They smile politely, recognise I'm not loaded, or a tourist, and look over my shoulder, muttering their thanks. I did once get into conversation with David Hockney about his huge paintings of trees. He told me where to stand, talked about the pictures. But I can't say I know him, and he'd never remember me if he saw me again. I tried the Turner Prize once. I couldn't get a handle on it. When I came back here I knew why: no people.
Now, here's a man, tall, slimmish, seventies or eighties with a nice suit and sparse hair, a model for a St Jerome, reading in his study, if ever I saw one! Is there a painter in the house? Not one that would even think of painting a St Jerome, not now.
My shift here is nearly over. Twenty minutes to go. I've made a good haul of picturepeople today: very satisfying. The visitors have become more interesting, they have become something else, something definite. They have become paint, so now they belong in the gallery.
When Kev comes to take over, I'll walk through into the Sainsbury Wing to see 'my' Madonna. A young woman, I don't know who she was, but I know who she is. The look is the same. Love. My daughter, my first grandchild, as they were, as I saw them.
Before the bomb.
Here, they are safe, I am safe. With painted people, faraway artists. I like that.
|
University of St. Thomas Law Journal
Volume 9
Issue 3Spring 2012
2012
Drug War: International Law and CounterNarcotics
Jason Raether
Bluebook Citation
Jason Raether, Comment, Drug War: International Law and Counter-Narcotics, 9 U. St. Thomas L.J. 933 (2012).
This Comment is brought to you for free and open access by UST Research Online and the University of St. Thomas Law Journal. For more information, please contact email@example.com.
Article 11
COMMENT
DRUG WAR: INTERNATIONAL LAW AND COUNTER-NARCOTICS
JASON RAETHER*
INTRODUCTION
In 2006, the fishermen of Ondame, a small fishing village in GuineaBissau, came across something that would change their country forever. 1 A smuggling boat had sunk offshore and packages of pure Columbian cocaine, some weighing as much as thirty kilograms, were scooped up by the villagers. 2 Not knowing what they had, some villagers used the powder as fertilizer, killing their crops in the process, while others tried it as food seasoning. 3 When two men showed up with $1 million in buy-back cash, Guinea-Bissau's transformation into a narco-state had begun. 4 Within eighteen months, £150 million worth of cocaine was flowing from Guinea-Bissau each month, equal to the worth of the country's GDP over the course of an entire year. 5 Corruption ran rampant and, at one point, a seized stash of 674 kilograms of cocaine disappeared from Guinea-Bissau's treasury after men in military uniforms opened the vault for "counting." 6 Meanwhile, two Columbians caught with the cocaine were set free. 7
* Juris Doctor, magna cum laude, University of St. Thomas School of Law. I wish to thank Robert Delahunty, Mitchell Gordon, Neil Hamilton and Scott Swanson for sharing their passion for the law and its ethical practice. I also wish to thank the staff of the University of St. Thomas Law Journal for their hard work in correcting my many errors. Finally, I wish to thank my family, and especially my wife Julie, for their love and support.
1. Colin Freeman, The African Gateway for UK Cocaine, THE TELEGRAPH, June 10, 2007, http://www.telegraph.co.uk/news/worldnews/1554135/The-African-gateway-for-UK-cocaine. html.
2. Id.
3. Id.
4. Id.
5. Id.
6. Id.
7. Colin Freeman, The African Gateway for UK Cocaine, THE TELEGRAPH, June 10, 2007, http://www.telegraph.co.uk/news/worldnews/1554135/The-African-gateway-for-UK-cocaine. html.
In 2010, on the other side of the ocean from Guinea-Bissau, a group of high school students was celebrating a friend's fifteenth birthday. 8 The birthday boy and his family lived in Ciudad Ju´arez, a city where two of Mexico's most powerful Drug Trade Organizations (DTOs) battle for control. 9 More than 2000 people had already died that year in violent attacks that took place in bars and restaurants, so the boy's mother believed it would be safer to hold the celebration at their house. 10 A gunman arrived during the party and asked about a car parked in front of the house. 11 When no one answered his questions, he opened fire with a pistol, killing thirteen people at the party, most of whom were high school students. 12 The attacker escaped and the police had no information with which to track down the killer. 13 Given the level of violence in the city and the ability of DTOs to kill with relative impunity, it is unlikely any informants will be stepping forward. 14 Sadly, this story is nothing new in a country plagued by horror stories of drug-related violence.
This Comment will analyze the options for an international, and intranational, response to the drug trade through the rubric of international law. In Part I, this Comment will examine traditional concepts of statehood and how those concepts are distorted in countries called "narco-states," where the flow of narcotics dwarfs any legitimate economy. In doing so, the Comment will distinguish between "pure narco-states," or countries where the narcotics trade has virtually dominated all aspects of government, and "hybrid narco-states," or countries where the presence of narcotics have subverted but have not eliminated the rule of law. The Comment will then examine how the U.N. Charter applies to narco-states, and, specifically, how it hinders international drug-fighting efforts.
In Part II, the Comment will shift focus from an international to an intra-national response to the narcotics trade. It will begin by using Mexico as an example of a state ripped apart by drug-fueled violence, describing some of the DTOs operating within the country as well as efforts made so far to restore the rule of law. The Comment will define International Humanitarian Law (IHL) and explain some of its sources. The Comment will then apply IHL, particularly customary IHL regarding non-international armed conflicts, to Mexico's struggles to curb the DTO violence. Finally,
8. Olivia Torres, Mexico: 13 Dead in Massacre at House Party in Ju´arez, EL PASO TIMES, Oct. 23, 2010, http://www.elpasotimes.com/newupdated/ci_16415786.
9. Id. Because they are not involved in the price-fixing and other collusive economic activity, the organizations are more accurately termed Drug Trade Organizations rather than drug cartels. JUNE S. BEITTEL, CONG. RESEARCH SERV., R41576, MEXICO'S DRUG TRAFFICKING ORGANIZATIONS: SOURCE AND SCOPE OF THE RISING VIOLENCE 1 (2011).
10. Torres, supra note 8.
11. Id.
12. Id.
13. Id.
14. See id.
the Comment will detail how IHL changes the ways in which Mexico may confront the DTOs within its borders. Mexico may respond to DTOs as enemies in war while DTOs are subject to additional criminal sanctions within the framework of international law. While the U.N. Charter limits the options available to third parties in confronting narco-trafficking, this Comment will show that IHL provides Mexico with considerable latitude in confronting non-state actors operating within its borders.
I. U.N. CHARTER LAW
A. Narcotics and Traditional Concepts of Statehood
According to Hobbes, a state is a contract between citizens and a governing body, whereby citizens transfer power to a "commonwealth" in return for "peace and common defence." 15 More recently, Max Weber defined a state as a "compulsory political association with continuous organization" that has an "administrative staff [which] successfully upholds a claim to the monopoly of the legitimate use of physical force in the enforcement of its order." 16 Legitimate uses of physical force include maintaining law and order within the state, defending against external attacks, caring for the bodily and spiritual welfare of citizens at home, and protecting citizens abroad. 17 A narco-state is created when the prevailing influence of the drug trade has distorted the traditional concept and legitimate functions of statehood. The drug trade affects states differently, however, and it is important to distinguish between two different types of narco-states: pure narco-states and hybrid narco-states.
1. Pure Narco-States
In a pure narco-state, the state is subsumed by the drug trade and the legitimacy of its government is in question. Third-world nations are particularly susceptible to corruption as drug traffickers can offer government officials many times their yearly salary in bribes. 18 High-ranking officials may even become directly involved in the drug trade, such as in Guinea-Bissau where the military is run by known drug traffickers. 19 Pure narco-states distort the principles of statehood in many ways. In a pure narco-state, the social contract is broken through a steady process of corruption that eventually reaches the highest echelons of a state's government. A pure narco-
15. THOMAS HOBBES, LEVIATHAN 109 (Edwin Curley ed., Hackett Publ'g Co. 1994) (1668).
16. MAX WEBER, THE THEORY OF SOCIAL AND ECONOMIC ORGANIZATION 154 (Talcott Parsons ed., Collier-Macmillan Canada, Ltd. 1st paperback ed. 1964).
17. See Alfred von Verdross, Forbidden Treaties in International Law: Comments on Professor Garner's Report on "The Law of Treaties", 31 AM. J. INT'L L. 571, 574 (1937) (listing the minimum functions of a state).
18. See U.N. OFFICE ON DRUGS AND CRIME, WORLD DRUG REPORT 2010, 242 (U.N. Sales No. E.10.XI.13 2010).
19. Id.
state may fulfill some of the basic functions of governance, but only in so far as they advance profits for the de facto government. 20 When the basic functions of governance get in the way of profit, those basic functions will be dropped. 21 A pure narco-state may have a monopoly on the use of force, though Weber's definition of statehood does not apply since the pursuit of illicit profits is not a legitimate use of force. 22
Despite a lack of legitimacy, pure narco-states retain statehood status. Traditional international law holds that states only become extinct in a limited number of circumstances: the state incorporates into another, the state is annexed by another state, the state fuses into one or more other states, or the state is dismembered into smaller units. 23 The transition of a state into a pure narco-state fits none of those categories. Thus, pure narco-states maintain their status as a state, even though they do not conform to any traditional concept of statehood.
2. Hybrid Narco-States
Hybrid narco-states exist when a state's government retains a core of legitimacy, but its resources are overwhelmed by drug-funded non-state actors. Belize serves as an example of a hybrid narco-state. Up to 37% of the cocaine destined for the U.S. passes through the borders of this tiny Central American country. 24 Belize seizes large amounts of cocaine, however, at one time capturing 2.4 tons in a single seizure. 25 Thus despite the huge amount of cocaine passing through its borders, the government of Belize has not been completely subverted by the drug trade and Belize could not be considered a pure narco-state. While there is likely some corruption present, the core of the government still strives to uphold Hobbes's social contract.
Hybrid narco-states may be further distinguished from pure narcostates based on the motives of the drug-traffickers. Unlike a pure narcostate, where the government and drug-traffickers work hand in hand to maximize profit, the drug trade is used in some hybrid narco-states to fuel an insurgency that is actively fighting legitimate government forces. This is the case in Columbia, where the Revolutionary Armed Forces of Colombia (Spanish: Fuerzas Armadas Revolucionarias de Colombia or "FARC") use the sale of cocaine to finance its operations. 26 Other examples include Af-
20. Government involvement in drug trafficking can actually decrease violence since highlevel corruption obviates the need for open conflict. See id. at 244.
21. See id. at 245 ("Any sudden change, whether it be in volumes or players, seems to have the potential to set off a violent competition for opportunity.").
22. See WEBER, supra note 16, at 154.
23. CHIARA GIORGETTI, A PRINCIPLED APPROACH TO STATE FAILURE 52 (2010).
24. U.N. OFFICE ON DRUGS AND CRIME, CRIME AND DEVELOPMENT IN CENTRAL AMERICA 47–48 (U.N. Sales No. B.07.IV.5 2007).
25. Id.
26. WORLD DRUG REPORT 2010, supra note 18, at 71.
ghanistan and Myanmar, where rebel forces are funded by heroin production. 27 While the actions of these rebel groups may be viewed as a domestic and not an international problem, it is important to note that the majority of the drugs produced within a narco-state (hybrid or otherwise) are destined for the international market. 28
Any country heavily afflicted by the drug trade will contain elements of both pure and hybrid narco-states. Hybrid narco-states will often have massive government corruption, 29 while pure narco-states will experience conflict between non-state actors and legitimate, if ineffective, government forces. 30 It is important to keep these categories distinct for the purpose of applying international law, though, and the analysis that follows will address pure and hybrid narco-states as separate categories. 31
B. State Sovereignty
At the outset, the U.N. Charter explains that the U.N. exists "[t]o maintain international peace and security." 32 Specifically, the Charter provides that the U.N. should be engaged "in solving international problems of an economic, social, cultural, or humanitarian character." 33 Based on these goals, it would seem the U.N. Charter would be a perfect tool for confronting narco-states since they are a problem of an economic, social, cultural, and humanitarian character. However, these lofty purposes are in tension with another guiding principle of the U.N. Charter—that of sovereign equality between all member states. 34 To protect this sovereignty, the Charter forbids "the threat or use of force against the territorial integrity or political independence of any state." 35
27. Id. at 232.
28. See id. at 38–39 (explaining that Afghanistan provides 85% of the global heroin supply, though it accounts for only 7% of the actual demand); see also CRIME AND DEVELOPMENT IN CENTRAL AMERICA, supra note 24, at 49 (illustrating that only a small percentage of cocaine flow remains in some transit countries).
29. While accurate figures on government corruption are difficult to track, perception of corruption in public figures ranges from 63% to 77% in Central American countries. CRIME AND DEVELOPMENT IN CENTRAL AMERICA, supra note 24, at 71.
30. In Guinea-Bissau, Tagme na Wai, the head of the army, was killed in an attack that was blamed on the president and, in return, forces loyal to Tagme na Wai attacked the presidential palace and killed the president. WORLD DRUG REPORT, supra note 18, at 243. Though admittedly both groups could be labeled state actors, the men carrying out the attacks were clearly not acting within the apparatus of the state.
31. This article will not attempt the difficult task of determining where a particular state resides on the pure narco-state / hybrid narco-state spectrum. If one wishes to make this determination, relevant factors would include the level of involvement of high-ranking officials and the influence narcotics have on the armed forces. See id. at 244.
32. U.N. Charter art. 1, para. 1.
33. Id. at art. 1, para. 3.
34. Id. at art. 2, para. 1.
35. Id. at art. 2, para. 4.
Because there is no language in the U.N. Charter qualifying the sovereignty of questionably legitimate states, the principle of state sovereignty prevents foreign states affected by the drug trade from using armed force within narco-states in order to combat the international drug trade. The International Court of Justice (ICJ) spoke to the conflict between state sovereignty and crime-fighting efforts in Costa Rica v. Nicaragua. 36 There, Costa Rica instituted proceedings against Nicaragua, asserting that Nicaragua was violating the principle of state sovereignty by sending armed forces into its territory. 37 Nicaragua disputed the allegation that it had crossed any territorial lines. 38 It also argued that it was necessary to place security forces in the disputed territory in order to combat drug trafficking in the area. 39 The ICJ recognized the need to prevent crime, but forbade both parties from sending security forces into the disputed territory. 40 Thus, state sovereignty took precedence over crime prevention, even when ownership of the targeted territory was in dispute.
In most cases, narco-states will be protected by clear borders and the argument for state sovereignty will be even stronger. This is especially true in the case of pure narco-states, where the cartel acting as the de facto government is directly protected by state sovereignty. The drug cartels in hybrid narco-states will also be protected by state sovereignty unless the legitimate government of the host state explicitly invites third-party intervention. 41 Even if a host state invites third-party intervention, it may be rescinded, as was demonstrated in 2008 when President Morales expelled the U.S. Drug Enforcement Agency from Bolivia. 42 Because the Charter specifically prevents the U.N. from intervening "in matters which are essentially within the domestic jurisdiction of any state," 43 governments in a narco-state may claim that the issue is domestic and thus outside the scope of the U.N.'s authority.
C. The Security Council
According to Chapter VII of the U.N. Charter, the Security Council may take action when it determines there is a "threat to the peace, breach of
36. Certain Activities Carried Out by Nicaragua in the Border Area (Costa Rica v. Nicar.), 2011 I.C.J. 150, ¶ 78 (Mar. 8) (Order), available at http://www.icj-cij.org/docket/files/150/16324. pdf.
37. Id. ¶ 2. Costa Rica made other allegations, though they are not relevant to the discussion here.
38. Id. ¶ 70.
39. Id. ¶ 72.
40. Id. ¶¶ 78, 86.
41. See Sylvain Vit´e, Typology of Armed Conflicts in International Humanitarian Law: Legal Concepts and Actual Situations, 91 INT'L REV. RED CROSS 69, 72 (2009).
42. Country watchlist: Bolivia, ECONOMIST INTELLIGENCE UNIT – BUS. LATIN AM., Nov. 10, 2008, at 13.
43. U.N. Charter art. 2, para. 7.
the peace, or act of aggression." 44 Acceptable measures include the imposition of sanctions, 45 and "such action by air, sea, or land forces as may be necessary to maintain or restore international peace and security." 46 Except for a limited exception discussed below, the Security Council is the only venue the U.N. Charter provides for countries that wish to use force in response to a threat.
Unfortunately, the Security Council is unlikely to become an effective component in the international war on drugs. First, sanctions against narcostates would be useless. In the case of a pure narco-state, the majority of the government's funding comes from smuggling illegal goods and any further ban on trade would be moot. For similar reasons, non-state actors in a hybrid state would be unaffected by sanctions. Additionally, in hybrid narcostates such as Belize, the sanctions could have the effect of punishing a legitimate government. The Security Council has the power to authorize the use of force, but since the end of the Cold War, it has rarely done so. 47 Even when the Security Council has acted, its response has been sluggish and poorly implemented, as was shown in Somalia, Yugoslavia, and Rwanda. 48 Because narco-states adapt quickly in the face of challenge, 49 it is unlikely the Security Council will provide an effective response to the problems they pose.
D. The Right of Self-Defense
Article 51 of the U.N. Charter allows self-defense if "an armed attack occurs against a Member of the United Nations." 50 This right does have limitations, however. First, the right to self-defense may not be used when "the Security Council has taken measures necessary to maintain international peace and security." 51 In other words, the Security Council of the United Nations may preempt a state's ability to deal with a perceived threat. Other requirements in the use of self-defense include necessity, proportionality, and immediacy. 52 The exact threshold as to when a state has the right to respond with force according to Article 51 has not been settled, but it is unlikely one can aggregate small incidents in order to trigger the right to respond with force in self-defense. 53
44. Id. at art. 39.
45. Id. at art. 41.
46. Id. at art. 42.
47. GIORGETTI, supra note 23, at 166.
48. Id. at 170; NOAM LUBELL, EXTRATERRITORIAL USE OF FORCE AGAINST NON-STATE ACTORS 44 (2011).
49. WORLD DRUG REPORT 2010, supra note 18, at 245.
50. U.N. Charter, art. 7, para. 51.
51. Id.
52. LUBELL, supra note 48, at 43–44.
53. Id. at 50, 53.
Pure narco-states are unlikely to risk a profitable enterprise by attacking a foreign state on a scale that would trigger the right to self-defense. Pure narco-states may intimidate or kill citizens of a foreign state and the drugs which they distribute may damage another country's social landscape, but this is not enough to trigger the right to self-defense. As an example, in 1988, the U.S. began planning an invasion of Panama. 54 The purpose of this invasion was ostensibly to apprehend Manual Noriega, a former intelligence officer who had risen to power and who had cultivated ties with known Columbian drug traffickers. 55 When the Security Council considered whether it should pass a resolution condemning the subsequent U.S. invasion of Panama, the U.S. argued that its invasion of Panama was an act of self-defense, triggered by the killing of a serviceman, the terrorizing of a U.S. military couple, and the intimidation and instability engineered by Noriega. 56 The U.S. ambassador also described Noriega's "first deal with narcotic peddlers" as an act of war due to the deleterious effects of drugs on the nation's youth. 57 The resolution condemning the U.S. invasion of Panama received ten favorable votes out of fourteen. 58 This lack of support for a broad interpretation of Article 51 renders it unlikely that the right to self-defense could be extended to cover the problems created by pure narco-states.
Because conflict is more likely without high-level corruption, 59 nonstate actors in hybrid narco-states may engage in acts of violence that could reach the threshold of triggering self-defense under Article 51. The ICJ has ruled that self-defense may not be invoked in response to a non-state actor, 60 though the Court in later cases raised questions about this ruling. 61 Given state practice and the rising prevalence of non-state actors on the world stage, as well as the events of September 11, 2001, it would seem Article 51 would apply to armed attacks by non-state actors. 62 Regardless, this issue is still unresolved. 63 Due to the lack of legal certainty and the high threshold to trigger its application, Article 51 provides a poor remedy for
54. RONALD H. COLE, OPERATION JUST CAUSE: THE PLANNING AND EXECUTION OF JOINT OPERATIONS IN PANAMA 7 (1995).
55. Id. at 6, 7. Panama was also considered an essential military asset because the Panama Canal would allow naval ships to move quickly between the Pacific and Atlantic in the event there was a conflict in Western Europe or the Middle East. Id. at 5.
56. U.N. SCOR, 45th Sess., 2902d mtg. at 9–10, U.N. Doc. S/PV.2902 (1989).
57. Id.
58. Id. at 18–20. The four votes in opposition were all veto votes, however, rendering the resolution moot. Id.
59. WORLD DRUG REPORT 2010, supra note 18, at 244.
60. Legal Consequences of the Construction of a Wall in the Occupied Palestinian Territory, Advisory Opinion, 2004 I.C.J. 136, ¶ 139 (July 9, 2004).
61. LUBELL, supra note 48, at 33.
62. Id. at 34.
63. Id.
countries looking to implement armed forces in response to non-state actors in hybrid narco-states.
Narco-states present a unique challenge for the international community. They are a distortion of traditional statehood and they present tremendous obstacles to legitimate state objectives. Though it is posited as a document designed to promote international peace and security, the U.N. Charter creates numerous obstacles for countries looking to employ all necessary means to combat drug trafficking. Thus, to develop a legal framework that could provide that basis for a military intervention in a narcostate, countries must look elsewhere.
II. INTERNATIONAL HUMANITARIAN LAW
As demonstrated above, the U.N. Charter does not provide state actors with effective tools to confront Drug Trade Organizations (DTOs) outside their borders. Fortunately, few countries are pure narco-states and even those with a substantial drug trade still have a legitimate core to their government. In these situations, the legitimate governments of hybrid narcostates may represent the best opportunity for reducing drug-trafficking. These countries may resort to their domestic laws to confront drug-traffickers, but there is another body of law that applies to all states. Called International Humanitarian Law (IHL), or alternately the law of war, this body of law is derived from the customary practices of nations and has been codified to some extent in the Geneva Conventions and its related protocols. IHL determines the ability of the state-actor to respond to threats and, when a situation rises to the level of an armed conflict, IHL grants the state-actor broad latitude in dealing with those threats.
This part will use Mexico as an example of a hybrid narco-state torn by drug-fueled violence but which has a legitimate government that is opposed to the drug trade. Because it is plagued by violence but is still involved in the fight to end drug trafficking, Mexico serves as an ideal example of a hybrid narco-state that would benefit from the application of IHL. This part will start with an examination of the DTOs functioning in Mexico along with some explanation of the effects they have had on the country. It will then examine the sources of IHL including some of the treaty law as well as customary international law. Then this part will apply IHL, specifically the law of non-international armed conflict, to the conflict between state actors and DTOs. Finally, this part will show how IHL provides Mexico with the right to use military action to confront DTOs, subject to certain limitations.
A. The Conflict with DTOs in Mexico
1. Organization of DTOs
Before evaluating the framework of law that applies to the conflict in Mexico, it is useful to examine the actors involved. While the Mexican government is clearly a state actor, the categorization of DTOs is not so easy. State actors are defined by their relationship to a state government and are either a direct branch of the government or an organization that is controlled by the government. 64 Though DTOs occasionally work with other DTOs, they are independent organizations and, as independent organizations, they are not part of a branch of government nor is there any sign that they are controlled by a state-actor. 65 For these reasons, DTOs should be qualified as non-state actors.
Currently, there are seven major DTOs operating in Mexico. 66 These DTOs have elements of organized crime, such as organizing into distinct branches with subordinate cells that operate throughout Mexico and the U.S. 67 DTOs that were once hierarchical and vertical organizations are becoming multi-nodal and horizontal in structure, some operating with independent cell-like structures. 68 Mexican DTOs focus only on wholesale distribution of drugs, leaving retail sales to localized street gangs. 69 In addition to drug trafficking, Mexican DTOs have ties to human trafficking, arms smuggling, auto theft, and kidnapping. 70 To accomplish their goals, DTOs use a combination of violence and bribery. 71
2. Specific Mexican DTOs
The Sinaloa DTO is currently the dominant DTO and is estimated to control up to 45% of the drug trade in Mexico. 72 The Sinaloa cartel gained this position after wresting the Gulf Cartel, the previously dominant cartel, from its seat of power in 2003. 73 Sinaloa has a de-centralized structure of linked smaller organizations. 74 While this means that it is more prone to internal conflict, this loose structure allows it to adapt more rapidly to the
64. See LUBELL, supra note 48, at 15.
65. See COLLEEN W. COOK, CONG. RESEARCH SERV., RL 34215, MEXICO'S DRUG CARTELS 1 (2007).
66. Id.
67. Id. at 4–5.
68. BEITTEL, supra note 9, at 18.
69. COOK, supra note 65, at 6.
70. Id.
71. BEITTEL, supra note 9, at 4.
72. Id. at 8; see Richard Marosi, Unraveling Mexico's Sinaloa Drug Cartel, L.A. TIMES, July 24, 2011, http://articles.latimes.com/2011/jul/24/local/la-me-cartel-20110724 (describing the Sinaloa drug cartel as "Mexico's most powerful organized crime group").
73. Marosi, supra note 72.
74. BEITTEL, supra note 9, at 6.
highly competitive and unstable drug market. 75 More so than the other DTOs, Sinaloa is regarded as having an international presence stretching throughout South America, Europe, and West Africa. 76 Along with other major DTOs, Sinaloa has employed armed groups to conduct assassinations and kidnappings and to collect payments. 77
The Zetas were once employed by the Gulf Cartel to provide enforcement and security. 78 Originally formed by officers who deserted from the Mexican Special Forces in the late 1990s, 79 the Zetas have expanded to include former federal, state, and local law enforcement personnel. 80 The Zetas operate as a private army and were among the first criminal groups in Mexico to employ military tactics and heavy weapons, including fifty-caliber machine guns, grenade launchers and ground-to-air missiles. 81 In 2009, the Zetas splintered off from their former employers and became an independent DTO. 82 The Zetas have since been involved in back and forth battles with the Gulf Cartel as the Gulf Cartel struggles with a lack of consistent leadership. 83 In addition to the usual abductions and murders, the ensuing battle has created an environment of urban warfare with commando-style raids on state prisons, attacks on military posts, and blockades of major roads. 84
Perhaps the strangest DTO is La Familia Michoacana (LFM). LFM started as a vigilante group before it moved on to methamphetamine production and smuggling. 85 It also traffics in cocaine, marijuana, and heroin. 86 LFM is known for its use of extreme symbolic violence and the pseudoideological or religious justifications for its actions. 87 It has therefore been described as "a hybrid fusion of criminal drug enterprise entity and Christian evangelical beliefs." 88 LFM has donated food and medicine to the
75. Id.
76. Id. at 9.
77. COOK, supra note 65, at 6, 8.
78. Jeremy Roebuck, Gulf Cartel, Zetas gang up on each other as their arrangement dies, authorities say, THE MONITOR, Mar. 9, 2010, available at http://usmexico.blogspot.com/2010/03/ violence-result-of-fractured.html (last visited Jan. 30, 2013).
79. COOK, supra note 65, at 7.
80. Id. at 7.
81. Corey Flintoff, A Look at Mexico's Drug Cartels, NPR (Apr. 16, 2009), http://www.npr. org/templates/story/story.php?storyId=103178523.
82. BEITTEL, supra note 9, at 10.
83. Roebuck, supra note 78.
84. BEITTEL, supra note 9, at 10.
85. Id. at 11.
86. Id. at 12.
87. Id.
88. Id. (quoting Robert J. Bunker & John P. Sullivan, Cartel Evolution Revisited: Third Phase Cartel Potentials and Alternative Futures in Mexico, 21 SMALL WARS & INSURGENCIES 30, 45 (2010)).
poor. 89 Despite these good deeds, though, LFM is considered Mexico's most violent DTO and often uses the same techniques as the Zetas. 90
3. Mexico's Response
The horror story described in the Introduction is by no means an isolated event. In January 2010, fifteen people, mostly teenagers, were killed at another private party in Ciudad Ju´arez. 91 In August 2010, seventy-two migrants passing through Mexico were massacred after they refused to transport drugs. 92 Overall, between 2006 and 2011, 45,515 people were killed in Mexico as a result of organized crime and drug trafficking. 93 This number includes 15,273 murders in 2010 alone. 94 Included in that figure are twelve Mexican mayors and a gubernatorial candidate. 95 The Mexican government reports that 90% of the casualties comprise individuals involved in the drug trade, though this figure has been questioned. 96 Though DTO activity has been highly concentrated along drug-trafficking routes and in a small percentage of Mexican cities, DTO-related violence goes far beyond that associated with conventional organized crime. 97
Most DTO-murders go unsolved because Mexican authorities lack the investigative capacity to solve drug murders. 98 Mexican forces managed 27,000 arrests in 2010, 99 though arrests of DTO members only have a 1–2% chance of leading to a conviction. 100 Some observers already consider parts of Mexico to be lost to DTO control, 101 and public opinion polls suggest that 49–59% of Mexican citizens believe that DTOs are winning the drug war. 102
Former Mexican President Felipe Calder´on acknowledged the dangers that DTOs pose and called drug violence a threat to the Mexican state. 103 To deal with this problem, he deployed more than 50,000 military personnel
89. Id.
90. Id.
91. Torres, supra note 8.
92. BEITTEL, supra note 9, at 1.
93. Lourdes Cardenas, Mexico's Decision 3-day Series: Combating Cartels Top Priority for New Leader, EL PASO TIMES, June 26, 2012, http://www.elpasotimes.com/news/ci_20937917/ combating-cartels-top-priority-new-leader; see Sara Miller Llana, Mexico Drug War Death Toll Up 60 Percent in 2010. Why?, CHRISTIAN SCI. MONITOR, Jan. 13, 2011, http://www.csmonitor. com/World/Americas/2011/0113/Mexico-drug-war-death-toll-up-60-percent-in-2010.-Why.
94. Miller Llana, supra note 93.
95. BEITTEL, supra note 9, at 1.
96. Id. at 13.
97. Id. at 13, 25.
98. See COOK, supra note 65, at 15.
99. Miller Llana, supra note 93.
100. BEITTEL, supra note 9, at 25–26.
101. Id. at 2.
102. Id. at 23; Miller Llana, supra note 93.
103. COOK, supra note 65, at Summary.
to confront DTOs. 104 Calder´on's supporters maintained that a military-led response was necessary to confront DTOs who are themselves armed with powerful assault weapons. 105 This view is backed by the public, of which 80% still believe that a military-led response is necessary to deal with the DTOs. 106 The U.S. has supplied the Mexican government with $1.6 billion in aid through the M´erida Initiative, a program designed by the Bush Administration and continued by President Obama that provides the Mexican government with helicopters, surveillance aircraft, and communications technology. 107
Current Mexico president, Enrique Pe˜na Nieto, has indicated that he would place less reliance on a military response to DTOs than former President Calder´on. 108 Instead, he has proposed a soldier-officer police force he calls a "national gendarmerie," though most consider this to be no different than the forces used by President Calder´on. 109 A different uniform for government officers will have little impact on the de facto drug war taking place in Mexico's streets. Not surprisingly, analysts expect Mexico to continue its efforts to stamp out DTO-related violence, regardless of whether this effort is led by a civilian police force, the military, or something in between. 110
B. Sources of International Humanitarian Law
International Humanitarian Law is a subset of international law. 111 IHL governs states engaged in armed conflict and it is meant to protect persons not engaged in combat as well as limiting the ways in which wars are fought. 112 While it is derived from ancient practices and religion, its universal codification began in the nineteenth century when, at the request of President Abraham Lincoln, Francis Lieber drafted what became known
104. BEITTEL, supra note 9, at 2, 18.
105. Id. at 19–20.
106. Cardenas, supra note 93.
107. BEITTEL, supra note 9, at 32; Erin Kelly, Mexican Election May Change How War on Drugs is Fought, ARIZ. REPUBLIC, Mar. 9, 2012, at A1 [hereinafter Mexican Election].
108. Mexican Election, supra note 107; Tim Padgett, Mexico's PRI-vival: How Big a Gamble are Voters Taking?, TIME, June 29, 2012. Nieto was elected as president of Mexico on July 2, 2012, a result that has been confirmed by Mexico's electoral tribunal despite challenges to the election by his biggest rival, Andres Manuel Lopez Obrador. Lizbeth Diaz, Mexico's Pena Nieto Confirmed President-Elect, Rival Defiant, CHI. TRIB., Aug. 31, 2012, http://articles.chicagotribune.com/2012-08-31/news/sns-rt-us-mexico-electionbre87u156-20120831_1_mexico-s-penanieto-cement-and-livestock-congress-over-economic-reforms.
109. Padgett, supra note 108.
110. Mexican Election, supra note 107.
111. INT'L COMM. OF THE RED CROSS ADVISORY SERV., THE DOMESTIC IMPLEMENTATION OF INTERNATIONAL HUMANITARIAN LAW: A MANUAL 13 (2011) [hereinafter IHL MANUAL].
112. See id.
as the Lieber Code. 113 This codification of IHL later culminated in the four Geneva Conventions of 1949 which define a significant amount of IHL. 114 There were several later additions to the Geneva Conventions, called Additional Protocols. 115 Additional Protocols I and II were developed in 1977 to protect victims of armed conflict and Additional Protocol III was developed in 2005 to codify the rules surrounding the use of a distinctive emblem by armed forces. 116
States are only bound to treaties they have ratified, however, so IHL would be incomplete if it only consisted of treaty law. 117 Instead, IHL is complimented by what is known as customary international law. 118 Customary international law is formed by state practice and, in many cases, is more expansive than existing treaty law. 119 Customary international law has also expanded to include non-international armed conflict. 120 Unlike treaty law, all states are expected to abide by customary international law. 121 Modern IHL is thus composed of a complex patchwork of treaties, case law from international tribunals and national courts which have tackled international issues, and customary international law as defined by state practice. 122
C. Application of IHL to Mexico's conflict with DTOs
Customary international law holds that IHL applies whenever there is an armed conflict. 123 Determining whether there is an armed conflict depends on the facts on the ground as opposed to a formal declaration of
113. 1 JEAN-MARIE HENCKAERTS & LOUISE DOSWALD-BECK, INT'L COMM. OF THE RED CROSS, CUSTOMARY INTERNATIONAL HUMANITARIAN LAW xxxi (Reprinted with corrections 2009).
114. IHL MANUAL, supra note 111, at 13.
115. Id.
116. Id.
117. Convention on the Law of Treaties art. 34, May 23, 1969, 1155 U.N.T.S. 331 ("A treaty does not create either obligations or rights for a third State without its consent."); HENCKAERTS & DOSWALD-BECK, supra note 113, at xxxiv ("Treaties apply only to the States that have ratified them.").
118. See HENCKAERTS & DOSWALD-BECK, supra note 113, at xxxiv–xxxv.
119. Id. at xxxv.
120. Id.
121. See Statute of the Int'l. Court of Justice, art. 38, available at www.icj-cij.org/documents/ index.php?p1=4&p2=2&p3=0#CHAPTER_II ("The Court . . . shall apply . . . the general principles of law recognized by civilized nations.").
122. See Vit´e, supra note 41, at 70–73 (providing background on various treaties and case law regarding war and international conflict).
123. See, e.g., Convention (IV) Relative to the Protection of Civilian Persons in Time of War art. 2, Aug. 12, 1949, 6 U.S.T. 3516 [hereinafter Fourth Geneva Convention] ("[T]he present Convention shall apply to all cases of declared war or of any other armed conflict."); Legality of the Threat or Use of Nuclear Weapons, Advisory Opinion, 1996 I.C.J. 226, 240 ¶ 25 (July 8,1996) [hereinafter Legality of Nuclear Weapons] (making "reference to the law applicable in armed conflict."); HCJ 769/02 Public Committee Against Torture in Israel v. State of Israel [2005] HCJ 769/02, ¶ 18 (Isr.) [hereinafter Public Committee Against Torture] ("[H]umanitarian law . . . applies in the case of an armed conflict.").
war. 124 An armed conflict exists whenever there is a resort to armed force between states or "protracted armed violence between governmental authorities and organized armed groups or between such groups within a State." 125 IHL thus distinguishes between armed conflict involving two states (international armed conflict), and conflict between a state actor and a non-state actor (non-international armed conflict). 126 Therefore, before IHL would apply to the situation in Mexico, there must be an international armed conflict or a non-international armed conflict.
1. International Armed Conflict
The traditional definition of war envisioned state actors involved in a military struggle. 127 This rule still applies in modern IHL, though the term "war" has been replaced with international armed conflict. 128 In the case of two conflicted states, international armed conflict takes place whenever military actors in one state are deliberately hostile to another state. 129 International case law suggests that foreign military intervention that only indirectly affects an independent internal armed conflict is sufficient to render that conflict international. 130 International armed conflict has some important limits to its application, however.
Conflict with a non-state actor only becomes an international conflict if certain conditions are met. 131 Conflict with a non-state actor only becomes internationalized when a third-party state assists non-state actors in attacking a legitimate state actor. 132 Conflict does not become internationalized when a third-party state intervenes on behalf of and with the permission of the legitimate state actor. 133 When a third-party state's involvement has internationalized a conflict, IHL case law has placed an emphasis on third-party involvement that consists of coordination and supervision. 134
124. Vit´e, supra note 41, at 69, 72.
125. Prosecutor v. Tadic, Case No. IT-94-1-I, Decision on the Defence Motion for Interlocutory Appeal on Jurisdiction, ¶ 70 (Int'l Crim. Trib. for the Former Yugoslavia Oct. 2, 1995) [hereinafter Tadic Appeal].
126. See Fourth Geneva Convention, supra note 123, at art. 2–3.
127. See LUBELL, supra note 48, at 94–95 ("Any difference arising between two States and leading to the intervention of armed forces."); see also James G. Stewart, Towards a Single Definition of Armed Conflict in International Humanitarian Law: A Critique of Internationalized Armed Conflict, 85 INT'L REV. RED CROSS 313, 316–17 (2003) (explaining the Geneva Convention of 1949 purposefully distinguished between inter-State conflict and internal conflict).
128. See, e.g., Fourth Geneva Convention, supra note 123, at art. 2; LUBELL, supra note 48, at 94.
129. LUBELL, supra note 48, at 95; Vit´e, supra note 41, at 72–73.
130. Stewart, supra note 127, at 328.
131. Vit´e, supra note 41, at 72–73.
132. See Prosecutor v. Tadic, Case No. IT-94-1-A, Judgment, ¶ 156 (Int'l Crim. Trib. for the Former Yugoslavia July 15, 1999) [hereinafter Tadic Judgment].
133. Vit´e, supra note 41, at 73.
134. Tadic Judgment, supra note 132, ¶ 156.
This creates a high bar for international armed conflict that rules out many situations of combat that do not explicitly involve state actors.
The situation in Mexico would not qualify as an international armed conflict. DTOs are not allied with any state, nor is there any indication that they act on another state's behalf. Even the involvement of the U.S. in the form of financial assistance and manpower does not internationalize the conflict because it is done with Mexico's permission. 135 The purchase of narcotics from DTOs by third-party state actors would also not internationalize the conflict. While the sale of narcotics finances DTO operations, this third-party assistance does not involve coordination and supervision of DTO activities. Thus it is unlikely that third-party states could internationalize the conflict by purchasing narcotics from DTOs. 136 Because DTOs are acting on behalf of third-party states, because U.S. involvement in the fight against DTOs is accomplished with Mexico's approval, and because thirdparty actors trading in narcotics do not have supervision or control over DTOs, the conflict in Mexico does not qualify as an international armed conflict.
2. Non-International Armed Conflict
The Additional Protocols to the Geneva Conventions extended the concept of armed conflict so that IHL may be applied to non-international conflicts. 137 In particular, Additional Protocol II expanded the definition of armed conflict to cover conflicts between a state and militarized non-state actors. 138 Internal disturbances, such as riots and isolated, sporadic acts of violence, are not meant to fall within the ambit of Additional Protocol II. 139 While Mexico has not ratified Additional Protocol II, 140 Additional Protocol II's rules regarding non-international armed conflict have become part of customary IHL. 141 As explained above, every state is expected to abide by customary IHL regardless of which treaties a state has chosen to ratify. 142 Thus, Mexico is bound by Additional Protocol II's regulations of non-international armed conflict.
135. See Vit´e, supra note 41, at 73.
136. See Tadic Judgment, supra note 132, ¶ 156.
137. Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims of International Armed Conflicts (Protocol I), art. 1(3)–1(4), June 8, 1977, 1125 U.N.T.S. 3 [hereinafter Additional Protocol I]; Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims of Non-International Armed Conflicts (Protocol II), art. 1(1), June 8, 1977, 1125 U.N.T.S. 609 [hereinafter Additional Protocol II].
138. Additional Protocol II, supra note 137, at art. 1(1).
139. Id. at art. 1(2).
,
140. International Humanitarian Law – State Parties / Signatories, INT'L COMM. RED CROSS http://www.icrc.org/ihl.nsf/WebSign?ReadForm&id=475&ps=P (last visited May 6, 2011).
141. Tadic Appeal, supra note 125, ¶ 117.
142. See supra Part II.B.
There are two requirements to determine whether a situation qualifies as non-international armed conflict. First, the conflict must involve protracted armed violence. 143 Second, the forces involved must be sufficiently organized. 144 Determining whether these requirements have been met is difficult, though. Every time a court examining IHL has examined an internal conflict, it has found there was a non-international armed conflict. 145 So there is no bright line between a situation in which IHL applies and one in which the violence does not rise to the requisite level or in which the nonstate actor is insufficiently organized. Because there is no contrasting case law, additional factors are useful in determining whether there is a noninternational armed conflict. These factors include the duration of hostilities and whether a normal police response is adequate to restore peace and security. Some scholars have also suggested that non-state actors must have an ideological or political agenda, though this is of debatable significance. In sum, these factors all tend to show that the conflict between the Mexican government and DTOs qualifies as a non-international armed conflict to which IHL applies.
a. Threshold of Violence
The violence of a given conflict must reach a certain threshold, otherwise IHL does not apply. 146 The violence at stake must be high enough to set the conflict apart from internal tensions or disturbances. 147 Some legal scholars have set the threshold application of Additional Protocol II at or near the level of a full-scale civil war; a situation which few countries are willing to admit exists within their borders. 148 As indicated above, though, IHL has not recognized a situation where the violence is so low that the situation does not qualify as armed conflict. 149 So it's unclear at which point there is not enough violence for a situation to qualify as a non-international armed conflict.
Between 2006 and 2011, 45,515 people were killed in Mexico as a result of organized crime and drug trafficking. 150 One could argue that this figure is inflated because it includes the deaths of DTO members. International tribunals examining non-international armed conflict, however, have
143. Tadic Appeal, supra note 125, ¶ 70; Vit´e, supra note 41, at 76.
144. Tadic Appeal, supra note 125, ¶ 70; Vit´e, supra note 41, at 76.
145. Vit´e, supra note 41, at 77.
146. Theodor Meron, The Humanization of Humanitarian Law, 94 AM. J. INT'L L. 239, 260 (Apr. 2000) ("Conflicts involving lower-intensity violence that do not reach the threshold of an armed conflict are implicitly distinguished from noninternational armed conflicts.").
147. Vit´e, supra note 41, at 79.
148. Meron, supra note 146, at 261 (citing Minimum Humanitarian Standards: Analytical Report of the Secretary-General Submitted Pursuant to Commission on Human Rights Resolution 1997/21, UN Doc. E/CN.4/1998/87, para. 79 (1998)).
149. See Vit´e, supra note 41, at 77.
150. Cardenas, supra note 93.
not discounted the deaths of non-state actors participating in the violence. 151 Even if they did, though, that still means more than 4,500 civilians and security personnel have been killed in a four year period using the questionable estimates provided by the Mexican government. 152 In comparison, the Israeli Supreme Court held that Israel was involved in a non-international armed conflict with terrorists when that conflict resulted in the deaths of 900 Israelis, thousands of Palestinians, and wounded thousands on both sides. 153
Of course, no crude comparison of human suffering will yield a clear answer as to whether there is a non-international armed conflict, but formal sources of IHL have yet to find a situation in which the level of violence is too low for the struggle to qualify as non-international armed conflict. If a court were to find that not enough people have died in Mexico, it would be a first in international law. Such a precedent would set the threshold of violence exceedingly high and prevent the application of IHL in future cases when a conflict had the potential to affect tens of thousands of lives. This result would be directly contrary to the main goal of IHL which is to minimize the impact of violence during times of conflict. 154 Thus, the level of violence in Mexico should allow for the application of IHL, a result that is consistent with the other factors.
b. Organization of the Non-State Actor
Another requirement of non-international armed conflict is that the non-state actor must be comprised of sufficiently organized forces, 155 though the exact level of organization required is not clear. 156 Some scholars have suggested that the non-state actors must be under responsible, identifiable authority and must be clearly distinguishable from civilians. 157 "Responsible authority" does not mean that the authority in question is acting responsibly. Rather, it means that the armed forces are subject to a system of internal discipline that makes it possible to enforce the law of armed conflicts. 158
The requirement of responsible authority makes eminent sense—if IHL is to apply to a conflict, then parties to the conflict should be capable of conforming to the rules mandated by IHL. If an organization does not
151. See, e.g., Public Committee Against Torture, supra note 123, ¶ 16.
152. See BEITTEL, supra note 9, at 22 (explaining that the Mexican government said more than 90% of those killed were involved with the activities of the DTOs).
153. Public Committee Against Torture, supra note 123, ¶ 16. Granted, that situation qualified as an international armed conflict, but because it demonstrated a conflict between state actors and non-state actors, it provides a useful yardstick.
154. IHL MANUAL, supra note 111, at 13.
155. Tadic Appeal, supra note 125, ¶ 70; Vit´e, supra note 41, at 76.
156. See Vit´e, supra note 41, at 77.
157. Stewart, supra note 127, at 345.
158. Id. at 346.
have the capability to control their members because of insufficient organization, it does not matter whether IHL applies because members are in essence acting as free agents. Along the same lines, the presence of responsible authority allows international tribunals to identify and punish leaders who have violated IHL. On the other hand, placing too much emphasis on whether the authority is identifiable or whether the forces are clearly distinguished from the civilian population ignores the essential reality of many conflicts involving non-state actors. Despite their variance in structure, Mexico's major DTOs fulfill the organizational requirement. Some, such as the Zetas, have a rigid, hierarchical command structure which clearly suffices. 159 Others, such as the Sinaloa DTO are less organized, with a decentralized structure. 160
This lack of organization should not prevent the Sinaloa and similar DTOs from qualifying as an organized armed group, however. First, Sinaloa and similar DTOs are growing, profitable businesses and all businesses, even illicit ones, must have a certain level of structure in order to grow and be profitable. 161 Second, disqualifying Sinaloa as an organized, armed group would also disqualify the application of IHL to conflicts involving terrorists and insurgent groups with a similar de-centralized structure. This result would be inconsistent with existing IHL, which has found that terrorist groups may be a party to an armed conflict. 162 Finally, though it is decentralized, Sinaloa does have means to enforce discipline. While the discipline employed would likely be violent, Sinaloa could require its members to conform to the laws of armed conflict. Thus, even decentralized DTOs like Sinaloa have enough organization to qualify as a party to a noninternational armed conflict.
c. Duration of the Conflict
International courts and IHL case law indicate that violence must be protracted for IHL to apply. 163 Again, this is a difficult threshold to define with any certainty because formal sources of IHL have yet to find a situation where the violence has not persisted long enough for the struggle to
159. Flintoff, supra note 81.
160. BEITTEL, supra note 9, at 6.
161. See Brian Hill, The Importance of a Good Organizational Structure, CHRON.COM, http:// smallbusiness.chron.com/importance-good-organizational-structure-3792.html (last visited May 6, 2011).
162. See LUBELL, supra note 48, at 112–21. Lubell comes to the conclusion that, on the world stage, Al-Qaeda cannot be considered a party to an armed conflict, but could be a party to an armed conflict in Afghanistan. See id. at 119–21. This does not change the article's analysis since the battle against DTOs more closely resembles the war in Afghanistan as opposed to the global war on terror. Both conflicts share features of localized violence, clear if diffuse organization of the non-state actors, and a greater distinction between belligerents and civilians than that found in the global war on terror. See id.
163. Vit´e, supra note 41, at 82; Tadic Appeal, supra note 125, ¶ 70.
qualify as non-international armed conflict. 164 For the sake of example, though, the International Criminal Tribunal of Yugoslavia found there was a protracted armed conflict where fighting lasted four years. 165 The Israeli Supreme Court found there was protracted armed violence between the state and terrorist figures where the fighting lasted for three years. 166
In comparison, DTOs have functioned in Mexico for more than a century, with violence increasing dramatically since the 1980s. 167 Even if one were only to count the last four years that violence has reached unprecedented levels, this is enough to qualify as "protracted violence" under IHL. 168 A comparison here is easier to make than the comparison to determine whether the violence has reached a necessary threshold. 169 A comparison of lives lost from one situation to the next may be challenged by examining the number of deaths relevant to the population or asking whether those killed were innocent civilians or participants in the violence. 170 A comparison of duration is the same anywhere, though, and three or four years of fighting in Israel or Yugoslavia lasts as long as three or four years of fighting in Mexico. Thus, the length of the conflict in Mexico is consistent with the application of IHL.
d. Inadequacy of a Normal Police Response
Another factor suggested by legal scholars that would tend to show an armed conflict would be the inadequacy of normal police forces in maintaining peace and security. 171 This is especially true when the state is confronting organizations with military capabilities that exceed those of state actors. 172 It is axiomatic in international law that one of the basic functions of a state is to provide peace and security for its citizens and to maintain a monopoly on the legitimate use of force. 173 If a state's normal police forces are insufficient to combat organized armed groups, resort to the laws of armed conflict may be the only way for a state to maintain its legitimacy. This was envisioned by the drafters of Additional Protocol II, who looked
```
164. See Vit´e, supra note 41, at 77. 165. See Tadic Appeal, supra note 125, ¶ 70. 166. Public Committee Against Torture, supra note 123, ¶ 16. 167. See BEITTEL, supra note 9, at 3, 5. 168. See Tadic Appeal, supra note 125, ¶ 70.
```
169. See supra Part II.C.2.a.
170. Neither of these factors is considered relevant by international bodies when determining whether the threshold of violence is enough to qualify as non-international armed conflict. See, e.g., Tadic Appeal, supra note 125, ¶ 70; Public Committee Against Torture, supra note 123, ¶ 16. Instead these factors are addressed here to show that it is easier to find that the duration of violence is indicative of an armed conflict than it is to do the same using the level of violence.
171. Vit´e, supra note 41, at 76.
172. Public Committee Against Torture, supra note 123, ¶ 21.
173. Verdross, supra note 17, at 574 (listing the minimum functions of a state); WEBER, supra note 16, at 154.
to apply the law of armed conflict when an organized non-state actor exercised military control over state territory. 174
Given the current conditions of the conflict and the escalating violence, Mexico would seem to provide a prime example of a situation where its normal police forces are inadequate. Mexico's DTOs have challenged the state's monopoly on the use of force and rule of law. 175 As indicated above, some observers already consider parts of Mexico to be lost to DTO control. 176 Even if Mexico improved its police force and reduced corruption, it is unclear whether it would have the capability to directly confront DTOs armed with military hardware and tactics. 177 Thus, to treat Mexico's government confrontation with DTOs as an internal police matter would ignore the inability of its police forces to maintain peace and security and would, in turn, threaten the Mexican government's ability to maintain its legitimacy.
e. Ideological or Political Motive
Some legal scholars have considered that a non-international armed conflict requires that the non-state actor have a political or ideological motive. 178 This would rule out groups of a purely criminal nature. 179 In particular, Noah Feldman has distinguished several criteria that determine whether the law of war (i.e. IHL) applies, two of which, intent and identity, imply a political motive requirement. 180 According to him, the actor's identity is important because "[o]ur intuition tells us that states make wars and individuals commit crimes." 181 Feldman also examines the intent of the actor, finding that one who commits war intends to challenge the legitimacy of the state, whereas a criminal "does not deny the state's legitimate right to enact the law that he violates." 182
The political component is of negligible importance, however, when attempting to determine whether the conflict with DTOs qualifies as noninternational armed conflict. First, there is no clear indication for this re-
174. Stewart, supra note 127, at 319.
175. BEITTEL, supra note 9, at 25.
176. Id. at 2.
177. See Flintoff, supra note 81.
178. Vit´e, supra note 41, at 78; Noah Feldman, Choices of Law, Choices of War, 25 HARV. J.L. & PUB. POL'Y 457, 459–61 (2002).
179. Vit´e, supra note 41, at 78.
180. Feldman, supra note 178, at 459–61. Feldman lists the following criteria as determining whether the law of war applies: the identity of the actor, the jurisdiction wherein the act occurs, the intent of the actor, and the scale of the hostilities. Id. The jurisdictional element does not apply because this discussion concerns non-international armed conflict which, by definition, involves armed conflict occurring within the boundaries of the affected state. The scale criterion is analyzed in the discussion regarding the threshold and duration of violence. See supra Parts II.B.2.a, II.B.2.c.
181. Feldman, supra note 178, at 459.
182. Id. at 460.
quirement in international law. 183 Second, it is often difficult to tell whether a group is using criminal methods to fund a political uprising or vice versa. 184 DTOs may have both political and criminal objectives, with one justifying the other. The LFM DTO provides a prime example of this confusion in that it combines an ideology with intensive drug-trafficking operations. 185 Further, the cartels' wide-scale disregard for the rule of law and corruption of public officials does plenty of harm to the legitimacy of the Mexican government, irrespective of the cartels' motives.
More importantly, a motive requirement does not add anything of substance to this analysis. The only value this factor could add would be to prevent the application of IHL to internal disturbances and tensions. 186 But the factors listed above (i.e. the threshold of violence, the organization of the actor, the duration of the conflict, and the inadequacy of a normal police response) will exclude internal disturbances and tensions that should not come under the rubric of IHL. Instead, a legal regime which draws a clear distinction of when the rules of IHL apply achieves better protection for civilians and combatants alike. 187 Because any motive requirement only muddies the water regarding the application of IHL without adding a discernible benefit, it should not be a contributing factor in making this determination.
The situation in Mexico therefore satisfies the requirements for a noninternational armed conflict. It has the requisite level of violence and the non-state actors involved are sufficiently organized. Additionally, the violence is of a "protracted" duration and normal police forces have been inadequate in addressing the threat DTOs pose to Mexican citizens. Despite the insistence on a higher threshold being necessary to find a non-international armed conflict, non-international armed conflict has been found every time there has been a situation of protracted armed violence. 188 Examination of the conflict in Mexico shows that it too warrants the designation of a noninternational armed conflict.
D. The Effect of IHL on the Conflict with DTOs
The application of IHL has a profound change on the nature of any violent conflict. When an armed conflict falls within the jurisdiction of IHL, the laws of peace arguably become irrelevant. 189 Under normal criminal
183. Vit´e, supra note 41, at 78.
184. See id.
185. See BEITTEL, supra note 9, at 12.
186. See Additional Protocol II, supra note 137, at art. 1(2).
187. Roy S. Sch¨ondorf, Extra-State Armed Conflicts: Is There a Need for a New Legal Regime?, 37 N.Y.U. J. INT'L L. & POL. 1, 22 (2004).
188. Vit´e, supra note 41, at 76.
189. Sch¨ondorf, supra note 187, at 21; see also Additional Protocol I, supra note 137, at art. 43(2) ("Members of the armed forces of a Party to a conflict . . . are combatants, that is to say, they have the right to participate directly in hostilities.").
law, a criminal is pursued with the intent to effectuate his capture, whereas pursuit under IHL takes the form of pursuit with the intent to kill. 190 Not only does IHL give legitimate parties a legal right to kill opposing forces, it even allows for collateral damage to civilians. 191 Nonetheless, this conflict does not take place in a legal vacuum. A number of customary principles apply in any armed conflict, including the principles of distinction and proportionality. 192 This section will briefly review these principles and will explain which protections IHL extends to combatants. This section will also show how these principles would apply in Mexico's conflict with DTOs.
1. The Principles of Distinction and Proportionality
a. The Principle of Distinction
The principle of distinction is a rule of customary international law that forbids attacks upon civilians. 193 Civilians lose this protection when one of two things occurs: (1) the citizen directly participates in hostilities; or (2) the citizen identifies with the armed group. First, citizens lose the protections of IHL for such time as they take a direct part in hostilities. 194 Direct participation in hostilities means acts that would reasonably be expected to cause harm in the prevailing circumstances. 195 In addition to active, hostile engagement with opposing forces, direct participation includes measures in preparation for acts of hostilities and the deployment to and return from hostilities. 196 A civilian also directly participates in hostilities if he joins an organization involved in internal armed conflict and commits hostilities in the framework of his role with only short rests in between. 197
Second, a civilian loses the protection of IHL when the civilian joins an organized armed group. When a civilian joins an armed group, he forfeits his citizenship status altogether until he explicitly denounces membership in the organization. 198 This classification only includes those involved in a continuous combat function and excludes recruiters, trainers, financiers, and propagandists. 199 This classification fits within the framework of Additional Protocol II, which distinguishes between members of organized
190. Feldman, supra note 178, at 466–68.
191. Meron, supra note 146, at 240.
192. Tadic Appeal, supra note 125, ¶¶ 105, 110–11.
193. Id.
194. Additional Protocol I, supra note 137, at art. 51(3).
195. NILS MELZER, INT'L COMM. OF THE RED CROSS, INTERPRETIVE GUIDANCE ON THE NOTION OF DIRECT PARTICIPATION IN HOSTILITIES UNDER INTERNATIONAL HUMANITARIAN LAW 47 (2009) (prepared by Nils Melzer), available at http://www.aco.nato.int/resources/20/Legal%20 Conference/ICRC_002_0990.pdf [hereinafter MELZER].
196. Id. at 17.
197. Public Committee Against Torture, supra note 123, ¶ 39.
198. MELZER, supra note 195, at 25.
199. Id. at 34.
armed forces and civilians. 200 This change in classification, from citizen to a member in an organized armed group, is distinct from the example of a citizen directly participating in hostilities. The former looks to the person's identity and association while the latter only examines the citizen's conduct.
In the case of Mexican DTO members, it is more appropriate to view them as members of organized armed forces rather than citizens directly participating in hostilities. Given the general violent nature of DTOs, most, if not all, members would qualify as holding a continuous combat role. Conversely, defining a chain of acts that constitutes direct participation in hostilities would be far more difficult. Further, removing immunity to attack based solely on membership in a DTO would likely have a detrimental effect on DTO membership as a whole. Because DTOs represent a confluence between drugs and violence, DTO members engaged in smuggling should be targeted. Though this would seem incongruent with the definition of a continuous combat role, the whole purpose of a DTO is to smuggle drugs. To ignore these members as targets would ignore the driving force of the violence in Mexico and would greatly diminish any efforts to reduce it.
b. The Principle of Proportionality
Another way in which customary international law protects civilians is the customary rule of proportionality. 201 An attack must not cause damage that is in excess of the "concrete and direct military advantage anticipated." 202 This is a difficult balancing test, but it must be done. 203 This principle reduces the range of military actions to those which are necessary in order to accomplish a legitimate military purpose. 204 Thus, to accurately determine proportionality, it is important to determine the military value of a target. The goals stated by the Obama Administration in looking to refund the M´erida Initiative provide a good starting point for this balancing process. These goals include: (1) the disruption of organized crime groups; (2) institutionalizing the rule of law; (3) modernizing efforts to prevent drugs from crossing borders; and (4) building strong and resilient communities. 205
These goals would require the Mexican government to limit civilian casualties to the fullest extent possible, lest they undermine goals (2)–(4). The U.S. invasion of Panama, wherein U.S. forces engaged narco-traffickers, gives some guidelines on how this may be done. In that campaign, efforts to limit civilian casualties were at the very core of the planning pro-
200. Id. at 28.
201. Legality of Nuclear Weapons, supra note 123, ¶ 20 (separate opinion of Judge Higgins).
202. Additional Protocol I, supra note 137, at art. 57(b); Public Committee Against Torture, supra note 123, at ¶ 45.
203. Public Committee Against Torture, supra note 123, ¶ 46.
204. MELZER, supra note 195, at 79.
205. BEITTEL, supra note 9, at 32.
cess. 206 These efforts can be implemented in several ways. First, government forces should show restraint depending on the relative level of control they have over the circumstances and area. 207 This is especially important since DTO-related violence is highly concentrated. Second, government forces should always be willing to accept surrender as an option. 208 Third, even if members of DTOs are not protected from attack, they should be captured alive, assuming that this can be done without additional risk to government forces or to civilians. 209 In the end, the Mexican public's perception of any civilian death toll may be the ultimate arbiter as to whether the principle of proportionality was preserved. 210 Efforts such as those listed above would limit casualties and would therefore increase the chance that the public would approve of military efforts to confront DTOs.
2. Protections Offered to Combatants Through the Application of IHL
Participants involved in an armed conflict are offered some basic protections. First, they cannot be targeted by weapons designed to inflict unnecessary suffering. 211 Second, and perhaps of greater significance, the application of IHL allows legitimate forces to legally kill the opposition. 212 Further, legitimate military forces are entitled to prisoner-of-war status if captured during hostilities. 213 Thus, while they would still be subject to the principles of distinction and proportionality mentioned above, Mexican armed forces would have the legal right to kill DTO members. If a DTO captured a member of the Mexican armed forces, the DTO would be required by IHL to hold that person as a prisoner of war.
The same protections would not apply to DTO members. Civilians and members of organized armed groups belonging to non-State parties do not have the right to kill and may be prosecuted for their activities during the
206. INVESTIGATIONS SUBCOMM., COMM. ARMED SERV., 102D CONG., THE INVASION OF PANAMA: HOW MANY INNOCENT BYSTANDERS PERISHED? 9 (Comm. Print 1992) [hereinafter INVASION OF PANAMA].
207. See MELZER, supra note 195, at 80–81.
208. See id. at 82; see also INVASION OF PANAMA, supra note 206, at 10.
209. See MELZER, supra note 195, at 81–82. In a sense, this combines the traditional response to crime with the options available to parties to an armed conflict. See also Feldman, supra note 178, at 457 (arguing that some situations "can plausibly be characterized as both crime and war and that these cases therefore undermine the binary character of the crime/war distinction"). This combination curiously mirrors President Nieto's concept of a soldier-officer police force. Padgett, supra note 108.
210. See INVASION OF PANAMA, supra note 206, at 9 ("If future relations are undermined because the Panamanian public feels the civilian death toll was too high . . . the death toll was too high because the result was to undermine one of the political goals of the operation.").
211. Tadic Appeal, supra note 125, ¶ 127.
212. See Additional Protocol I, supra note 137, at art. 43(2); see Legality of Nuclear Weapons, supra note 123, ¶ 25.
213. Additional Protocol I, supra note 137, at art. 45(1).
conflict. 214 Further, in order to qualify as a prisoner of war, one must be commanded by a person responsible for his subordinates, have a fixed distinctive sign recognizable at a distance, carry arms openly, and conduct operations in accordance with IHL. 215 It is inconceivable that DTO members would wear uniforms or openly carry weapons which would, in turn, identify them as targets for the military. Also, given the history of civilian deaths they have caused so far, it is unlikely DTOs can be expected to conform to IHL. As participants in an armed conflict, DTO members can be prosecuted for violations of IHL and other international criminal law. 216 Thus, the application of IHL to the conflict in Mexico would increase the criminal liabilities DTOs face.
CONCLUSION
The conflict between legitimate state actors and DTOs has reached dire proportions. The increasing rise in drug-related killings shows no significant signs of abatement, nor does it appear that police forces can deal with the problem alone. Unfortunately, the U.N. Charter creates many barriers for countries who wish to confront these criminal organizations outside their own borders. IHL, on the other hand, opens doors for countries faced with domestic DTOs. In Mexico, it is apparent that the government's conflict with DTOs is a non-international armed conflict for which direct military action is a legal recourse under international law. This paper makes no claim that a military solution is the best or even the ideal solution for dealing with violent, drug-funded gangs. Through the application of IHL, however, government forces are given an expanded toolbox with which to oppose these groups while the DTOs face greater threats in the form of direct military action and greater criminal accountability.
214. MELZER, supra note 195, at 84; Stewart, supra note 127, at 320.
215. Geneva Convention Relative to the Treatment of Prisoners of War art. 4(A)(2), Aug. 12, 1949, 6 U.S.T. 3316, 75 U.N.T.S. 135.
216. MELZER, supra note 195, at 85.
|
Subsets and Splits
No community queries yet
The top public SQL queries from the community will appear here once available.